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3 NONLINEAR COEFFICIENTS IN DETAIL
The method of hydrodynamic coefficients is a somewhat blind series expansion of the fluid force in an attempt to provide a framework on which to base experiments and calculations to evaluate these terms. The basic difficulty, i.e. the intractability of the governing equations of motion of viscous fluid prohibits, at least today and in the near future, a computation of these forces.
Still, we are not totally ignorant about these forces, since a number of symmetries and basic laws can be applied to reduce the number of unknown coefficients. This is the purpose of this section.
The basic assumption in using the method of hydrodynamic coefficients is that the forces have no memory effects, i.e. past motions have no impact on the fluid forces at the present moment. This is not correct when the flow separates, or when large vortices are shed, because then the vorticity in the fluid affects the fluid forces for a considerable time after they have been shed – i.e. until they move sufficiently far away from the body. We will show later some methods which allow us to incorporate the effect of shed vorticity, because under certain conditions such effects can not be ignored.
We employ the following basic facts and assumptions to derive the fluid forces acting on a ship, submarine or vehicle:
1. We retain only first order acceleration terms. Based on Newton’s second law, we expect the inertia terms from the fluid to be linearly dependent on acceleration.
2. We do not include terms coupling velocities and accelerations. Again, based on Newton’s second law, we expect inertia forces to depend on acceleration alone.
3. We consider port/starboard symmetry. Unless there is a reason not to, this is a useful property to us in order to eliminate a certain number of coefficients which are either zero or very small. In ships, a propeller introduces an asymmetry port/starboard since it rotates in a certain direction (unless it is a twin-screw ship with counter-rotating propellers), but in such cases we limit this asymmetry to only propeller-related terms.
(Continued on next page)
4. We retain up to third order terms. This is a practical consideration and has been found to, in general, serve well the purpose of deriving equations which are sufficiently accurate in a wide parametric range. It does not constitute an absolute rule, but most existing models employ this assumption.
Finally, we find sometimes necessary to use coefficients such as $Y_{|v|v}$, providing a drag-related term, whose strict definition would be:
$$Y_{|v|v} = \frac{\partial^2 Y}{\partial v \partial |v|}(v = 0)$$
(36)
A Taylor series expansion would not include such terms, so their inclusion is motivated by physical arguments.
### 3.1 Helpful Facts
To exploit symmetries, we consider the following simple facts:
- A function $f(x)$ which is symmetric in $x$ has zero odd derivatives with respect to $x$ at $x = 0$. The proof is to consider the Taylor series expansion of $f(x)$ about $x = 0$:
$$f(x) = f(0) + \frac{df}{dx}(0)x + \frac{1}{2!}\frac{d^2f}{dx^2}(0)x^2 + \frac{1}{3!}\frac{d^3f}{dx^3}(0)x^3 + \ldots$$
(37)
Symmetry gives that for all $x$:
$$f(x) = f(-x)$$
(38)
The only way that (38) is satisfied given the expression (37) is that all odd derivatives of $f(x)$ must be zero, i.e., for $n$ odd:
$$\frac{d^n f}{dx^n}(0) = 0$$
(39)
- A function $f(x)$ which is anti-symmetric in $x$ has zero even derivatives with respect to $x$ at $x = 0$. The proof is exactly analogous to the result above, using the anti-symmetry condition:
$$f(x) = -f(-x)$$
(40)
to find that, for $n$ even:
$$\frac{d^n f}{dx^n}(0) = 0$$
(41)
3.2 Nonlinear Equations in the Horizontal Plane
To demonstrate the methodology, we will derive the governing nonlinear equations of motion in the horizontal plane (surge, sway and yaw), employing the assumptions above. We will not include drag related terms of the form of equation 36 for the time being. We start by re-stating the inertia terms driven by external forces, which include the fluid forces:
\[
m(\dot{u} - vr - x_G r^2) = X \\
m(\dot{v} + ur + x_G \dot{r}) = Y \\
I_{zz} \ddot{r} + mx_G (\dot{v} + ur) = N
\]
(42)
where we have assumed that \( w = 0, p = 0, q = 0, y_G = 0, z_G = 0 \).
3.2.1 Fluid Force \( X \)
By denoting the rudder angle as \( \delta \), we derive the following expression for the fluid force \( X \), valid up to third order:
\[
X = X_e + X_u \dot{u} + X_v u + X_{uu} u^2 + X_{uuu} u^3 + X_{vv} v^2 + X_{rr} r^2 + X_{\delta \delta} \delta^2 + \\
X_{rv} rv + X_{r \delta} r \delta + X_{v \delta} v \delta + X_{vv \delta} v^2 u + X_{rv \delta} r^2 u + X_{\delta \delta u} \delta^2 u + \\
X_{r \delta u} r \delta u + X_{rv u} rv u + X_{v \delta u} v \delta u + X_{rv \delta} rv \delta
\]
(43)
We have used three basic properties, i.e., that the fluid force \( X \), independent of the forward velocity, must be:
1. a symmetric function of \( v \) when \( r = 0 \) and \( \delta = 0 \);
2. a symmetric function of \( r \) when \( v = 0 \) and \( \delta = 0 \);
3. a symmetric function of \( \delta \) when \( r = 0 \) and \( v = 0 \);
This is a result of port/starboard symmetry and is expressed as:
\[
X(u, v, r = 0, \delta = 0) = X(u, -v, r = 0, \delta = 0)
\]
(44)
\[
X(u, v = 0, r, \delta = 0) = X(u, v = 0, -r, \delta = 0)
\]
(45)
\[
X(u, v = 0, r = 0, \delta) = X(u, v = 0, r = 0, -\delta)
\]
(46)
These relations imply that all odd derivatives of \( X \) with respect to \( v \) at \( v = 0 \) are zero, when \( r = 0 \) and \( \delta = 0 \); and similarly for \( r \) and \( \delta \). For example:
\[
\frac{\partial^3 X}{\partial v^3}(u, v = 0, r = 0, \delta = 0) = 0
\]
(47)
which implies that $X_{vvv} = 0$. Also, since relations such as (44) hold for all forward velocities $u$, it means that derivatives with respect to $u$ of expression (44) are also true. For example, from (47) we derive:
$$\frac{\partial^4 X}{\partial v^3 \partial u}(u, v = 0, r = 0, \delta = 0) = 0$$
or equivalently $X_{vvvu} = 0$.
In summary, the symmetries provide the following zero coefficients:
$$X_v = 0; \quad X_{vv} = 0; \quad X_{vu} = 0; \quad X_{vuu} = 0;$$
$$X_r = 0; \quad X_{rrr} = 0; \quad X_{ru} = 0; \quad X_{ruu} = 0;$$
$$X_\delta = 0; \quad X_{\delta \delta \delta} = 0; \quad X_{\delta u} = 0; \quad X_{\delta uu} = 0$$
(49)
### 3.2.2 Fluid Force $Y$
In the case of the fluid force $Y$, the symmetry implies that this force must be an antisymmetric function of $v$ when $r = 0$, $\delta = 0$; and likewise for $r$ and $\delta$, i.e.:
$$Y(u, v, r = 0, \delta = 0) = -Y(u, -v, r = 0, \delta = 0)$$
$$Y(u, v = 0, r, \delta = 0) = -Y(u, v = 0, -r, \delta = 0)$$
$$Y(u, v = 0, r = 0, \delta) = -Y(u, v = 0, r = 0, -\delta)$$
(50)
Hence, in analogy with the previous section, the even derivatives of $Y$ with respect to $v$ (and then $r$, and $\delta$) must be zero, or:
$$Y_{vv} = 0; \quad Y_{vvu} = 0$$
$$Y_{rr} = 0; \quad Y_{rru} = 0$$
$$Y_{\delta \delta} = 0; \quad Y_{\delta \delta u} = 0$$
(51)
Finally, due to port/starboard symmetry, the force $Y$ should not be affected by $u$ when $v = 0$, $r = 0$, $\delta = 0$, except for propeller effects, which break the symmetry. For this reason, we will include terms such as $Y_u$ to allow for the propeller asymmetry (twin propeller ships with counter-rotating propellers have zero such terms).
Finally, we derive the following expansion for $Y$:
$$Y = Y_c + Y_u u + Y_{uu} u^2 + Y_v \dot{v} + Y_r \dot{r} + Y_v v + Y_r r + Y_\delta \delta + Y_{\delta u} \delta u + Y_{vu} vu + Y_{ru} ru + Y_{vuu} vu^2 + Y_{ruu} ru^2 + Y_{\delta uu} \delta u^2 + Y_{vuu} v^3 + Y_{rrr} r^3 + Y_{\delta \delta \delta} \delta^3 + Y_{rr} \delta^2 \delta + Y_{rrr} r^2 v + Y_{vrr} v^2 r + Y_{vvr} v^2 \delta + Y_{vrv} vr \delta + Y_{vrr} vr \delta^2 r + Y_{\delta \delta v} \delta^2 v$$
(52)
3.2.3 Fluid Moment $N$
The derivation for $N$ follows the same exact steps as for the side force $Y$, i.e. the same symmetries apply. As a result, we first find that the following coefficients are zero:
$$N_{vv} = 0; \quad N_{vuu} = 0$$
$$N_{rr} = 0; \quad N_{rru} = 0$$
$$N_{\delta\delta} = 0; \quad N_{\delta\delta u} = 0$$
Hence, we derive an analogous expansion for the moment:
$$N = N_e + N_u u + N_{uu} u^2 + N_v \dot{v} + N_r r + N_v v + N_{\delta} \delta + N_{\delta u} \delta u + N_{\delta u} v u + N_{r u} r u + N_{v u u} v u^2 + N_{r u u} r u^2 + N_{\delta u u} \delta u^2 + N_{v v u} v^3 + N_{r r r} r^3 + N_{\delta \delta \delta} \delta^3 + N_{r \delta \delta} r^2 \delta + N_{r r \delta} r^2 v + N_{v \delta r} v^2 r + N_{v v \delta} v^2 \delta + N_{v r \delta} v r \delta + N_{\delta \delta r} \delta^2 r + N_{\delta \delta v} \delta^2 v.$$ |
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Privacy Impact Assessment (PIA)
Name of Project: Researcher Registration System (RRS)
Project’s Unique ID: RRS
Legal Authority(ies): 44 USC 2108, 2111 note, and 2203(f)(1) and 36 CFR Chapter XII, 1254.6-8
Purpose of this System/Application: The Researcher Registration System (RRS) provides registration of users and access to secure research rooms where original permanently-valuable non-classified records of the Federal Government are made available to the public. The system collects personal information and issues an identification card to the researcher. This registration and badge access control system is located at both the National Archives Building in Washington, DC (Archives I) and the National Archives at College Park, Maryland (Archives II) and runs on a separate segment from the NARANET. The system is a registration and badge access control system that enables NARA to track which research rooms authorized researchers are going throughout the research center, and records this data for both facilities. The card issuance portion of the registration process captures certain personally-identifiable information, and stores that data for periods of time as specified in the NARA Records Retention schedule. The cards themselves use a magnetic strip on the back of the card, and the cards are swiped when a researcher enters and exits the research center, and is also swiped once daily when the researcher enters any one of the research rooms to record their visit. The system serves both a security purpose as well as several administrative purposes.
Section 1: Information to be Collected
1. Describe the information (data elements and fields) available in the system in the following categories:
| Employees | N/A |
|-----------|-----|
| External Users | name, address, phone number, proof of ID, photograph |
| Audit trail information (including employee login information) | Yes, access limited to staff in the Researcher registration office |
| Other (describe) | |
Describe/identify which data elements are obtained from files, databases, individuals, or any other sources?
| NARA operational records | for card renewals only |
|--------------------------|------------------------|
| External users | All information provided by external users |
| Employees | n/a |
| Other Federal agencies (list agency) | n/a |
| State and local agencies (list agency) | n/a |
| Other third party source | n/a |
**Section 2: Why the Information is Being Collected**
1. **Is each data element required for the business purpose of the system? Explain.**
Yes. This is the basic information to establish the identity of applicants for researcher identification cards.
2. **Is there another source for the data? Explain how that source is or is not used?**
No
**Section 3: Intended Use of this Information**
1. **Will the system derive new data or create previously unavailable data about an individual through aggregation from the information collected, and how will this be maintained and filed?**
No
2. **Will the new data be placed in the individual’s record?**
Yes, but the data is for the sole purpose of identifying applicants for researcher ID cards.
3. **Can the system make determinations about employees/the public that would not be possible without the new data?**
Yes, in the system determines who among the public is authorized to enter the research center.
4. How will the new data be verified for relevance and accuracy?
The data is provided by the individual and with photographic proof of ID, the information is deemed accurate in the absence of conflicting information.
5. If the data is being consolidated, what controls are in place to protect the data from unauthorized access or use?
Not consolidated
6. If processes are being consolidated, are the proper controls remaining in place to protect the data and prevent unauthorized access? Explain.
7. Generally, how will the data be retrieved by the user?
Data is searchable by most fields, the most common being the ID number or name.
8. Is the data retrievable by a personal identifier such as a name, SSN or other unique identifier?
If yes, explain and list the identifiers that will be used to retrieve information on an individual.
Data can be retrieved by any field, including name and identification number. However, that data is usually retrieved by personal identifier when there is a business need to do so. Other extracts are for statistical purposes and do not identify individuals.
9. What kinds of reports can be produced on individuals? What will be the use of these reports? Who will have access to them?
We do not produce reports on individuals unless required to by the OIG or law enforcement agencies, which is extremely rare.
10. Can the use of the system allow NARA to treat the public, employees or other persons
differently? If yes, explain.
The system determines whether a person is authorized to use records at Archives 1 and Archives 2.
11. Will this system be used to identify, locate, and monitor individuals? If yes, describe the business purpose for the capability and the controls established explain.
Using a card swipe at the guard's station, the system records which research rooms are visited by whom and when they visited the first time each day. The card swipe also records each instance of the individual entering and leaving the research center.
12. What kinds of information are collected as a function of the monitoring of individuals?
The system monitors each time the researcher enters or leaves the researcher center, and the first time they enter each research room each day.
13. What controls will be used to prevent unauthorized monitoring?
Monitoring is electronic. The only human interface is with the swiping of the cards. The policy of the division is to refuse all but lawful requests for information from the system. For example, we would refuse to provide information on an employee of a business if requested by the person's supervisor. The person could file a FOIA but to my knowledge that has never been tried.
14. If the system is web-based, does it use persistent cookies or other tracking devices to identify web visitors?
N/A
Section 4: Sharing of Collected Information
1. Who will have access to the data in the system (e.g., contractors, users, managers, system administrators, developers, other)?
The data is available to members of the employees in the Registration Office, the system administrator, RD-DC customer service managers, and to the one contractor technician who has serviced the equipment and software for the past 10 years. The information might also be available to NARA's computer support contractor but that is highly unlikely.
2. **How is access to the data by a user determined and by whom? Are criteria, procedures, controls, and responsibilities regarding access documented? If so, where are they documented (e.g., concept of operations document, etc.). Are safeguards in place to terminate access to the data by the user?**
Access is determined by the customer service coordinator who informs the system administrator that a new person in the office requires access. Likewise, when someone leaves and exits with NA 3009 form, the customer service coordinator or system administrator signs off that the person's access to the RRS has been terminated. There is a concept of operations document for the RRS. There are also written procedures within the office governing these matters.
3. **Will users have access to all data on the system or will the user’s access be restricted? Explain.**
The users of the system have access to all of the information.
4. **What controls are in place to prevent the misuse (e.g., unauthorized browsing) of data by those who have been granted access (please list processes and training materials)? How will these controls be monitored and verified?**
There is an audit trail to document unauthorized browsing. The written procedures used during training emphasize that unauthorized browsing is forbidden.
5. **Are contractors involved with the design and development of the system and will they be involved with the maintenance of the system? If yes, were Privacy Act contract clauses inserted in their contracts and other regulatory measures addressed?**
The system development took place in 1999. There is still the same contractor maintaining the system under an O&M contract. If inserting the Privacy Act clause was the common practice of NH at the time, then it was done; if not, it wasn't. I do not have access to the contract file.
6. **Do other NARA systems provide, receive or share data in the system? If yes, list the system and describe which data is shared. If no, continue to question 7.**
The pull and refile system share the card ID number. The debit card system also uses the card number but has no access to any of the data. As of November 2010, the ID card also has a linkage with
NARA's wireless internet system (wi-fi). The card number serves as a user ID and the staff issue each researcher a temporary password which the user changes upon logging onto the wi-fi system. Because it is a free public system, no privacy is possible for users of the system, and this is spelled out in the terms and conditions.
7. Have the NARA systems described in item 6 received an approved Security Certification and Privacy Impact Assessment?
8. Who will be responsible for protecting the privacy rights of the public and employees affected by the interface?
The interface doesn't share any of the personal information.
9. Will other agencies share data or have access to the data in this system (Federal, State, Local, or Other)? If so list the agency and the official responsible for proper use of the data, and explain how the data will be used.
No, except as needed for law enforcement purposes.
Section 5: Opportunities for Individuals to Decline Providing Information
1. What opportunities do individuals have to decline to provide information (i.e., where providing information is voluntary) or to consent to particular uses of the information (other than required or authorized uses), and how can individuals grant consent?
Individuals can decline to provide the information, but they will not be issued a researcher ID card and are therefore prevented from conducting research at NARA.
2. Does the system ensure "due process" by allowing affected parties to respond to any negative determination, prior to final action?
The person can appeal the decision up to review by the Archivist of the United States.
Section 6: Security of Collected Information
1. How will data be verified for accuracy, timeliness, and completeness? What steps or procedures are taken to ensure the data is current? Name the document that outlines these procedures (e.g., data models, etc.).
The data is provided by the person being issued the researcher ID card and is presumed to be accurate. The cards are issued for a period of one year, and then must be renewed, at which point the personal information is validated again. 36 CFR 1254 describes the process for applying for a researcher ID card and the period it is effective.
2. If the system is operated in more than one site, how will consistent use of the system and data be maintained in all sites?
There is a second site at AI. The Customer Services Manager is in charge of both locations and oversees the operation of both sites. The same set of guidelines applies to both locations. The system resides at Archives II, in the computer room.
3. What are the retention periods of data in this system?
The applications are maintained for 25 years, then destroyed. Other parts of the RRS database are maintained 2 to 5 years, depending on the series.
4. What are the procedures for disposition of the data at the end of the retention period? How long will the reports produced be kept? Where are the procedures documented? Cite the disposition instructions for records that have an approved records disposition in accordance with, FILES 203. If the records are unscheduled, they cannot be destroyed or purged until the schedule is approved.
The records are destroyed in accordance with Files 203 sections 1418-1c(1) and 1418-6.
5. Is the system using technologies in ways that the Agency has not previously employed (e.g., monitoring software, Smart Cards, Caller-ID)? If yes, describe.
No.
6. **How does the use of this technology affect public/employee privacy?**
Federal regulations require that prospective researchers visiting a NARA research room provide proper and legal documentation in order to be admitted to do research. Any information provided to obtain a researcher ID card is done completely voluntarily. We do not share the information except when legally required to do so by the OIG or a government law enforcement organization, and then only with the NARA Privacy Officer's and/or Office Head's approval.
7. **Does the system meet both NARA’s IT security requirements as well as the procedures required by federal law and policy?**
We've responded to each of NH's security concerns.
8. **Has a risk assessment been performed for this system? If so, and risks were identified, what controls or procedures were enacted to safeguard the information?**
Yes. The major risk is that the servers handling the system fail. When that happens, we revert to the paper based system of issuing ID cards until service is restored. Normally its failure is linked to a failure of the NARANET.
9. **Describe any monitoring, testing, or evaluating done on this system to ensure continued security of information.**
There is an audit trail to cover browsing the records. We carried out scenarios with the Information Security staff in 2008 or 09.
10. **Identify a point of contact for any additional questions from users regarding the security of the system.**
Eric Chaskes is the system administrator and most familiar with the operation of the system. His office is in Rm 1000.
**Section 7: Is this a system of records covered by the Privacy Act?**
1. **Under which Privacy Act systems of records notice does the system operate? Provide number and name.**
System 1: Records relating to Researcher Applications
2. If the system is being modified, will the Privacy Act system of records notice require amendment or revision? Explain.
**Conclusions and Analysis**
1. Did any pertinent issues arise during the drafting of this Assessment?
No.
2. If so, what changes were made to the system/application to compensate?
**See Attached Approval Page**
Once the Privacy Impact Assessment (PIA) is completed and the signature approval page is signed, please provide copies of the PIA to the following:
- IT Security Manager
- Privacy Act Officer
The Following Officials Have Approved this PIA
| System Manager (Project Manager) | 9-20-2012 |
|----------------------------------|-----------|
| Name: Robert W. Coren | |
| Title: Senior Archivist, Customer Service (RD-DC) | |
| Contact information: 301-837-1620 | |
| Senior Agency Official for Privacy (or designee) | 9/14/12 |
|--------------------------------------------------|---------|
| Name: Gary M. Stein | |
| Title: General Counsel & SAOP | |
| Contact information: 301-837-3026 | |
| Chief Information Officer (or designee) | 9-12-12 |
|----------------------------------------|---------|
| Name: | |
| Title: CIO | |
| Contact information: | | |
**TELEGRAMS.**
*Ottawa, April 3rd.*—All is quiet. The heavy curtain spread by the Japanese effectively conceals the strength of the Russian positions. Contradictory reports are being received from Chinese fugitives, which indicate that there is a constant movement of the Japanese to the north-west, as though with the intention of effecting a turning movement at Klim to cover the beginning of an advance on Mukden. Chinese report that the construction of a railroad from Sia Min Tin to Mukden has begun.
*Harbin.*—Business is paralyzed. The majority of the female population is leaving Harbin. It is believed that the Japanese are preparing a bold turning movement, probably to the eastward. The Russian cavalry are operating widely in order to avoid a repetition of the surprise of Mukden.
*Zeigler, Ills.*—April 3rd.—A fearful explosion has occurred in the Joseph Letter Coal Mine, where 20 miners have been killed and 8 injured.
*London, April 3rd.*—Owing to slight operation, the Prince of Wales will be confined to his rooms for a few days.
*St. Petersburg, April 3rd.*—The news of the capture of Tsarskoesele this morning. His sudden appearance for a personal interview with the Emperor, following his brother's speech at Taugier, has created a sensation.
*Sakharoff says there has been no relaxation in the preparations to continue the war. There will be no new mobilization. 140,000 troops have already started for the front, and these are to be followed by a portion of this year's conscripts.*
*Tokio, April 3rd.*—There is much suffering among the Chinese in the vicinity of Mukden. Signs of villages have been destroyed in the recent fighting, by which 100,000 families have been rendered homeless and destitute.
*Harbin, April 4th.*—Affairs at the front generally are quiet, excepting for skirmishes by General Ustishenko. Cossack reports have been received that there is a movement of the Japanese flying column northward through Manchuria, in the direction of Tschitscherin.
The loss of commissariat stores at Mukden, Hussaini, Tie Pass, Kailinhu and Chang Taifu has been a heavy deprivation to the Russian army.
*St. Petersburg, April 4th.*—Numerous arrests continue to be made of parties for supposed connection with Terrorist schemes to assassinate Governor General Trepoff.
*Victoria, B. C., April 4th.*—Hon. Green admits that there has been irregularities in the Lands and Works Department. Oliver's Secret Committee to investigate the Kitimat land question has commenced proceedings.
*Ottawa, April 5th.*—The Dominion Government has put off the extension of the Province of Manitoba until after the Autonomy Bill is passed and Ontario consulted. The Manitoba Government demands a definite answer at once and says: "Ontario, which now reaches James Bay, ought not to be consulted."
*Lahore, India, April 5th.*—A violent earthquake here has caused serious loss to life among natives and Europeans and great damage to buildings.
*St. Petersburg, April 5th.*—The presence of a general upheaval in city and country are increasing daily. Radical forces, acting in unison, are availing a signal which is believed will be given shortly after the Russian Easter.
---
**Mining News.**
*Atlin Hydraulic Men Not to Employ Japs.*
From the Daily Yukon:
There is no truth in the report that Atlin that the hydraulic men of that district have combined for the purpose of employing Oriental labor in their mining operations. That is the declaration of J. A. Fraser, the gold commissioner, and A. C. Hirschfeld, the editor of The Claim, of Atlin.
Mr. Fraser said: "It would be impossible for the hydraulic companies to form a combination to employ Oriental labor, for the reason that every hydraulic lease that has been issued has a clause since I became commissioner, containing a clause which provides specifically that Oriental labor cannot be employed. These leases include some of the property that will be worked on a large scale this year. The earlier leases, those issued by my predecessor, did not contain that clause."
It is argued that it would be impracticable for the hydraulic men to form a combination for the reason that they are scattered to the four corners of the world. If it had been formed, it is not likely that it would be known in Atlin, as none of them are in there now.
A. C. Hirschfeld, who came north on the Princess May and left for Atlin, knows nothing of such an agreement and he is in touch with many of the hydraulic companies.
---
**Cassie Will Do Time.**
Mrs. Chadwick has been sentenced to ten years in the penitentiary. Many people could not make the money she managed to make out of the banks and others in fifty years.
---
**Boozing.**
Marion Hart, the man who whipped the negro heavyweight, Jack Johnson, will meet Jim Jeffries for the championship. The purse will be a large one.
---
**The Rise and Fall.**
The lowest and highest temperatures recorded for the week are as follows:
| Date | High | Low |
|------|------|-----|
| Mar. 31 | 21 | 39 |
| Apr. 1 | 20 | 36 |
| 2 | 28 | 35 |
| 3 | 22 | 30 |
| 4 | 25 | 44 |
| 5 | 25 | 46 |
| 6 | 26 | 44 |
Don't be afraid of smushing; it gives bloom and color. "Where the sun does not enter, the doctor must," is an old Japanese proverb.
A Maine woman, annoyed by her husband's snoring, quietly anointed the sleeper's nostrils with mutton tallow, and thereafter slept in peace, the bearings of his nose being well lubricated. Those New England women are inventive.
---
**From the Recording Office.**
Leases Cancelled.
The following hydraulic leases posted on the Government notice board, our office, will be cancelled and thrown open for selection after fourteen days' notice, by any free miner; all situated on Wilson Creek:
| Name | Lessee |
|----------|--------------|
| Oign | John H. Kerr |
| Usite | John Parsons |
| Ocule | J. Compland |
| Olympic | A. F. Rolf |
| Osar | J. L. Provin |
| Orygna | D. Doyle |
| Oxy | C. D. Newton |
| Otho | T. M. Walters|
| Olivine | T. A. Fraser |
| Ophile | John Fountain|
| Oslidam | G. L. Angervin |
| Ophel | A. R. McDonald|
| Oolite | D. Burton |
On April 3rd, notice was posted that the following creek leases on Spruce Creek became void:
| Name | Lessee |
|----------|--------------|
| Adamant | M. H. McCabe |
| Brilliant | W. J. Anderson|
| Concord | C. A. Anderson|
| Juniper | James Irvine |
| Ebb Hunter | Eli Hunter |
| Atlin | Frank Weir |
| Consolidation | W. M. Brook |
Staked and Recorded.
The following leases on McKee Creek have been applied for:
"Steam Shovel," by A. C. Hirschfeld;
"Ness," by Jas. Simpson.
On Ruby Creek:—"Crater," fraction placer claim, by Alfred T. Abbott; and "Sandy," by Frank Abbott. Located, 30th March.
---
**Open Up Our Quartz Mines.**
Mr. J. H. Conrad has now taken over working on the Petty Creek of mineral claims at Carcross.
Mr. Conrad, in an interview, remarked that he had as good a shooting as he had ever seen in all his travels.
---
**Copper to Pay No Royalty.**
An order-in-council is being prepared to remit the royalty on copper for a period of ten years; it Wilfrid Laurier ordered that the royalty be taken off.
---
**The Boundary.**
John F. McGrath and Edwin Smith, of the U. S. Coast and Geodetic Survey are on their way North. They go to Sitka, Valdez, and St. Michaels.
Pete Angel and P. H. Johnson have purchased a claim on Spruce Creek. Mr. Johnson took a run on the claim, which went along forty cents to coarse gold.
The Atlin Claim.
THE ATLIN CLAIM is in operation under the terms of the contract, which reads: "For 12 months, 50 cents per month; 600 lbs. of ore for 30 cents per month; 750 lbs. per month, 40 cents per month." The claim is located on the Atlin River, and is operated by the Atlin Mining Company.
Job Printing:
J. G. HARRISON, Printer-Publisher,
ATLIN, B. C.
A permanent exhibit of our quartz and ores at the Government Building would be of great advantage to the District, and we are glad to see the matter taken up by the Board of Trade. It is apparent to all that a first-class exhibit of samples from our mines and prospects would be welcomed by visitors enquiring after our quartz resources, and would at once interest prospective buyers.
One of the chief attractions in San Francisco is the State Mining Bureau Exhibit at the Ferry Building. The great resources of the State of California are at once apparent.
Perhaps the most vital importance of such an exhibit here would be the ease with which the collection could be sent to exposition, where now it is hardly practicable. British Columbia, the greatest colony and province on the Pacific slope, is today unrepresented at the Lewis and Clark's Fair, at Portland, because of the expense and difficulty which attends the collection and dispatch of exhibits. With a collection at hand, Atlin would ever be ready to exhibit.
We hope that the Government Agent will see his way clear to give space in the Government Building, and we wish the Board of Trade well in starting the scheme. When arrangements are completed, our quartz men will have the opportunity to have their mines and prospects well advertised.
Donations to Our Hospital.
The trustees of St. Andrew's Hospital are pleased to acknowledge receipt of a donation of $11.27 from the Atlin Musical and Dramatic Society, being the balance in hand upon the winding up of the affairs of the society.
They also desire to acknowledge receipt of a donation recently, with the promise of more, from Mr. Archie W. Shields, who was formerly secretary-treasurer of the institution, and of the assignment to them for the benefit of the Hospital of certain sums due him by Mr. Wm. Beavis before his departure.
Newly Arrived.
Among the arrivals this week were:—Mr. and Mrs. Jules Eggert, Mr. Hornell, S. M. Blodgett, E. P. Queen, D. G. Stewart, Dave Hastings, Bob Wallace, Louis Ginacca, J. Regan, A. S. Cross, G. H. Courie.
Truth is sometimes worse than fiction.
CORRESPONDENCE.
The Frits Miller Memorial.
Editor Atlin Claim.
Dear Sir,—In last Saturday's Claim appeared the final conclusions of committee of the Miller Memorial Fund. A great many of your readers do not understand why the amount collected should be divided, there being making two memorials, even at the same meeting held for that purpose, one with uncertainty, it was distinctly understood that a public subscription should be started for a fitting memorial to be placed to the memory of the dead discoverer.
After the money was freely contributed, a large amount, or nearly half of it, was from relatives and close friends of the deceased gentleman. I understand Mrs. Miller would not have been consulted in this important matter, especially when the committee in charge has seen fit, in their wisdom, to take a large amount of the money and use it for a purpose never intended.
When such a public subscription is given for a specific purpose, it is unfair to the donors that one or two men with an adverse sentiment should put forth their best efforts to defeat its object.
The high transportation rates for an article of this kind, and skilled labor, which must necessarily have to be employed here and hereafter said and done, the whole amount collected will be used up by the time a fitting mark of respect be placed in position to mark the grave of the discoverer of Atlin.
Yours truly,
J. Kirkland.
Boulder Creek.
J. Boston and J. McDonald are leaving Monday for the Tanana. They have been working on Boulder for four years and have made a good clean-up.
C. D. Lawson, Jack Dunham and Clarley Taylor have quit their winter workings on Boulder. They are all satisfied with their season's work.
Harry Morris is heading machinery to Boulder Creek. He is taking over the management of the Garrison property and making ready for this season's work.
Black & Grant are doing as well as usual and continue on good pay.
To Be Successful.
Be a man. Pay your debts. Be honest. Keep every promise. Be kind to the needy and unfortunate. A man's word is his capital; if his word is good, he'll come out all right. Money goes, but a man's reputation stays behind; never forget that. Be methodical and cautious.
The oldest inhabitant of Lynn, Miss., now 103 years old, attributes her long life in large part to her absolute abstinence from gossip about her neighbors. Kind nature has provided that the habitual gossip shall not live long.
Useful and Ornamental Goods
We send our wares you can get goods as cheap here. Atlin, Nugget and Grape Rings and all kinds of jewelry manufactured on the premises.
Fine New Styles of Watches, Clocks, Jewelry and Diamonds. Watch Repair Shop.
Silverware, Cut Glass, Hand Painted China, Souvenir Spoons.
JULES EGGERT & SON, ATLIN AND DISCOVERY, WATCHMAKERS AND MANUFACTURING JEWELERS.
J. H. RICHARDSON, ATLIN & DISCOVERY.
Full Line of Clothing Just From the East
The Latest Styles
Complete Stock of Dry Goods
The Latest in Hats, Boots, and Shoes.
Gold Seal Gum Boots.
Our Goods are the Best and Our Prices the Lowest.
J. D. DURIE, ATLIN, B. C.
SHELF AND HEAVY HARDWARE.
Iron and Granite Ware. Miners' and Blacksmiths' Supplies. Doors and Windows. Furniture and Mattress Factory.
A woman imagines that her husband would save lots of money if he would not smoke.
The Royal Steam Laundry
Men's Suits Cleaned and Repaired.
All Work Guaranteed. Goods Called for and Delivered. Cash on Delivery.
Mr. and Mrs. J. S. Fenn, Proprietors.
It Will Pay You
To send your "Chin" in paint films instead of handless writing letters. It necessitates no extra work except each all the time and need not cost you a cent. Price, to any part of the world: Six months, $1.50; one year, $2.00.
O. K. RATHS BARBER SHOP
F. STUBBS & EDDY DURHAM, Proprietors.
Necessary and Convenient next to the Shops of the R. A. Pine Store. The bath rooms are equally as good as found in cities. Private Entrances for Ladies.
HOTEL VANCOUVER
THIS HOTEL IS STOCKED WITH THE BEST OF GOODS
Sam. Johnson, Prop.
Pine Tree Hotel
DISCOVERY, B. C.
A Strictly First-Class Hotel.
Dining-Room in connection. Choicest Wines, Liquors and Cigars.
ED. SANDS, Proprietor.
Atlin Lodge, A. F. & A. M.
Regular meetings every Thursday at the Masonic Hall, Third street.
Stating brethren standing still.
Brownlee & McFarlane Engineers and Surveyors.
J. H. BROWNLEE, P. L. S. & D. L. S., J. W. McFARLANE, C. E.
WANTED.
BOYS AND WOMEN in this country are suffering from the want of a home, an old-established home of solid financial security. We can use a boy or girl between $12 to $25 weekly, with expenses advanced, each paying by check direct from the bank. Boys and girls needed when necessary. Position permanent. Address, Bell Bros. & Co., Dept. 5, Home Office, Chicago, Ill.
Our M. P. P.
Dr. Young, member for Atlin, is not only a bright representative, but one of the sprickest members of the House. He affects a flower in his button-hole.—The Week, Victoria.
Winter Sport.
This is the Fourth Ice Foot Sailing on Atlin Lake.
The "Idaho" is the latest addition to our ice boat fleet. It is owned by a syndicate of six members of which are J. H. Richardson, E. M. N. Woods and W. E. Hadlop. The boat is built on the latest designs from Idaho. The owners challenge all comers.
Curling.
Reputation, always a factor in sport, has a larger place than in any other game. Let a man be known as a crack curler and every time he loses, it is charged to "luck," while every time he wins, it's "skill." But of course, it is a poor rule that won't work both ways. The new player may have the eyes of a sharpshooter, and be a born judge of weight and distance, but every time he makes a good shot there'll be a whisper of horse shoes in the air,—that is, if he attempts to skip. So long as he is satisfied to play lead or second he will be rewarded with a patronizing "Thank you, Mr. ——, you played a very nice game." With subtle compliment, he will be led to believe that in the course of a season or so he will be able to play like the truly great men he has been playing for, and when an average makes about one shot in six. It shows human nature in all its various phases. There you see that touch of human nature that makes the whole world kin, funnel till it has made of the curlers one large family, with all the little likings and loves, jests and jealosities and familiarities, that make family relations so bright and brittle.
In His Own Right.
Mr. Roosevelt has been president for the last three and a half years because the Republican National Convention of 1900 deemed it good politics to nominate him for vice-president on the ticket with President McKinley. He has been the proxy or executor, if you will, for the people. He is now to be president because he has been chosen for the job by the sovereign people of the United States. He will be president in his own right in a peculiar sense. His majority of the popular vote and in the electoral college were so large that no man or no combination of men can claim credit for his election. He has no political debts to pay. His obligations will be solely to the great masses of the common people who gave him their votes.—The Daily Alaskan.
Hints for the Eyes.
Bump your head and one of the eyes shuts; the other one is full glare of sunlight.
When the eyes are weak, sleep all that is possible.
As soon as you sight, avoid all glare.
Never read or use the eyes for fine work during twilight.
Whenever the eye is injured, roll it on an unirritated eyelash at once.
Never expose the eyes immediately to direct or reflected light.
Always abundance of green, steady light.
Keep the windows open, and let the light fall on the eyes.
Let the light shine in your eyes from one side or from above, not from in front.
When the eyes are tired, do not avoid a glaring light, as it may be as bad or even little better.
Do not use a flickering light for reading or sewing. Use a lamp with a large burner.
When the eyes are hot and heavy, bathe them in cold or tepid water, do not constrict the eyelids, but keep the eyes apart.
When the eyes ache or are easily fatigued, moisten the left eye as well as the right, bathe intermittently from the back to the front.
When reading, hold the book erect and at a distance of about 24 inches, and rest the hand over the work any more than is possible.
Avoid poorly printed books with more paper and poor type, and do not read when tired or under the influence of drugs.
When the eyes are dull and without consolation from a protracted strain, when the whole body is in a weakened state.
Health.
LIQUOR LICENCE ACT.
Application for Transfer of Licence.
NOTICE IS GIVEN THAT T. TAYLOR THOMAS, of Atlin, B. C., shall apply to the Board of Licence Commissioners at their next meeting held at Atlin, B. C., on the 1st day of May, 1905, for a licence to sell intoxicating Liquor in the premises known as the Kootenay Hotel, situated on land known as the Township of Atlin, B. C., to Joseph Tabaltling of Atlin, B. C.
Dated this 3rd day of March, 1905.
VENN TROTMAN.
Last Chance Mineral Claim.
NOTICE IS GIVEN IN THE ATLIN LAKE MINING DIVISION OF CANADA, DISTRICT OF CARIBOOR, WHERE LOCATED, THAT THE LAST CHANCE CLAIM, WITHIN LOCATED—THREEWOOD RANCH AND BOUNDARY CLAIMS, NUMBERED 6 OF PINE CREEK.
THERE EXISTING A CERTIFICATE, R. E. JAMESON, agent for W. H. Brown, Free Miner's Certificate, 82,889; and J. M. Downing, Free Miner's Certificate, 82,890, issued 60 days from date hereof, for the purpose of obtaining the necessary Certificates of Improvement.
And further take notice that action, under section 27, must be commenced before the 1st day of June, 1905, for the improvement. Dated this 4th day of March, 1905.
M. R. JAMESON, P. G. C. 108,889.
Queen Charlotte Mineral Claim.
NOTICE IS GIVEN IN THE ATLIN LAKE MINING DIVISION OF CANADA, DISTRICT OF CARIBOOR, WHERE LOCATED, THAT THE QUEEN CHARLOTTE CLAIM, WITHIN LOCATED—LETTING RANCH CLAIM.
THERE EXISTING A CERTIFICATE, HENRY NICHOLSON, Free Miner's Certificate No. 108,941, issued 60 days from the date hereof, for the purpose of obtaining the necessary Certificates of Improvement, for the purpose of obtaining a Crown Grant of the above claim.
And further take notice that action, under section 27, must be commenced before the 1st day of June, 1905, for the improvement. Dated this 9th day of February, A. D. 1905.
HENRY NICHOLSON.
Good Hope Mineral Claim.
NOTICE IS GIVEN IN THE ATLIN MINING DIVISION OF CANADA, DISTRICT OF CARIBOOR, WHERE LOCATED, THAT THE GOOD HOPE CLAIM, WITHIN LOCATED—THE GOOD HOPE CLAIM, Number F. M. C. 87,801, part owner and agent for John Richardson, P. G. C. 88,840, issued 60 days from the date hereof, for the purpose of obtaining the necessary Certificates of Improvements, for the purpose of obtaining a Crown Grant of the above claim.
And further take notice that action, under section 27, must be commenced before the 1st day of June, 1905, for the improvement. Dated this 1st day of April, A. D. 1905.
VANCOUVER ENGINEERING WORKS, LTD.
VANCOUVER, B. C.
SPECIALISTS IN
Hydraulic Mining Machinery.
HYDRAULIC GIANTS, WATER GATES,
RIFLE BARS, STEEL RIVETTED PIPE,
HOISTS, MINING CAGES AND ORE CARS.
MADE TO SPECIAL DESIGN.
A. C. HIRSCHFELD, Agent for Atlin District.
We are having our Spring Clean-Up of Dry Goods.
Come and investigate the prices.
E. L. PILLMAN & CO.
Local Events.
The Carcross Trail has just got in a large stock of Bill Heads, Letter Heads, Cards, Envelopes and general office stationery. Don't order away from home till you get our prices.
Dixon & Schulz brought in over the Carcross trail over 20 tons of freight this week, the bulk of which was for D. G. Stewart.
McDonald's Grocery makes a specialty of fresh eggs and butter.
There will be a song service at the Presbyterian Church in place of the usual service on Sunday night.
Mr. Goldstein returned here on Wednesday, and will remain three weeks.
Garden and Flower Seeds, suited to Atlin's climate, at C. R. Baurne's.
Joe Talmire and Tal. Bennett have taken over the "Royal." As a first-class hotel, it has always led. We wish them success in their new venture. If Joe puts as much energy into hotel business as he does in mining, he will make some of us "sit up."
Mr. D. Ross lost his fine fox terrier this week. One of George Matheson's dogs evidently mistook it for a rabbit and with one bite broke its back.
New stock of Leong's Chocolates at C. R. Baurne's.
The Rev. E. Tarkington and B. Harrisson left for a hunting trip to Copper Island. They are expected back today.
Mr. and Mrs. Paul Eggert entertained a few of their friends at the Kaslo Bay Hall last Wednesday.
Mr. Eggert, our local jeweller, has arrived with a large stock of diamonds and fine jewellery.
Have you got a gold? Try Usher's "A.A.G." bar.
The arrival of two Japanese men is causing much comment. We think they are likely to remain.
The members of the St. Andrew's Presbyterian Church Choir and the Girl's Aid had a most enjoyable sleigh ride last Saturday afternoon. They drove some four miles down Terry Inlet, where refreshments were served, returning home about 4 p.m.
The Royal Hotel Dining-Room is now open and ready for business. The best chef in Atlin has charge of the kitchen.
James Lipscombe is now at Whilhorsie. We will soon be able to reclaim our James again. He is bringing the very latest in whistling songs for the entertainment of his Atlin friends.
The price of furs has again gone down in the London markets.
The Dr. A. S. Keller bowling trophy was won by Mr. Barragar. The trophy was offered for the highest score made in the month of March at the Elks' Club alley. Mr. Barragar's score was 577.
The latest magazines and papers are always on hand at Pillman's.
Dr. H. McDonald has made another return trip to Carcross this week, bringing in a large supply of provisions.
Mrs. Peter's Restaurant and Bakery is now open; also furnished rooms by the day or month.
We hear that our Skagway friends are spearing and gaffing trout. This is most unprofitable. Why not try a Deven mine?
Ben Nicol is still at the Hospital. His partner, Frank Miller, has gone fishing, making things lean on Pine Creek, where a large dump is much in evidence. On our visit, a pan of dirt taken from the tunnel was washed and a fifteen cent cleanup obtained. We are glad to see the boys doing well.
G. H. Cenarie, the new assayer for the Bank of Commerce, arrived yesterday afternoon. He replaces Mr. Kay, who is now at Rossland.
ATLIN'S SHOEMAKER.
R. WHITFIELD, will be in Atlin about the last of April with a full lot of HANSEMADE WATERPROOF SHOES. Hold your orders for him.
Church Notices.
Church at Richland: St. Martin's Chapel, Sunday services, Matins at 10 a.m., Evensong at 6 p.m.; Holy Communion, 1st Sunday in each month and on special occasions. Sunday School, 9.30 to 10.30 a.m. Communion Services, 4th Thursday in each month, 8.30 p.m.
St. Andrew's Presbyterian Church hold services in the Church on Second Street, meeting every Sunday at 11 a.m. and on Sunday school at the close of the morning service. Rev. J. Parkinson, minister.
THE GRAND HOTEL
FINEST EQUIPPED HOTEL IN THE NORTH.
EVERYTHING CONDUCTED IN FIRST-CLASS MANNER.
Up-to-Date Restaurant in Connection.
FRED WRONG, Manager.
CORNER FIRST AVENUE AND DISCOVERY STREET, ATLIN.
THE HALF-WAY HOUSE
is a haven for all travelers. Themselves are friendly and the brauers in the bar are refreshing as the drink of the true minerer. An ideal watering and waiting point.
JAMES CLARK,
PROPRIETOR. |
GUÍAS PROPIAS DE BIM PARA LA GESTIÓN DE PORTFOLIO
Di Giuda, Giuseppe Martino (1); Re Ceconni, Fulvio (2); Dejaco, Mario Claudio (3); Villa Valentina (4) Maltese, Sebastiano (5)
(1) Politecnico di Milano, Department of Architecture, Built Environment and Construction Engineering, firstname.lastname@example.org
(2) email@example.com
(3) firstname.lastname@example.org
(2) Politecnico di Torino, Department of Structural, Geotechnical and Building Engineering, email@example.com
(5) firstname.lastname@example.org
RESUMEN
BIM se está desarrollando en muchos países, pero en su mayoría no es claro cómo y quién debería gestionar su adaptación. El mercado de BIM crece cada día, con un número significativo de cursos de formación y software disponibles, pero aún hace falta definir directrices y procedimientos que permitan orientar a clientes (propietarios e usuarios) a través del complejo proceso de adopción de BIM. Este trabajo pretende mostrar los principales resultados de una investigación realizada por los autores en un caso de estudio para un cliente público italiano que comprende: elaboración de guías, procedimientos, objetos BIM y plantillas para la gestión de una cartera de activos. Las directrices desarrolladas están destinadas a resolver problemas como, por ejemplo, datos faltantes o desactualizados, pérdida de control por parte de los subcontratistas y cálculo inexacto de cantidades. Partiendo de una clara definición de los roles y las actividades a realizar, la investigación se concentró en los pasos a seguir para redactar directrices comprensibles dedicadas a construcciones nuevas, edificaciones existentes y al mantenimiento de las mismas. Los resultados de la investigación guiarán al cliente público en su transición desde procedimientos tradicionales a procedimientos basados en BIM. En este documento, se proveen ejemplos con la intención de ejemplificar el uso de directrices específicas, el caso de estudio presentado en este artículo es el asentamiento de la RAI (Emisora pública italiana) en Bologna (Italia), compuesto por el conjunto de cuatro edificaciones utilizados para diferentes propósitos.
Palabras clave: AIM, gestión de activos, BIM, CDE, directrices.
ABSTRACT
BIM is blooming in many Countries but in most of them it is unclear how its adoption can be governed and by whom. The BIM-market is increasing every day, with plenty of training courses and software, but there still is a great lack of guidelines and procedures to take clients (owners and users) through the risky path of BIM adoption. This paper aims to show main results of a case study research carried out by the authors for a public Italian client: development of guidelines, procedures, BIM objects and templates to be used for managing an asset portfolio. The proprietary guidelines developed are meant to solve problems related...
to e.g. missing and not updated data, loss of subcontractors’ control and inaccurate quantity take-offs. Starting from a clear definition of roles and activities to be done, the research focused on the steps to be taken to write some comprehensive guidelines that deal with new construction, existing buildings and maintenance. The results of the research will guide the public client in his transition from traditional to BIM-based procedures. Examples are provided in this paper aim at exemplifying the use of the proprietary guidelines; the case study presented in this paper is the RAI (Italian public broadcaster) settlement of Bologna, composed by a set of four buildings used for several activities.
**Keywords:** AIM, asset management, BIM, CDE, guideline.
1 INTRODUCTION
Building Information Modelling (BIM) can be considered one of the major and innovative evolutions of processes and instruments in the AEC sector (Architecture, Engineering, Construction); despite the fact that the BIM potential is clear and software are every year more capable, the client has frequently a role very similar to the traditional one, while a step forward is needed to efficiently work with BIM. There are many excellent examples of BIM guidelines to be used by both clients and contractors all over the world (NY and NJ Port Authority [1], PennState University [2], NBIMS [3], etc.), but Italian commissioning bodies, especially public but also private, need to define their own requirements according to the PAS 1192-3:2013 [4]. This activity could take longer than the definition of the bid documents themselves, as it implies the detailed definition of client’s needs, to be translated, thanks to the PLQs (Plain Language Questions) into the EIRs (Employer’s Information Requirements), to be inserted in the BEP (BIM Execution Plan). Traditionally Italian private clients followed the path made by public commissioning bodies (e.g. for the design and tendering process); so the adoption of a strong BIM strategy from the government would result in the adoption in the private sector. The importance of having a guideline to follow during both daily activities (e.g. space layout changes, components replacement, etc.) and tendering (e.g. construction of a new building) is crucial to be able to set the requirements and then to control the material submitted by contractors (designers, construction companies, FM providers, etc.). Moreover, proprietary guidelines are fundamental for an efficient top down approach of the BIM strategy in an institution: the management is demanded to set the objectives in a plain and comprehensible language, to be translated into BIM-technical instructions by BIM managers and technicians. The relationships among actors and the activities are hence described in the guideline, allowing a robust organisational structural, necessary in BIM-oriented processes.
2 STATE OF THE ART
In this paragraph the latest and guidelines are reported aiming at clarifying the context and the purpose of the research. In Fig 1 some interesting approaches to BIM processes are reported, divided by the main countries all over the world. The references are intended as
examples, as many other interesting documents, both from public and private organisations, can be retrieved. Fig 1 provides a clear view of the BIM adoption panorama. The trend is clearly set and all the major governments are adopting it for their public projects; the same is for relevant private projects, while a great effort should be paid to implement BIM processes at a smaller scale.
At European level, a particular attention is provided by the European directive 23, 24 and 25/2014. They have the aim to increase freedom in the choice of the authorities (i.e. MEAT) [13], but in the meanwhile they are asking more skills empowering them. The European directive 24/2014 aims at: (i) procedural simplification; (ii) reducing fragmentation of the contracting authority; and (iii) estimation of the ratio of qualitative to price. Some of all these future measures will concern BIM, which has been introduced in Italy in the art. 23 c. 13 of D.Lgs. 50/2016 [14]. It has been translated by the Italian legislator with the expression “methods and electronic instrument, through open format, not proprietary”; this definition is close to the original one, contained in the Dir. 2014/24/UE, art. 22 c.4. The process is characterised by a strong partnership among the employer and all the suppliers and bidders. In the Italian law (D.Lgs. 50/2016 art. 23 c. 13) BIM is set as a possibility and not as a commitment, based on the fact that Italy do not have an actual law (as the UNI 11337 [18]) and because there are only few people which are trained in this field, even if the situation is changing rapidly.
| Country | Description |
|---------|-------------|
| Singapore [5] | The East, as the USA, are characterised by high prefabrication, construction technologies abundantly using steel, tower buildings and construction sites with presence of many more workers than European standards. This adoption of BIM has been also pushed by the need of having higher performance tools to enable building design that until a few years ago would not have been possible. |
| Finland [6] | As well as Norway and Sweden, it is one of the most advanced European countries in the use of BIM. Here the push to use BIM did not arrive from the government, but from below: companies and designers have wisely adopted this new form of design and management, seeing in it a way to reduce the time, cost and to guarantee a better outcome. |
| France [7] and Germany [8] | Both governments have invested heavily in 2014 and in 2015 to digitize the building process both for buildings and for infrastructure. |
| Italy [9] | Maybe Italy started a bit after other European Countries, but it is gaining ground on BIM field; in fact, some public tenders that require BIM design and model set up for operation and management are currently ongoing. Many businesses and engineering companies are upgrading to BIM and also the BIM design became part of the new procurement code. |
| Spain [10] [11] | The BuildingSMART Spanish chapter made a very broad work, analysing the use of BIM in all the building lifecycle stages; this work is based on the Common BIM requirements 2012 [6]. In addition to this, the es.BIM initiative is actively working for exploiting BIM in the country. |
| United | Very devoted to the use of BIM, in public, private and infrastructure sectors. |
Various ministries (e.g. the Ministry of Justice) have created their own guidelines for use of BIM and the government has decided that from 2016 new public projects are managed in BIM. BIM is very developed in central administrations and national projects, but it still needs to be exploited in local governments, such as rural municipalities.
USA could be considered the inventors of the BIM process, which fits well with prefabricated construction technologies and system engineering, which are the critical aspects of their buildings. They are among the largest creators of guidelines for BIM; among them, it is useful to mention the one of the Port Authority of the states of New York and New Jersey, very detailed and lean.
Fig 1. BIM adoption in major Countries. 2017. Made by the authors.
3 RESEARCH METHODOLOGY
This research lasted almost two years, including literature review and development of procedures, instruments, tools and application to a real case study. The final objective was to create a BIM guideline to be used to manage an existing asset portfolio; together with the guideline, BIM models templates and BIM objects have been produced according to the requirements, with specific sets of attributes and functions to be carried out with linked models (i.e. structural, architectural and MEP). These models have been connected to external databases to better manage historical data about buildings and their components (e.g. documents and maintenance operations). This paper is focused on the contents and application of the guidelines, aiming at describing the principles with which has been developed and the actions that can be governed with it. The development of the guideline can be divided into the following steps: (1) analysis of the requirements of the client; (2) analysis of procedures and workflows currently adopted by the client; (3) analysis of issues and potential of the current strategy; (4) definition of a BIM strategy and new roles; (5) definition of main contents of the guideline; (6) definition of informative and graphical content of objects and model to meet client’s objectives; (7) writing of the core parts of the guideline; (8) modelling of objects, models, database creation and testing; (9) writing of the final guideline and annexes documents (EIR, BEP, objects attributes, etc.); and (10) final testing to fine tune procedures and templates. The testing of the guidelines and connected documents has been performed on the RAI settlement of Bologna. This testing has been firstly made by modelling the buildings and inserting the data (documents, pictures, attachments related to the current situation) according to the guidelines and then trying to use the new system and procedures to manage daily asset management activities. The tests have been performed by both high-level managers and facility managers of the settlement. The guideline has been written starting by major existing guidelines all over the world and following the ISO 12911:2012 [15], so to have a guideline tailored to client’s needs but also valid at the international level. The next paragraphs contains a detailed description of the guideline, how to use it in recurring asset management activities and some applications to the case study, with the aim of clarifying potential and field of application of the guideline.
4 THE PROPRIETARY BIM GUIDELINE
In this paragraph main contents and features of the guidelines are described, paying also attention to their practical and direct application into asset management activities. The development of a precise and detailed guideline is mandatory for a profitable application of BIM procedures in a company, no matter if private or public, because it sets both the objectives and the ways to achieve them, allowing both bidders to make their work and the company to control their results, achieving the objectives respecting both time and money constraints. In the next paragraphs connections with current standards and best practices, main contents of the guideline and its application to practical workflows is presented, with the aim of explaining how BIM can be fruitfully introduced in a company management process.
4.1 Connections with current standards
The ISO/TS 12911:2012 [15] has been one of the most important references in the development of the guideline, as it specifies how to make a proper BIM commissioning; relevant topics are implementation of repeatable processes, guidance testing and completeness of guidance documents. What comes out from the analysis of the standard is that the more the process is guided and properly explained, the more the output can be controlled; a detailed guideline is mandatory for the BIM implementation into a company. The guideline developed is in between the company and the software related use (Fig 2): it sets macro and sub-objectives, process and sub-processes to achieve them, but also main steps to be carried out in the various software involved in the processes. The document is not a software guidance, but some steps to be followed are critical for the organization and effectiveness of the output and of the process, especially in a complex and large company like RAI (e.g. setting output, even complex, may be not enough for achieving company’s objectives). Attributes of the objects and, more in general, data required by the company (in terms of information flows and exchanges) have been organised according to the guidance provided by the ISO 29481-1:2010 [16]. Company’s requirements have been divided by stage (e.g. design, construction, operation and maintenance) and the turned into technical specifications to be fulfilled in the Asset Information Model (AIM). The PAS 1192-2 [17], focused on the information delivery, LOD and LOI definition has been a valuable guidance during the definition of the workflows and of the attributes of the BIM objects and models. The PAS 1192-3 [4] helped in the transposition of the asset management processes from plain language to technical requirements; moreover, it had a fundamental role during the definition of the structure of the guideline and of the macro-processes. With these premises, the proprietary BIM guideline developed can be considered compliant with the current international framework; moreover, part of this work has been inserted in the UNI 11337:2017 [18], becoming part of the current national framework.
4.2 Contents
The contents structure has been defined according to the best examples and the standards cited above. Here main contents of the guideline are described.
**Introduction**: this is not only a simple foreword of the guideline, but an important section of the document, in which actors and their workflows are described. The introduction sets the boundaries of the use of the guidelines, together with application purposes and objectives. It describes the path to be followed, using predefined documents and tools.
**Denomination**: this guideline is demanded to set up and control complex procedures, with consequences on the whole process. The guideline defines a robust process and precise nomenclatures, to be used in the management of documents and in objects/buildings modelling. This chapter includes the denomination of models, documents, disciplines, families, materials, etc. according to the RAI standard: (1) settlement code; (2) building code; (3) storey code; (4) room code; and (5) object code. In this chapter the directory, with its main folders, is defined: 2D drawings, database, families, models and pdf is described. All views, phases, browsers, plans and connected files are defined in terms of nomenclature and relationships among them.
**BIM Template**: this chapter defines all the key characteristics and features of the BIM templates, divided in architectural (including fire system), structural, mechanical, electrical and master; the last is a coordination template collecting all the other models, linked according to the rules contained in this chapter. Rules about these topic are written: project browser, title block (used to track relevant changes in the model), organisation of levels, grid, views, schedules, rooms, areas and output. This chapter is both a description of the templates but also a guide to produce new ones, compliant with the rules.
**BIM library**: this chapter contains information about how BIM objects families have been modelled and have to be modelled, in case new objects or types are required. For this first version of the guideline, 197 families have been created; to them, all the families built in the template have to be added (e.g. slabs, walls, roofs). All the objects modelled have been described in specific datasheets that contain all the shared parameters associated to them (name, type/instance, group, unit of measure). Autodesk Revit 2016 has been used in this
process, so the objects may suffer constraints/characteristics due to the BIM authoring software used. This chapter contains the rules to be used in the management of the BIM library. Materials colours have been defined, so to make objects immediately recognisable in the various model views.
**Use of the BIM templates**: this chapter describes with plenty of details the procedures to use the various templates, modelling buildings and creating digital assets, containing all the data necessary for the management. This chapter contains precise procedures to link the models (e.g. architectural and structural, mechanical and architectural). This chapter is slightly different from current guidelines, as it sets with an high level of detail not only the objectives to be achieved, but also the correct procedures to reach them; this requires a robust definition of both objectives and activities to be carried out by the actors, but it allows the company to control subcontractors, designers and services providers. Then this guideline is forcing people to follow fixed procedures; this has been a matter of great discussion, research and experiments, but it eventually allowed to exploit BIM into RAI current asset management strategy. Setting only the objectives, as can be seen in the case study section, would not allow for a precise control of models and processes, especially during this transition to BIM.
**Template DB (database)**: the databases are associated to the BIM templates and allow to perform activities different but complementary to the ones carried out with the models. Moreover, databases can be fruitfully used by managers, who have great experience and who are demanded to make decisions, but that are not skilled in the use of BIM authoring tools. This chapter contains all the key characteristics and features of the DB templates, divided in architectural (including fire system), mechanical, electrical and master; all the database, except from the master, are linked to the related BIM models. The DB master is linked with all the other databases, but with no BIM model (to avoid duplicated data). This chapter contains also indication about information that has been collected from RAI documents (e.g. maintenance datasheets, contracts, etc.) and then opportunely organised. This chapter describes also the relationships of the databases (relational, made with Microsoft Access), main tables, queries, macros and buttons to automate activities.
**Use of the DB templates**: this chapter, similarly to the fifth, explains procedures and tools to be used, when and by whom, to use the databases and to manage the data contained in them. The main activities for which they are used are related to the management of: maintenance (input of data about maintenance operations performed associated to objects), documents and spaces. All the procedures described are guided and strongly connected to the objects in the BIM models.
The guideline has been created together with a set of annexes, necessary for its correct use, as well as model and database templates.
**LOD and LOI definition**. This annex is fundamental for the proper implementation of the BIM strategy in the company and for the correct use of BIM templates and of the guideline in general. This annex defines the Level of Detail (LOD) and the Level of Information (LOI) of all the objects modelled in the BIM library or to be modelled by future designers. This document
allows for controlling the BIM objects, checking the presence of the parameters for the correct implementation of the guideline. Moreover, the annex defines when these data must be filled according to the Italian law [14] and by whom.
**EIR (Employer’s Information Requirements).** The objective of this document is to define the specific objective of the company according to the new BIM processes adopted in the guideline. This template, to be used in case of tendering, contains these chapters: objectives, laws references, procedures, IT characteristics, project characteristics, time and costs validation rules and process management rules. This template has to be filled by the company in case of development of new projects to be assigned to external contractors.
**BEP (BIM Execution Plan) template.** This document defines the boundaries in which the various actors of the BIM process must operate, share information and deliver the project as requested by the client. The BEP must be submitted by the contractor after the award of the tender and updated during the whole process. This document and the previous one have been fitted to the RAI needs in terms of BIM adoption strategy.
### 4.3 Operational workflows
The guideline pays great attention to the workflows to be followed by the various actors to make their duties. These workflows have been borrowed from the current practice of the company and then adapted to meet the new BIM-compliant procedures. Moreover, they comply with main standards related to portfolio, asset and facility management [19] [20] [21]. The result is a set of defined roles and workflows to be adopted during the operational phase by current managers; the goal in this part was to develop procedures BIM-compliant but also comprehensible and readily applicable, with the necessary training, has been one of the leading criteria in the development of this research. In this paragraph some of the workflows defined are briefly presented, also in combination with relevant BIM models and databases involved in the management process.
**New construction:** objective of this workflow is to guide the creation (design, construction, operation) of a new settlement or of a new building in an existing settlement. This workflow starts with the necessity expressed in plain language by the portfolio manager, transferred into the EIR by the BIM manager; of course this necessity must be approved by the management according to the company’s strategy. Designers can then participate to the tender with a pre-contract BEP and then, after the award, they can submit the post-contract BEP and produce the necessary documents and models in accordance with the RAI proprietary guideline and its annexes. So the BIM manager validate the models and the documents submitted and, if no changes are required, deliver the Asset Information Model to the BIM coordinator of the settlement, which is eventually demanded to update the databases connected with the BIM models.
**System replacement:** objective of this workflow is to guide the replacement of a system (or a relevant part of it) into an existing settlement. The director of the settlement, in accordance with the facility manager, ask for the approval the portfolio manager, which should be
informed in case of important expenses and modifications. Then the workflow is similar to the previous, except for the fact that the BIM model is delivered by the BIM manager to the designers, which have the duty to update the BIM models according to the guidelines. Once the project is ended and validated by the BIM coordinator, the facility manager can update data in the database and provide information and benchmarks to the director of the settlement. Eventually the ordinary maintenance can be carried out, as explained in the next workflow.
**Routine maintenance**: objective of this workflow is to guide the archiving process of data related to the maintenance operations performed on the buildings and their parts. The maintenance operation is approved or requested by the facility manager, which refers to one or more maintenance operators that are connected to the company (with a global service or other types of contract). The operator performs the maintenance as requested and fills a report. The facility manager validate the documents submitted and updates the database with the information provided. The BIM coordinator exports the data from the databases to the BIM models (with a guided procedure described in the guideline), so to update them.
The central idea behind these workflows is to have always a robust validation of the information and of the models provided by actors external to the company. The second idea is to have a robust hierarchy that links the BIM manager, at portfolio level, and the BIM coordinators at the settlements level, so to have always updated, reliable and univocal data. These workflows have been tested and validated by the company; some examples are provided in the next chapter.
## 5 CASE STUDY
The BIM guideline has been applied to the settlement of Bologna, made of four buildings with different function, for a total of 15’000 m² of gross floor area. This settlement is representative of the RAI Italian portfolio, so it has been considered a suitable case study for the validation of the guideline. In the next paragraphs two examples of application are presented, with the aim of showing the guideline and its main features.
### 5.1 Settlement description
The settlement consists of four existing buildings (Fig 3): the main one contains mainly offices, direction and production rooms (TV and radio studios, offices, canteen, underground parking, etc.), while the others contain respectively the entrance (which is regulated for security issues), services rooms, mechanic’s workshop and garage. The masterplan has been made linking together all the models, divided by discipline (architecture, structure, systems) and by building; the main purpose of this model is coordination and visualisation, while management (e.g. maintenance operations data storage, documents management, space management, etc.) is carried out in the single BIM models and databases. While the three ancillary buildings are quite simple in terms of shapes and technologies, the main building has five storeys and a complex infill, with a mixture of different technologies and finishing, mainly due to the modifications occurred over the years. This complexity, initially
perceived as an obstacle in the modelling phase, helped for the creation of a robust coding system able to define spaces and technologies, being eventually able to manage all the finishing in connection to spaces and zones of the building.
The building has been surveyed to update and correct the as-built and design drawings provided by the client; only minor changes to the model (respect to the drawings provided) have been performed as all the main components where in the correct position. On the opposite, a detailed survey has been performed to gather all the different finishing of each space (floors, walls, ceiling), with more than one hundred of types. Great attention has been paid to structures, which have been modelled as a stand-alone BIM model, linked to the architectural one; structural drawings where up-to-date and no modification has been necessary. Regarding the systems, as-built drawings and layouts have been used to locate and model main components (e.g. heat generators, fan coils, plugs, air terminals, etc.); a detailed survey has been performed to validate number and type of light bulbs. The models contain totally more than 33’000 objects over the settlement. For this first case study, ducts, piping and circuits have not been modelled, as not surveyed. The survey has been conducted with the rules written in the guideline, which have been also updated with feedbacks from both RAI asset management team and the professionals demanded to create the BIM models. The models have been eventually set up with all the attributes described in the guideline and in the attached document related to LOD and LOI definition.
Fig 3. BIM masterplan of the settlement. 2017. Made by the authors.
5.2 Existing buildings
Existing buildings, especially offices, frequently need to be modified, to meet higher standards or client’s requirements. The guideline has been set up to regulate the information exchange, as instance, in case of internal layout modification.
Fig 4. Comparison plan in case of layout modification. 2017. Made by the authors.
In this brief example, main steps of the process are reported, aiming at showing potentials and criticalities of the guideline. A change in the offices layout (internal walls, systems and rooms surface) has been simulated to test procedures, workflows and instruments developed. Here an extract of the comparison plan (demolition and new construction) is presented (Fig 4). The workflow allowed the client to express his need, the designer to modify the model (adding a new phase) and eventually the facility manager to update data about systems and surfaces. At the portfolio level, spaces naming, areas and functions have been updated. All the data were consistent and updated in all the phases.
5.3 Ordinary maintenance
In this example some maintenance operations are performed on one of the two heat generators. Thanks to the instruments developed, the maintenance operator, after the operation, has been able to enter the summary data and to associate them to the object in the mechanical BIM model. The attribute “last maintenance performed” on the heat generator has been also automatically updated. In the Fig 5 an extract of the maintenance sheet (left) and the updated BIM object (right) is presented.
**Fig 5.** Maintenance operations data entry. 2017. Made by the authors.
This procedure, fully described in the guideline, helps in dealing with information during the settlement management. The data can be further elaborated to benchmark the behaviour of services providers and components failure rates, so to improve the settlement operation and cut operational costs.
6 DISCUSSION AND CONCLUSIONS
BIM processes are a mandatory step for the development of the AEC sector; nevertheless, more than software, BIM-oriented strategies are needed. This guideline aims at filling the gap between operators and managers, allowing the latter for a better asset and portfolio management strategy. The guideline developed can be considered an innovation of the current state of the art as it states not only input and output (e.g. plans, bill of quantities), but also defines precise actors and workflows to be followed, allowing the client to control operators’ work. This is relevant in the current panorama, characterised by a great
uncertainty of the roles and of the procedures to be adopted. This guideline clarifies both strategy, at high level, and objectives, at middle and low levels, supporting activities and interactions among actors. Authors planned to revise and improve the guideline with feedbacks coming from the client, which is currently using it; moreover, additional procedures, related to the management of construction sites (to deliver as-built BIM models) are currently in the development phase. The Italian government, once set its strategy on digitisation of the construction process according to D.Lgs. 50/2016 art. 23 c. 13 [14] (currently is just an indication), will be probably asking for interoperable formats to make the process more standardised; this guideline could be then adapted to these requirements, including as instance the use of IFC models to store and exchange data (allowing different BIM authoring software) but for now, the goal was delivering a set of procedures and tools ready to be implemented in the current asset management process of the company. Moreover, processes, workflows and data described in the guideline can fit into an interoperable process, as it will be requested by the government, as they are not connected to a specific tool.
7 ACKNOWLEDGEMENTS
This research work was funded by RAI – radio Televisione Italiana. Authors greatly acknowledge Francesco Paleari, Marco Schievano and Paolo Ettore Giana for their fundamental work in the research team.
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Identification of \( \text{cpxR} \) as a Positive Regulator Essential for Expression of the \( \text{Shigella sonnei} \) \( \text{virF} \) Gene
SHU-ICHI NAKAYAMA AND HARUO WATANABE*
Department of Bacteriology, National Institute of Infectious Diseases,
Toyama 1-23-1, Shinjuku-ku, Tokyo 162, Japan
Received 15 January 1998/Accepted 9 May 1998
\( \text{virF} \) is the master regulator which activates the virulence determinant genes of \( \text{Shigella} \) spp. such as \( \text{ipaBCD} \) and \( \text{virG} \). We previously reported that expression of \( \text{virF} \) itself is regulated in a pH-dependent manner and that \( \text{cpxA} \), a sensor of a two-component regulatory system, is involved in this regulation (S. Nakayama and H. Watanabe, J. Bacteriol. 177:5062–5069, 1995). Disruption of \( \text{cpxR} \), which has been thought to be the cognate response regulator of \( \text{cpxC} \) (J. Dong, S. Iuchi, H.-S. Kwan, Z. Lue, and E. C. C. Lin, Gene 136:227–230, 1993), abolished \( \text{virF} \) expression almost completely. Purified CpxR bound directly to the upstream region of \( \text{virF} \). Binding capacity was enhanced when CpxR was phosphorylated by coinubication with acetyl phosphate in vitro. Furthermore, we observed that phosphorylated CpxR could activate \( \text{virF} \) transcription in vitro. These results clearly indicated that CpxR was an essential activator for \( \text{virF} \) expression and strongly suggested that the binding of phosphorylated CpxR to the target site upstream of the \( \text{virF} \) gene induced a direct activation of \( \text{virF} \) transcription.
Studies of the virulence factors of pathogenic bacteria have revealed many genes encoding virulence effectors. They have often been shown to be subject to tight coordinate regulation dependent on many environmental conditions (for reviews, see references 7 and 16). This tight regulation is accomplished by well-suited cascades in which many regulators participate. These cascades are divided into many steps, implying the necessity for accurate checks of the environmental conditions that affect the expression of virulence effectors. This is also true of the regulatory circuit for virulence expression of \( \text{Shigella} \) spp., where both the pusulant agents of bacillary dysentery, \( \text{virF} \), and the master activator for \( \text{Shigella} \) motility (1, 12), is contained in the “virulence plasmid” harbored by these bacteria. This plasmid also contains \( \text{ipaBCD} \) genes, whose products are the direct apparatuses for host cell invasion (17), and genes required for bacterial movement in the host cells such as \( \text{virG} \) (14). These genes produce the direct effectors for the virulence of \( \text{Shigella} \) and are positively regulated by \( \text{virF} \). VirF induces the transcription of the second activator, \( \text{invE} \) (\( \text{virB}, \text{ipaR} \)), which is also contained by the plasmid (1, 33). InvE, in turn, induces the transcription of the \( \text{ipabCD} \) operon (1, 33). VirF is believed to activate its own expression directly (26). In all, a fine-tuned regulatory cascade starting at \( \text{virF} \) is established (for reviews, see references 10, 22, and 27).
Research on the environment-dependent regulation of this cascade revealed some important knowledge about the effects of temperature (32), osmolarity (3), and pH (19) on the control of the cascade. Among these effects, the temperature-dependent repression of \( \text{invE} \) has been investigated most intensively. H-N5, a chromosome-encoded histone-like protein, is required for the apparent repression of \( \text{invE} \) transcription at 30°C (31). It is believed that although VirF activates the transcription of \( \text{invE} \), H-N5 interferes with this activation at 30°C and this interference is released at 37°C (31). However, there has been little information about the environmental condition which affects \( \text{virF} \) expression and the mechanism that produces the effect. We have noticed that the expression of \( \text{virF} \) itself is also regulated on the basis of the environmental condition and accordingly that \( \text{Shigella} \) spp. require that the proper conditions for virulence expression be present at the \( \text{virF} \) gene expression step. Our work showed us that there exists a further upstream regulatory locus that controls \( \text{virF} \) expression, and we previously reported that chromosome-encoded \( \text{cpxA} \), a signal sensor of a two-component regulatory system, is involved in the pH-dependent transcriptional regulation of \( \text{virF} \) (19). However, the precise mechanism by which \( \text{cpxA} \) regulates or modulates the expression level of \( \text{virF} \) and the molecular significance of the regulation are unclear. Generally, a signal sensor functions in combination with a cognately paired response regulator in order to regulate the expression of target genes (for reviews, see references 2, 9, and 29). Therefore, our previous result implied the existence of a response regulator which is paired with \( \text{cpxA} \) and which regulates \( \text{virF} \) expression. In order to obtain some information on this issue, we constructed a disrupted mutant version of \( \text{cpxR} \), which has been hypothesized to be the cognate response regulator of \( \text{cpxA} \) in this two-component system (8), and characterized it. In consequence, we revealed that CpxR is a direct activator essential for \( \text{virF} \) expression.
MATERIALS AND METHODS
Bacterial strains and plasmids. The bacterial strains and plasmids used in this study are listed in Table 1. \( \text{Escherichia coli} \) K-12 MC1061 (28) was used as the wild-type strain. \( \text{Km}^+ \) (11) was the host for expressing plasmids. Male-CpxR fusion protein, pHW10, containing the \( \text{virA}::\text{lacZ} \) transducing factor gene, a reporter of \( \text{virF} \) expression level, was described previously (19). pJK10, which expresses \( \text{epd} \) under the control of the \( \text{lac} \) promoter (24), was a kind gift from P. M. Silverman.
Media and buffers. Luria-Bertani (LB) broth (18) containing 0.1 M sodium phosphate buffer (pH 6.0) or 7.4) was used for bacterial growth. When cultures were grown for plasmid or chromosome DNA preparation, simple unbuffered LB broth was used. Antibiotics were added to the media when necessary, and concentrations (in micrograms per milliliter) were as follows: ampicillin, 100; chloramphenicol, 10; kanamycin, 40; streptomycin, 100. Phosphate-buffered saline (0.8% NaCl, 0.02% KCl, 0.3 mM Na₂HPO₄, 0.15 mM KH₂PO₄) was used for bacterial dilution. During the purification of proteins, a protein column buffer (20 mM Tris-HCl [pH 7.4], 200 mM NaCl, 1 mM EDTA) was used for the bacterial suspension step. For the dilution of protein samples, we used a protein elution buffer consisting of 50 mM Tris and 380 mM glycine, which is the same as 0.2% sodium dodecyl sulfate (SDS)-polyacrylamide gel electrophoresis running buffer without SDS.
* Corresponding author. Mailing address: Department of Bacteriology, National Institute of Infectious Diseases, Toyama 1-23-1, Shinjuku-ku, Tokyo 162, Japan. Phone: (81-3) 5285-1111, ext. 2201. Fax: (81-3) 5285-1163. E-mail: email@example.com.
Preparation and manipulation of DNA. The preparation and manipulation of chromosomal and plasmid DNA were carried out essentially as described by Maniatis et al. (15).
Plasmid construction. pSNU108 was constructed by recloning a 2,499-bp BglII-SstI fragment of pSN0612 (19), which contains almost nothing but the cpxR-cpxA operon (8), into the BamHI-SmaI sites of pACYC177 (5). The orientation of transcription of the Kan gene from this vector (Km) is opposite to that of the cpxR-cpxA operon in pSN0612. pSN1216 was a plasmid for the disruption of cpxR that was constructed as follows. A 3-kb EcoRI fragment containing pSN0612 containing the cpxR gene was cloned into suicide vector pKH5002 (20), whose replication is sensitive to RNase H. The resulting plasmid was digested by XbaI at a recognition site of which lies between nucleotides (nt) 395 (C) and 396 (G), as shown in Fig. 2 of reference 8 and which is unique in this construct, and the digested site was filled in by Klenow fragment of *E. coli* DNA polymerase I. A 1-kb Km cassette fragment of pBR322-Tn5 was inserted into this site. The whole construction procedure was performed in MBS (20), an RNase H-sensitive strain. pMAL-CpxR14, an overproducer of the MaLe-EcpxR fusion protein was constructed as follows. The DNA fragment prepared corresponding to the reading frame of cpxR starting from the SmaI end and ending at the stop codon was synthesized by PCR. The prepared fragment was trimmed by Klenow fragment of *E. coli* DNA polymerase I and ligated into the XmaI site of pMALTM2 (New England Biolabs, Inc., Beverly, Mass.). Since the XmaI site is located at the precise position corresponding to the cleavage site of sequence-specific endoproteinase factor Xa (carboxyl-terminal side of E-G-R), this construct was expected to produce an active CpxR without any N-terminus after factor Xa digestion of its fusion protein. After ligation, the complete nucleotide sequence of the cpxR portion of this plasmid was determined in order to check for the precise PCR amplification of cpxR as well as for the presence of any mutations.
pSN600-T, a template for the in vitro transcription of virR, was constructed by cloning a 547-bp HpaI-ClaI fragment starting at nt −369 and ending at nt +178 (where the transcription start site of virR [19] is located) into the HindIII-ClaI sites of pHS600 (30), following the protocol of the 14-kb HindIII-rmbT fragment terminal fragment (4) or the ClaI site. Suitable orientation of integration of the terminal sequence was confirmed by nucleotide sequence analysis. The transcription orientation of the *lac* promoter from the vector is opposite to that of virR in the chromosome.
Southern hybridization analysis. Chromosome DNAs were prepared from MC1061 and SN1216 (DNA (10 μg) from each strain) were digested with EcoRI and run on a 0.8% agarose gel containing 0.5 μg of TAE per ml. The gel was depurinated with 0.5 M NaCl, denatured with 1.5 M NaOH-0.5 M NaCl, neutralized with 1.5 M NaCl-0.5 M Tris-HCl, pH 7.5. Then, DNA was blotted onto a nylon membrane (Hybond-N; Amersham, Buckinghamshire, United Kingdom) with 20× SSC-0.3 M sodium citrate plus 3 M NaCl, pH 7.0, by a capillary blotting method. After hybridization of DNA by using [α-32P]dCTP (Fujinon, Tokyo, Japan), the blot was subjected to hybridization. Hybridization was carried out with a nonradioactive labeling kit (ECL direct nucleic acid labeling and detection systems; Amersham). A 3-kb EcoRI fragment containing the cpxR gene was purified from pSN0612 (19), labeled with horseradish peroxidase as directed by the manufacturer’s manual, and used as a probe. Hybridization, washing, and detection of signals were also performed in accordance with the manual and were followed by autoradiography and phosphorimager analysis usually for 10 min.
Overproduction of MaLe-EcpxR fusion protein. Transformation of CpR-TB1 harboring pMAL-CpxR14 was cultured to an optical density at 600 nm (OD600) of approximately 0.5. After the addition of IPTG (isopropyl-β-D-thiogalactopyranoside) to a final concentration of 0.5 mM, the induced expression of the cloned fusion protein was allowed proceeded until the OD600 of 1.0 was reached. Cells were harvested by centrifugation, suspended in the protein column buffer described above, frozen once at −20°C, and then thawed. After adequate sonication, soluble crude extract was obtained by centrifugation. The extract was loaded onto an affinity resin to which the immobilized biotinylated form of the fusion protein binds. The resin was washed with 10 volumes of protein column buffer, and the fusion protein was eluted with a protein column buffer containing 10 mM nialamide. The eluate was dialyzed against fraction Xa for 2 days at room temperature after the addition of SDS to a final concentration of 0.025% for partial denaturation of the sample, which was required for digestion in this case. After adequate dialysis against the protein column buffer, the digest sample was loaded onto another affinity resin, resolubilized, and the eluate of multidigesting protein in the sample, and the flowthrough fraction was collected. The fractionated sample was concentrated adequately by ultraltration, divided into small aliquots, and stored at −70°C.
Gel shift assay. DNA fragments consisting of nt −103 to +110 (probe C) and +37 to +110 (probe D), with the transcription start site of virR as nt +1 (19), were synthesized by PCR. The 1 terminus of each probe was labeled with 5′-end of d[32P]dATP (3,000 Ci/mmol; TLD-111 AKT; Boehringer Mannheim, Germany) by 1 U of terminal deoxynucleotidyl transferase at 37°C for 30 min in 200 mM potassium cacodylate-25 mM Tris-HCl (pH 6.6)-0.25 mg of bovine serum albumin-0.1% SDS-5 mM MgCl2. After the labeling reaction, the probes were precipitated with ethanol (EtOH), redissolved in H2O, and stored at −20°C. Eight femtomoles of each DIG-labeled probe was incubated with the CpR-X sample at 25°C for 30 min in 20 mM HEPES (pH 7.6)-1 mM EDTA-10 mM (NH4)2SO4-1 mM MgCl2-100 mM KCl-100 mM NaCl-100 mM glucose-100 mM dithiothreitol (DTT) per 20 μl-0.1 μg of poly-dT-biotin per 20 μl, in a final volume of 50 μl. When phosphorylated CpR-X sample was used, 30 pmol of CpxR was phosphorylated by incubation with 100 mM ATP-10 mM MgCl2-10 mM DTT-100 mM KCl-100 mM NaCl-100 mM glucose-100 mM dithiothreitol at 37°C for 30 min in 50 mM Tris-HCl (pH 7.6)-5 mM MgCl2-1 mM DTT-100 mM KCl-100 mM NaCl-100 mM glucose-100 mM dithiothreitol. This is essentially the same method as that described previously (13). After the addition of 5 μl of 0.25× Tris-borate-EDTA (TBE) containing 40% glycerol, incubated on ice for 10 min, the samples were electrophoresed in 1.2% TBE gels by electrophoresis onto nylon membranes (Hybond-N; Amersham) and fixation by UV cross-linking. Detection of DNA fragments by anti-DIG Fab fragment-alkaline phosphatase conjugate (Boehringer GmbH) and substrate CSPD (Tropix Inc., Bedford, Mass.) was performed as directed by the manufacturer (Boehringer GmbH).
In vitro transcription of virR. pSN600-T or pHS397 (0.5 pmol) was preincubated with CpR sample in 40 mM Tris-HCl (pH 7.9)-10 mM MgCl2-0.1 mM EDTA-150 mM KCl-5% glycerol-2 mM DTT at 37°C for 5 min, followed by the addition of 1 U of *E. coli* RNA polymerase (Pharmacia Biotech, Uppsala,
The phosphorylation of the CpxR sample was as described above. After further incubation at 37°C for 10 min, transcription was started by the addition of 400 μM ATP, 400 μM CTP, 200 μM GTP, 100 μM UTP, and 1 μM [α-32P]UTP (3,000 Ci/mmol). The final volume of the reaction mixture was adjusted to 50 μl, and transcription proceeded at 37°C for 30 min. The reaction was stopped by the addition of EDTA and yeast tRNA at final concentrations of 40 mM and 0.1 mg/ml, respectively. The samples were extracted with phenol:CHCl₃, precipitated by EtOH, and resuspended in 7.5 μl of H₂O. The same volume of 10 mM Tris-HCl (pH 7.5)–10 mM EDTA–0.25% xylene cyanol–0.25% bromophenol blue–syringe buffer was added to the samples containing RNA. The samples were heated at 95°C for 3 min and quickly chilled on ice. The denatured RNA was analyzed by electrophoresis on an 8% polyacrylamide gel (19:1) containing 8.3 M urea in 1× TBE, followed by autoradiography. For a molecular weight standard, a 100-bp DNA ladder (Life Technologies, Inc.) was labeled with [γ-32P]ATP (6,000 Ci/mmol), denatured, as described above, and loaded on the same gel.
β-Galactosidase assay. β-Galactosidase activity was determined essentially as described by Miller (18). Bacterial cultures were grown with shaking at 37°C in 1.5 ml of LB medium containing 0.1 M sodium phosphate buffer (pH 6.0 to 7.4) and an OD₆₀₀ of approximately 0.4. The cells were harvested and resuspended to 1.5 ml of buffer. After heating at 95°C for 3 min and cooling on ice, and adequate dilution with Z buffer, the samples were used for the assay. Activity was expressed in Miller units. All assays were performed at least four times, and errors in the results obtained were within ± 10% of the averages.
Enzymes and reagents. Restriction endonucleases. Restriction enzymes were obtained from Takara Shuzo Co., Kyoto, Japan. Terminal nucleotidyl transferase, DIG-11-dUTP, anti-DIG Fab-alkaline phosphatase conjugate, and CSPD were from Boehringer Mannheim, GmbH. E.coli c2 vector, ampicillin resistant, Xa were from Stratagene, La Jolla, Inc., and the RNA polymerase was purchased from Pharmacia Biotech. [α-32P]UTP (3,000 Ci/mmol) and [γ-32P]ATP (6,000 Ci/mmol) were purchased from DuPont/NEN Research Products, Boston, Mass.
RESULTS
Disruption of cpxR gene and examination of the effect. In a previous paper, we reported that the expression level of virF was regulated in a pH-dependent manner in E. coli as well as in Shigella spp. and that cpxA, a signal sensor gene of a two-component signal transduction system encoded on 88 min of the E. coli genome, is involved in this regulation (19). Generally, a signal sensor regulates the expression of the target gene(s) through the cognately paired response regulator by phosphorylation/dephosphorylation. Therefore, our previous observation implied the existence of a response regulator which pairs with the cpxA sensor protein by transmission of a phosphate group. Previously, Dervan et al. reported that a response regulator, cpxR, is located just upstream of cpxA (8). Recently, Silhavy reported that phosphorylation events between CpxA and CpxR played an important role in Cpx signal transduction (25). This is supporting evidence that cpxR is the cognately paired regulator gene of cpxA. If this is indeed the case, the inactivation of cpxR must also affect the expression of virF cloned in E. coli. With this idea in mind, we decided to construct a cpxR disruptant strain. For this purpose, we constructed plasmid pSN1216K+, as described in Materials and Methods. This plasmid was introduced into MC1061; pSN1216K+ is a derivative of pJKH1002, whose replication is sensitive to RNase H (20). Therefore, it could be used to stably carry the whole plasmid was integrated into the cpxR region of the chromosome via homologous recombination by selection of both Ap' and Km' cassette transformants. In this strain, both intact and Km' cassette-disrupted cpxR genes are located contiguously, together with plasmid sequences (single crossover). The plasmid contains a wild-type cpxA gene, which confers Sm' in MC1061, which was originally an Sm' strain (28). So, subsequent positive selection of both Sm' and Km' colonies from the single-crossover strain resulted in the deletion of the intact cpxR gene as well as the plasmid sequences (double crossover). The procedure of disrupting cpxR is summarized in Fig. 1a. The chromosomal construction of the double-crossover strain was confirmed by Southern hybridization of EcoRI-digested chromosomes of the obtained strain and the parent, MC1061, with a probe consisting of a 3-kb EcoRI fragment containing the cpxR region. In MC1061, a single 3-kb band was detected as expected (lane 1 of Fig. 1b). On the other hand, we observed a single band about 4.5 kb long, instead of the 3-kb band, in the obtained strain (lane 2 of Fig. 1b), which is consistent with the length of the inserted Km' cassette, 1.4 kb. Thus, we named the strain SN1216 and used it as a cpxR disruptant thereafter.
We examined the expression level of virF in SN1216 at pH 6.0 and 7.4, with pHW848 as a reporter plasmid (19), according to the hypothesis described above. The results are shown in Table 2. The effect of the gene disruption in SN1216 was remarkable. Virtually no detectable expression of virF was observed in this strain at both pH's. As the complementation analysis clearly demonstrated that cpxR has potential for virF expression (see below), it was revealed that cpxR regulated virF expression, as cpxA did (19). This is strong supporting evidence of cognate pairing between cpxA and cpxR, a signal sensor and...
TABLE 2. Effects of *cpaR* and *cpaA* mutants on *virF* expression
| Strain (relevant genotype)* | β-Galactosidase activity (U) at pH |
|-----------------------------|----------------------------------|
| | 6.0 | 7.4 |
| MC1061 (*cpaR*− *cpaA*−) | 308 | 2,840 |
| SN1216 (*cpaR*:Km*) | 50 | 50 |
| SN1044 (*cpaA*:Tn10) | 3,500 | 1,670 |
* The reporter plasmid in each case was pHW848.
a response regulator, respectively, constituting a two-component regulatory system. However, the specific expression pattern of *virF* in *cpaR* mutant SN1216 is quite different from that in previously described *cpaA* mutants SN1044 (19) (Table 2). We discuss this issue below (see Discussion).
**Identification of *cpaR* as a genetic locus essential for *virF* expression.** In order to distinguish whether the effect of *cpaR* disruption in SN1216 is indeed the outcome of inactivation of the gene or whether it is due to a polar effect on a downstream gene(s) such as *cpaA* or an accidental mutation in SN1216, we performed a complementation test. For this purpose, we constructed a plasmid containing the *cpaR*-cpaA operon only, pSN1018, and compared the effect of it with that of pOK101, which expresses *cpaA* only under the control of the *lac* promoter (19). Our attempts along the *cpaA* gene were unsuccessful (see Discussion). These plasmids were introduced separately into SN1216 and used for the complementation test by monitoring *virF* expression at pH 6.0 and 7.4. In order to standardize the dosage effect of *cpaR* and *cpaA*, we compared the expression levels of pHW848 in MC1061 with those in SN1216, which harbors the same effector plasmid. The results of the assays are shown in Table 3. We judged that pSN1018 fully complemented SN1216: MC1061 and SN1216 showed almost the same activities at both pH 6.0 and 7.4 when they harbored pSN1018, although the apparent repression at pH 6.0 became less pronounced than that in MC1061 with the effector plasmid (Table 3). On the other hand, the inability of SN1216 to express *virF* was not altered at all by the introduction of pOK101 (Table 3). In all, these results clearly indicated that *cpaR* was essential for *virF* expression and that the *cpaR*-cpaA operon was sufficient for that.
**Direct binding of CpxR to the *virF* upstream region.** In order to discover the mechanism by which *cpaR* activates *virF* expression, we intended to examine whether the activation pathway is direct or not. First, we investigated the capacity of CpxR to bind to the DNA fragment corresponding to the *virF* upstream region. For this purpose, we established an overproduction and purification system for CpxR by using a MalE fusion vector as described in Materials and Methods. The product prepared in this system was used in the gel shift assay. We used two probes consisting of nt −103 to +110 (probe C) and −37 to +110 (probe D), with the *virF* transcription start site at nt +1 (19), because in another experiment we observed that the deletion of the upstream region to nt −103 did not affect *virF* expression, whereas deletion at nt −37 abolished the expression (data not completely unpublished results); nevertheless, the putative promoter for *virF* (19) is present downstream of the nt −37 site, which implied that there might be a binding site(s) for the activator between those two sites. The results of the assays using the CpxR sample and probe C or D are shown in Fig. 2. Probe C was clearly shifted when incubated with CpxR at a final concentration of 1.8 μM (lane 3 of Fig. 2); however, probe D was not shifted under the same condition (lane 5 of Fig. 2). This result strongly suggested that CpxR had the capacity to bind the *virF* upstream region between nt −103 and −37. This observation was apparently consistent with the expression patterns of *virF* in the deletions constructs described above.
It is generally accepted that a response regulator increases its binding capacity, and consequently its ability to control transcription of the target gene(s), when it is phosphorylated (for reviews, see references 2, 9, and 29). In order to examine whether this is also the case for this system, we tried to prepare the phosphorylated form of CpxR and compare its binding capacity with that of the nonphosphorylated form. The phosphorylation of CpxR in vitro was performed by coincubation with acetyl phosphate essentially as described previously (13). The results of this experiment are shown in Fig. 3. In this assay, we observed that incubation with 0.9 μM phosphorylated CpxR clearly shifted probe C, whereas incubation with nonphosphorylated CpxR at the same concentration resulted...
in little shift (lanes 2 and 4 of Fig. 3), although we could not quantify the extent of the phosphorylation in our system. The position of the shifted band was comparable to that for 1.8 μM nonphosphorylated CpxR (lanes 3 and 4 of Fig. 3). In 1.8 μM CpxR, the mobility of the band decreased more when CpxR was phosphorylated than when it was not phosphorylated (lanes 3 and 5 of Fig. 3). This suggests the existence of more than one binding site with different affinities to CpxR within this probe, although we must determine the specific binding site(s) to draw this conclusion. In all, these series of gel shift assays have indicated that the CpxR product can directly bind to the virF upstream region without the assistance of any other factor and that, as in many response regulators, phosphorylation increases the binding affinity.
**In vitro transcription assay of virF.** The results in this study raised two possibilities concerning the mechanism of activation of virF by CpxR, i.e., either that CpxR binds to the target site and, in consequence, directly activates transcription of virF or that at the binding step, CpxR releases some repressor of virF that shares the binding site with CpxR, which results in an apparent activation of virF. In order to examine when these mechanisms are operative and, when the former is operative, in order to determine whether the supply of CpxR by itself is sufficient to induce transcription of virF, we performed in vitro transcription assays. The results of these assays are shown in Fig. 4. For this experiment, we constructed template plasmid pSN600-T as described in Materials and Methods. In this construct we could detect a virF transcript as a short band about 220 nt long, which is consistent with the length calculated from the transcription start site of virF in vivo in our previous work (19). At the same time, RNAI of the pMB1 replicon of the vector side, which is 108 nt long and which was a convenient internal control for the assays, was observed. The emergence of a band about 150 nt long was unexpected. At present, we do not know the origin of it. However, preliminary investigation suggested that it started from the reading frame of CpxR. To run in the same direction as virF, where we used ClaI-linearized pSN600-T as the template in transcription assays, we could observe two bands with lengths of 170 and 100 nt, which must correspond to the 220- and 150-nt bands, respectively, in the circular template system (data not shown).
Without a supply of CpxR, the intensity of the band corresponding to the virF transcript was very much weaker than that corresponding to the internal control, RNAI (lane 1 of Fig. 4). The addition of nonphosphorylated CpxR, at least to the final concentration of 1.4 μM, did not alter the intensity of the band much (lanes 2 and 3 of Fig. 4). However, the addition of CpxR to the final concentration of 0.14 μM also had little effect (lane 4 of Fig. 4). Some might argue that the intensity of the band is weaker than those of bands shown in lanes 2 and 3. This may be due to less-efficient recovery of the transcript by precipitation in this tube (compare the intensities of the bands at the origin of electrophoreses). In the replicated experiments, we could observe neither a positive nor a negative effect of phosphorylation at 0.14 μM CpxR (data not shown). However, when we added the phosphorylated CpxR at the final concentration of 1.4 μM to the reaction system, the clear enhancement of the virF transcript was observed (lane 5 of Fig. 4). Under this condition, the intensity of the band corresponding to virF got much stronger than that of the band corresponding to RNAI. Thus, these results have given us important information. First, the mechanism of induction of virF transcription by CpxR is true activation by CpxR, not a double-negative mechanism such as the release of repressor. Indeed, when no factors other than *E. coli* RNA polymerase were present, the level of the virF transcript was very low (lane 1 of Fig. 4), and the level was greatly increased by the addition of phosphorylated CpxR (lane 5 of Fig. 4). Such an activation could not have been observed in this system if the mechanism had been a double-negative regulation. Second, CpxR has the capacity to induce transcription of virF alone without any assistance from other factors, although of course we cannot rule out the existence of some factor(s) that modulates this reaction. Third, phosphorylation increases the induction activity of CpxR, at
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**FIG. 3.** Gel shift assay with phosphorylated or nonphosphorylated CpxR. Eight femtomoles of DIG-labeled probe C (see legend to Fig. 2) (lanes 1 to 5) was incubated under the same condition as those for Fig. 2 in the absence of CpxR (lanes 1 and 2) or with 0.9 μM (lanes 3 and 4) or 1.8 μM (lanes 5 and 6) (final concentrations) CpxR samples preincubated in 50 mM acetyl phosphate at 37°C for 30 min (lanes 4 and 5) or in phosphorylation buffer only (lanes 2 and 3) (see Materials and Methods for the detailed conditions of the phosphorylation of CpxR). After the electrophoresis, the same protocol as that of Fig. 2 was performed.
**FIG. 4.** In vitro transcription assay of virF transcript. pSN600-T (lanes 1 to 5) or pHS6397 (lane V) (0.5 pmol) was preincubated without CpxR (lanes V and 1) or with nonphosphorylated (lanes 2 and 3) or phosphorylated (lanes 4 and 5) CpxR samples in 40 mM Tris-HCl (pH 7.9)–10 mM MgCl₂–0.1 mM EDTA–150 mM KCl–5% glycerol–2 mM DTT at 37°C for 5 min, followed by the addition of 1 U of *E. coli* RNA polymerase (for the phosphorylation of CpxR, see the legend to Fig. 3 and Materials and Methods). The final concentrations of CpxR were 0 (lanes V and 1), 0.14 (lanes 2 and 4), and 1.4 μM (lanes 3 and 5). After further incubation at 37°C for 5 min, transcription was started by the addition of nucleoside triphosphates and [α-³²P]UTP. The final volume of the reaction mixture was adjusted to 50 μl. After the reaction, the samples were extracted with phenol–CHCl₃, precipitated by EtOH, and denatured as described in Materials and Methods. RNA was analyzed by gel electrophoresis on a urea-denaturing 8% polyacrylamide gel containing 7 M urea, TBE, (followed by autoradiography. The positions of the virF transcript (P virF), internal control RNAI, and a cryptic RNA about 150 nt long of unknown origin are indicated by horizontal arrows on the right. The positions of denatured DNA molecular size markers in nucleotides (ntd.) (lane M) are indicated on the left.
least when the concentration of CpxR is as high as 1.4 μM (compare lanes 3 and 5 of Fig. 4), which is consistent with the enhancement of the binding ability of CpxR by phosphorylation (see above), although we could not quantify the extent of CpxR phosphorylation in our systems. Thus, we concluded that, when phosphorylated, CpxR efficiently bound upstream of virF and, in consequence, directly activated the transcription of virF.
**DISCUSSION**
A two-component regulatory system is one of the genetic elements that regulate the expression of the target genes in *trans* in response to environmental signals (for reviews, see references 2, 9, and 29). We previously reported that virF expression is regulated in a pH-dependent manner and that a sensor of a two-component system is involved in the regulation (19). This led us to the hypothesis that the expression of virF is regulated by a response regulator which is cognate paired with cpxA. In this study, we indicated that the response regulator CpxR, whose homolog also exists on chromosomes of *Shigella* spp. (unpublished data), was an essential activator for virF expression. It is the first example of a chromosome-encoded element indispensable for virF transcription, which has been recognized as the key step in turning on the total virulence cascade of *Shigella*. Therefore, we can conclude that the very first switch of the virulence cascade is under the control of a chromosome factor.
We also showed that the binding of CpxR to the upstream region of virF transcriptionally activated the expression of virF. Direct binding of CpxR to the target DNA was also revealed for degP, yihE, and ppiA by Pogliano et al. (23). They determined binding sites upstream of those genes and concluded that the consensus sequences for the recognition sites for CpxR binding are 5'-GTAAN(6-7)GTAA-3' and, in some cases, one copy of 5'-GTAA-3' (23). We reported in this paper that CpxR bound to the virF region between nt −103 and −37. Within this region, sequences 5'-GTAATAAAGTAAATAA-3' and 5'-TTAC-3' (GTAA in the opposite strand), which resemble the reported consensus sequences, are present from nt −75 to −61 and at −39 nt, respectively. We prepared a series of restriction of the inhibitory effect of DNA fragments mutated at the predicted binding sites. As a result, we found that fragments with mutations at either of the described regions reduced the inhibitory effect on the shift of probe C compared to the fragment with the wild-type sequence or to the fragment mutated within the region from nt −60 to −50 (data not shown). This may be a supporting evidence that the consensus region within the upstream portion of virF has a function for CpxR binding.
We considered that cpxR was the cognate partner of cpxA, the gene constituting a two-component system; a mutation in either gene affected virF expression (Table 2) (19). And, to our knowledge, there have been no cases in which a contiguously encoded sensor and regulator are not cognately paired. Danese et al. have reached the same conclusion through the mechanistic analyses of the modulation of degP expression (6). Furthermore, direct transmission of a phosphate group between a MalE-CpxA fusion protein and a MalE-CpxR fusion protein in vitro was recently demonstrated (25). Given that cpxA and cpxR are the cognate pair of a two-component system, we cannot simply explain the difference between virF expression levels in cpxA and cpxR mutants. In a cpxA mutant, virF is hardly expressed at all (Table 2), whereas in a cpxR mutant, virF expression is never abolished (Table 2) (19). Such a discrepancy between the effects of the mutation of cpxA and cpxR in the regulation of degP was also reported by Danese et al. (6). They attributed it to the direct phosphorylation of CpxR by acetyl phosphate in vivo in the absence of CpxA; indeed, they observed that inactivation of *pta* and *ackA*, which are involved in the biosynthesis of acetyl phosphate, in a cpxA mutant almost eliminated that discrepancy (Fig. 4 of reference 6). However, in our preliminary investigations, these genes seemed to play a small role in the pH-independent repression of virF in cpxA mutant (unpublished results). This implied that there might be qualitative and/or quantitative differences in dependency upon cpxR-cpxA of the mechanisms by which virF and degP are regulated. In this context, it may also be noteworthy that the effect of disruption of cpxR on virF expression was quite remarkable, whereas the effect of that on degP expression was drastic only when NlpE, a new kind of lipoprotein, was overproduced artificially (compare Table 2 of this study and Fig. 5 of reference 6).
Thus, we tested two possibilities which could explain the phenomenon of discrepancy between cpxA and cpxR mutants. First, although the virF expression level simply corresponds to the phosphorylation level of CpxR as implied from the results of the gel shift assay and in vitro transcrption assay (Fig. 3 and 4; also, see above), CpxR is phosphorylated by another phosphate donor(s) besides CpxA and acetyl phosphate. In this case, virF expression in the cpxA mutant could be attributed to the phosphorylation of CpxR by this putative phosphate donor(s). Second, the phosphorylation level of CpxR is not the only factor that determines the expression level of virF in vivo. This is to say that the presence of unphosphorylated CpxR is proportional to virF expression but that the expression level of virF is finally determined by some other factor independent of cpxR. This second scenario is rather complex and seems unlikely; however, we cannot exclude it at present. In either case, there must still be another regulatory locus (or loci) besides cpxR-cpxA that controls virF expression. The systematic screening for a secondary mutation that affects the expression is now being undertaken.
As we have failed to clone cpxR without a cpxA region (see above), we cannot conclude that cpxR is sufficient for virF expression. However, cloning of a cpxR homolog from *Salmonella typhimurium* into the acid secretion plasmid 97 resulted in a repression of virF both in the wild type and in the cpxR disruptant (Table 3) (18a). This may imply that cpxR is sufficient for virF expression, although the strict regulation may require cpxA in addition to cpxR. This observation, together with the results in Tables 2 and 3, implied something important about the role of cpxA in the repression of virF at low pH, i.e., that inactivation of cpxA resulted in a higher expression level of virF at low pH (Table 2). Furthermore, the reactivation of the wild-type cpxA by overproduction of the *Salmonella* cpxR homolog on a plasmid resulted in inefficient repression of virF both in the wild type and in the cpxR disruptant (Table 3) (18a). Because phosphorylated CpxR is the activator of virF and CpxA is the cognate sensor of CpxR, the most simple interpretation is that CpxA functions as a phosphatase of CpxR at low pH.
In order to approach to this issue, we are planning to examine the relationship between the phosphorylation level of CpxR and expression level of virF in vivo. If these two levels are always directly proportional to each other regardless of genetic background and environmental conditions, it would simply expect that specific inhibition of CpxR might be a new method for the control of the virulence of *Shigella*. Anyway, we believe our results have presented information about the
mechanism of the regulatory circuit of virulence expression of *Shigella* which is important from both the basic and applied points of view.
ACKNOWLEDGMENTS
We thank Philip M. Silverman who kindly provided us with plasmid pOK101, which was very helpful to us as a CpxPa supplier.
This work was supported by grants from the Japan Health Sciences Foundation and the Ministry of Education, Science, and Culture of Japan.
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Charles Whitman Cross [1854–1949]: *Washington Acad. Sci. Jour.*, 39, 347–348, (1949).
The dark-field stereoscopic microscope for mineralogic studies: *Am. Mineral.*, 35, 906–910, illus., (1950).
[Review of] Colloidal chemistry of the silicate minerals, by C. E. Marshall: *Am. Mineral.*, 36, 921, (1951).
[Review of] Symposium on mineral resources of the southeastern United States: *Am. Mineral.*, 36, 517–518, (1951).
Provenience of pyroclastic materials [abs.]: *Geol. Soc. Am. Bull.*, 62, 1473, (1951).
(and M. D. Foster). Studies of minerals in dunites and in olivine-rich inclusions in basaltic rocks [abs.]: *Geol. Soc. Am. Bull.*, 62, 1472–1473, (1951); *Am. Mineral.*, 37, 299, (1952). |
January 11, 2006
Director of Nuclear Reactor Regulation
United States Nuclear Regulatory Commission
Washington, DC 20555-0001
Serial No.: 06-016
NLOS/MB
Docket Nos.: 50-280/281
50-338/339
50-245/336/423
50-305
License Nos.: DPR-32/37
NPF-4/7
DPR-21/65
NPF-49
DPR-43
DOMINION ENERGY KEWAUNEE, INC.
DOMINION NUCLEAR CONNECTICUT, INC.
VIRGINIA ELECTRIC AND POWER COMPANY
KEWAUNEE POWER STATION
MILLSTONE POWER STATION UNITS 1, 2 & 3
NORTH ANNA POWER STATION UNITS 1 & 2
SURRY POWER STATION UNITS 1 & 2
NUCLEAR LIABILITY INSURANCE ENDORSEMENTS
Pursuant to 10 CFR 140.15, Virginia Electric and Power Company, Dominion Energy Kewaunee, Inc., and Dominion Nuclear Connecticut, Inc. (Dominion, DEK and DNC) hereby submit certified copies of nuclear liability insurance endorsements for Kewaunee, Millstone, North Anna and Surry Power Stations.
A summary of this submittal is enclosed. No new commitments are intended by this letter. If you have any questions concerning this information, please contact Mr. Dave Sommers at (804) 273-2823.
Very truly yours,
C. L. Funderburk
Director – Nuclear Licensing & Operations Support
Dominion Resources Services, Inc.
for Dominion Energy Kewaunee, Inc.,
Dominion Nuclear Connecticut, Inc. and
Virginia Electric and Power Company
Attachment
cc: U. S. Nuclear Regulatory Commission
Attention: Document Control Desk
Washington, DC 20555-0001
U. S. Nuclear Regulatory Commission
Region I
475 Allendale Road
King of Prussia, PA 19406-1415
U. S. Nuclear Regulatory Commission
Region II
Sam Nunn Atlanta Federal Center
61 Forsyth St., SW, Suite 23 T85
Atlanta, GA 30303-8931
U. S. Nuclear Regulatory Commission
Region III
2443 Warrenville Road
Suite 210
Lisle, IL 60532-4352
Mr. V. Nerses
Senior Project Manager
U. S. Nuclear Regulatory Commission
One White Flint North
11555 Rockville Pike
Mail Stop 8C2
Rockville, MD 20852-2738
Mr. A. B. Wang
Project Manager
U. S. Nuclear Regulatory Commission
One White Flint North
11555 Rockville Pike
Mail Stop 7E1
Rockville, MD 20852-2738
Mr. S. R. Monarque
Project Manager
U. S. Nuclear Regulatory Commission
One White Flint North
11555 Rockville Pike
Mail Stop 8H12
Rockville, MD 20852-2738
Mr. D. H. Jaffe
Project Manager
U. S. Nuclear Regulatory Commission
One White Flint North
11555 Rockville Pike
Mail Stop 7 D1
Rockville, MD 20852-2738
Mr. S. M. Schneider
NRC Senior Resident Inspector
Millstone Power Station
Mr. J. T. Reece
NRC Senior Resident Inspector
North Anna Power Station
Mr. N. P. Garrett
NRC Senior Resident Inspector
Surry Power Station
Mr. S. C. Burton
NRC Senior Resident Inspector
Kewaunee Power Station
Mr. J. E. Reasor, Jr.
Old Dominion Electric Cooperative
Innsbrook Corporate Center
4201 Dominion Blvd.
Suite 300
Glen Allen, VA 23060
## ATTACHMENT
| Policy Description | Policy Number | Endorsement Number |
|-------------------------------------|---------------|--------------------|
| **Kewaunee** | | |
| Facility Form (ANI) | NF-204 | 170 |
| Secondary Financial (ANI) | N-44 | 44 |
| Master Worker | NW-586 | 14 |
| **Millstone** | | |
| Facility Form (ANI) | NF-173 | 202 |
| Secondary Financial (ANI) | N-16 | 40 |
| Secondary Financial (ANI) | N-103 | 39 |
| Master Worker (ANI) | NW-563 | 11 |
| **North Anna** | | |
| Facility Form (ANI) | NF-240 | 140 |
| Secondary Financial (ANI) | N-63 | 40 |
| Secondary Financial (ANI) | N-70 | 40 |
| Master Worker (ANI) | NW-610 | 11 |
| **Surry** | | |
| Facility Form (ANI) | NF-186 | 169 |
| Secondary Financial (ANI) | N-27 | 38 |
| Secondary Financial (ANI) | N-28 | 38 |
| Master Worker (ANI) | NW-571 | 10 |
1. **ADVANCE PREMIUM:** It is agreed that the Advance Premium due the companies for the period designated above is: $853,532.00
2. **STANDARD PREMIUM AND RESERVE PREMIUM:** In the absence of a change in the Advance Premium indicated above, it is agreed that, subject to the provisions of the Industry Credit Rating Plan, the Standard Premium is said Advance Premium and the Reserve Premium is: $654,817.00
This is to certify that this is a true copy of the original Endorsement having the endorsement number and being made part of the Nuclear Energy Liability Policy (Facility Form) as designated heron. No insurance is afforded hereunder.
John L. Quattrochi, Senior Vice President - Underwriting
American Nuclear Insurers
Effective Date of this Endorsement: January 1, 2006
(12:01 A.M. Standard Time)
Issued To: Virginia Electric & Power Company
Date of Issue: October 11, 2005
Endorsement No: 140
To form a part of Policy No. NF-0240
For the subscribing companies
By [Signature]
President
ANNUAL PREMIUM ENDORSEMENT
CALENDAR YEAR 2006
1. ANNUAL PREMIUM: It is agreed that the Annual Premium due the companies for the period designated above is: $9,492.00
This is to certify that this is a true copy of the original Certificate, bearing the number designated heron, for insurance coverage under the Master Policy-Nuclear Energy Liability Insurance (Secondary Financial Protection). No insurance is afforded by this copy.
John L. Quattrochi, Senior Vice President - Underwriting
American Nuclear Insurers
Effective Date of this Endorsement: January 1, 2006
(12:01 A.M. Standard Time)
Issued To: Virginia Electric & Power Company
Date of Issue: October 5, 2005
Endorsement No: 40
To form a part of Certificate No. N -0063
For the subscribing companies
By [Signature]
President
ANNUAL PREMIUM ENDORSEMENT
CALENDAR YEAR 2006
1. ANNUAL PREMIUM: It is agreed that the Annual Premium due the companies for the period designated above is: $9,492.00
This is to certify that this is a true copy of the original Certificate bearing the number designated herein, for insurance coverage under the Master Policy-Nuclear Energy Liability Insurance (Secondary Financial Protection). No insurance is afforded by this copy.
John L. Quattrocchi, Senior Vice President - Underwriting
American Nuclear Insurers
Effective Date of this Endorsement: January 1, 2006
(12:01 A.M. Standard Time)
Issued To: Virginia Electric & Power Company
Date of Issue: October 5, 2005
Endorsement No: 40
To form a part of Certificate No. N -0070
For the subscribing companies
By [Signature]
President
1. **ADVANCE PREMIUM:** It is agreed that the Advance Premium due the companies for the period designated above is: $85,108.00
2. **STANDARD PREMIUM AND RESERVE PREMIUM:** In the absence of a change in the Advance Premium indicated above, it is agreed that, subject to the provisions of the Industry Credit Rating Plan, the Standard Premium is said Advance Premium and the Reserve Premium is: $65,175.00
This is to certify that this is a true copy of the original Endorsement having the endorsement number and being made part of the Certificate of Insurance bearing the number designated herefor for insurance coverage under the Nuclear Energy Liability Policy (Facility Workers Form). No insurance is afforded hereunder.
John L. Quattrochi, Senior Vice President - Underwriting
American Nuclear Insurers
Effective Date of this Endorsement: January 1, 2006
(12:01 A.M. Standard Time)
Issued To: Virginia Electric & Power Company
Date of Issue: October 5, 2005
Endorsement No: 11
To form a part of Certificate No. NW -0610
For the subscribing companies
By [Signature]
President
ADVANCE PREMIUM AND STANDARD PREMIUM ENDORSEMENT
CALENDAR YEAR 2006
1. ADVANCE PREMIUM: It is agreed that the Advance Premium due the companies for the period designated above is: $907,018.00
2. STANDARD PREMIUM AND RESERVE PREMIUM: In the absence of a change in the Advance Premium indicated above, it is agreed that, subject to the provisions of the Industry Credit Rating Plan, the Standard Premium is said Advance Premium and the Reserve Premium is: $695,889.00
This is to certify that this is a true copy of the original Endorsement having the endorsement number and being made part of the Nuclear Energy Liability Policy (Facility Form) as designated heron. No insurance is afforded hereunder.
John L. Quattrochi, Senior Vice President - Underwriting
American Nuclear Insurers
Effective Date of this Endorsement: January 1, 2006
(12:01 A.M. Standard Time)
Issued To: Virginia Electric & Power Company
Date of Issue: October 11, 2005
Endorsement No: 169
To form a part of Policy No. NF-0186
For the subscribing companies
By [Signature]
President
Countersigned by [Signature]
NE-36 CERTIFIED COPY
1. **ANNUAL PREMIUM:** It is agreed that the Annual Premium due the companies for the period designated above is: $9,492.00
This is to certify that this is a true copy of the original Certificate, bearing the number designated heron, for insurance coverage under the Master Policy-Nuclear Energy Liability Insurance (Secondary Financial Protection). No insurance is afforded by this copy.
John L. Quattrocchi, Senior Vice President - Underwriting
American Nuclear Insurers
Effective Date of this Endorsement: January 1, 2006
(12:01 A.M. Standard Time)
Issued To: Virginia Electric & Power Company
Date of Issue: October 5, 2005
Endorsement No: 38
For the subscribing companies
By [Signature]
President
1. ANNUAL PREMIUM: It is agreed that the Annual Premium due the companies for the period designated above is: $9,492.00
This is to certify that this is a true copy of the original Certificate, bearing the number designated herein, for insurance coverage under the Master Policy-Nuclear Energy Liability Insurance (Secondary Financial Protection). No insurance is afforded by this copy.
John L. Quattrochi, Senior Vice President - Underwriting American Nuclear Insurers
Effective Date of this Endorsement: January 1, 2006 (12:01 A.M. Standard Time)
Issued To: Virginia Electric & Power Company
Date of Issue: October 5, 2005
Endorsement No: 38
To form a part of Certificate No. N -0028
For the subscribing companies
By [Signature]
President
1. **ADVANCE PREMIUM:** It is agreed that the Advance Premium due the companies for the period designated above is: $85,108.00
2. **STANDARD PREMIUM AND RESERVE PREMIUM:** In the absence of a change in the Advance Premium indicated above, it is agreed that, subject to the provisions of the Industry Credit Rating Plan, the Standard Premium is said Advance Premium and the Reserve Premium is: $65,175.00
This is to certify that this is a true copy of the original Endorsement having the endorsement number and being made part of the Certificate of Insurance bearing the number designated herefor for insurance coverage under the Nuclear Energy Liability Policy (Facility Workers Form). No insurance is afforded hereunder.
John L. Quattrochi, Senior Vice President - Underwriting
American Nuclear Insurers
Effective Date of this Endorsement: January 1, 2006
(12:01 A.M. Standard Time)
Issued To: Virginia Electric & Power Company
Date of Issue: October 5, 2005
Endorsement No: 10
To form a part of Certificate No. NW-0571
For the subscribing companies
By [Signature]
President
1. **ADVANCE PREMIUM:** It is agreed that the Advance Premium due the companies for the period designated above is: $1,345,247.00
2. **STANDARD PREMIUM AND RESERVE PREMIUM:** In the absence of a change in the Advance Premium indicated above, it is agreed that, subject to the provisions of the Industry Credit Rating Plan, the Standard Premium is said Advance Premium and the Reserve Premium is: $1,032,413.00
This is to certify that this is a true copy of the original Endorsement having the endorsement number and being made part of the Nuclear Energy Liability Policy (Facility Form) as designated heron. No insurance is afforded hereunder.
John L. Quattrochi, Senior Vice President - Underwriting
American Nuclear Insurers
Effective Date of this Endorsement: January 1, 2006
(12:01 A.M. Standard Time)
Issued To: Dominion Nuclear Connecticut, Inc.
Date of Issue: October 11, 2005
Endorsement No: 202
To form a part of Policy No. NF-0173
For the subscribing companies
By [Signature]
President
Countersigned by [Signature]
NE-36 CERTIFIED COPY
ANNUAL PREMIUM ENDORSEMENT
CALENDAR YEAR 2006
1. ANNUAL PREMIUM: It is agreed that the Annual Premium due the companies for the period designated above is: $9,492.00
This is to certify that this is a true copy of the original Certificate, bearing the number designated heron, for insurance coverage under the Master Policy-Nuclear Energy Liability Insurance (Secondary Financial Protection). No insurance is afforded by this copy.
John L. Quattrochi, Senior Vice President - Underwriting
American Nuclear Insurers
Effective Date of this Endorsement: January 1, 2006
(12:01 A.M. Standard Time)
Issued To: Dominion Nuclear Connecticut, Inc.
Date of Issue: October 5, 2005
Endorsement No: 40
To form a part of Certificate No. N -0016
For the subscribing companies
By [Signature]
President
ANNUAL PREMIUM ENDORSEMENT
CALENDAR YEAR 2006
1. ANNUAL PREMIUM: It is agreed that the Annual Premium due the companies for the period designated above is: $9,492.00
This is to certify that this is a true copy of the original Certificate, bearing the number designated heron, for insurance coverage under the Master Policy-Nuclear Energy Liability Insurance (Secondary Financial Protection). No insurance is afforded by this copy.
John L. Quattrocchi, Senior Vice President - Underwriting
American Nuclear Insurers
Effective Date of this Endorsement: January 1, 2006
(12:01 A.M. Standard Time)
Issued To: Dominion Nuclear Connecticut, Inc., Central Vermont Public Service Corporation and Massachusetts Wholesale Electric Company
Date of Issue: October 5, 2005
For the subscribing companies
By [Signature]
President
Endorsement No: 39
ADVANCE PREMIUM AND STANDARD PREMIUM ENDORSEMENT
CALENDAR YEAR 2006
1. **ADVANCE PREMIUM:** It is agreed that the Advance Premium due the companies for the period designated above is: $112,742.00
2. **STANDARD PREMIUM AND RESERVE PREMIUM:** In the absence of a change in the Advance Premium indicated above, it is agreed that, subject to the provisions of the Industry Credit Rating Plan, the Standard Premium is said Advance Premium and the Reserve Premium is: $86,337.00
This is to certify that this is a true copy of the original Endorsement having the endorsement number and being made part of the Certificate of Insurance bearing the number designated above for insurance coverage under the Nuclear Energy Liability Policy (Facility Workers Form). No insurance is afforded hereunder.
John L. Quattrocci, Senior Vice President - Underwriting
American Nuclear Insurers
Effective Date of this Endorsement: January 1, 2006
(12:01 A.M. Standard Time)
Issued To: Dominion Nuclear Connecticut, Inc.
Date of Issue: October 5, 2005
Endorsement No: 11
To form a part of Certificate No. NW-0563
For the subscribing companies
By [Signature]
President
1. **ADVANCE PREMIUM:** It is agreed that the Advance Premium due the companies for the period designated above is: $605,285.00
2. **STANDARD PREMIUM AND RESERVE PREMIUM:** In the absence of a change in the Advance Premium indicated above, it is agreed that, subject to the provisions of the Industry Credit Rating Plan, the Standard Premium is said Advance Premium and the Reserve Premium is: $464,183.00
This is to certify that this is a true copy of the original Endorsement having the endorsement number and being made part of the Nuclear Energy Liability Policy (Facility Form) as designated heron. No insurance is afforded hereunder.
John L. Quattrochi, Senior Vice President - Underwriting
American Nuclear Insurers
Effective Date of this Endorsement: January 1, 2006
(12:01 A.M. Standard Time)
Issued To: Dominion Energy Kewaunee, Inc.
Date of Issue: October 11, 2005
Endorsement No: 170
To form a part of Policy No. NF-0204
For the subscribing companies
By [Signature]
President
Countersigned by [Signature]
1. **ANNUAL PREMIUM:** It is agreed that the Annual Premium due the companies for the period designated above is: $9,492.00
This is to certify that this is a true copy of the original Certificate, bearing the number designated herein, for insurance coverage under the Master Policy-Nuclear Energy Liability Insurance (Secondary Financial Protection). No insurance is afforded by this copy.
John L. Quattrochi, Senior Vice President - Underwriting
American Nuclear Insurers
Effective Date of this Endorsement: January 1, 2006
(12:01 A.M. Standard Time)
Issued To: Dominion Energy Kewaunee, Inc.
Date of Issue: October 5, 2005
Endorsement No: 44
To form a part of Certificate No. N -0044
For the subscribing companies
By [Signature]
President
1. **ADVANCE PREMIUM:** It is agreed that the Advance Premium due the companies for the period designated above is: $42,554.00
2. **STANDARD PREMIUM AND RESERVE PREMIUM:** In the absence of a change in the Advance Premium indicated above, it is agreed that, subject to the provisions of the Industry Credit Rating Plan, the Standard Premium is said Advance Premium and the Reserve Premium is: $32,587.00
This is to certify that this is a true copy of the original Endorsement having the endorsement number and being made part of the Certificate of Insurance bearing the number designated heron for insurance coverage under the Nuclear Energy Liability Policy (Facility Workers Form). No insurance is afforded hereunder.
John L. Quattrochi, Senior Vice President - Underwriting
American Nuclear Insurers
Effective Date of this Endorsement: January 1, 2006
(12:01 A.M. Standard Time)
Issued To: Dominion Energy Kewaunee, Inc.
Date of Issue: November 30, 2005
For the subscribing companies
By [Signature]
President
Endorsement No: 14 |
Large-scale synthesis of uniform Cu$_2$O nanocubes with tunable sizes by in-situ nucleation†
I-Chun Chang, Po-Chin Chen, Min-Chiao Tsai, Ting-Ting Chen, Min-Han Yang, Hsin-Tien Chiu and Chi-Young Lee*
Uniform Cu$_2$O nanocubes with various sizes were synthesized by reducing Cu(OH)$_2$ using ascorbic acid in the presence of various amounts of sodium citrate. The monodispersed nanocubes with an edge length of approximately 80 nm used as an anode exhibit excellent lithium storage behavior.
Cuprous oxide (Cu$_2$O), an important p-type semiconductor with a direct band gap of $\sim 2.00$ eV, is favored for its abundance, low cost, environmental friendliness and safety. It has been studied with a view to various applications including sensing, photocatalysis, use in Li-ion batteries, CO oxidation, and hydrogen production. Recently, not only the size but also the shape of inorganic materials has been found strongly to affect their physical and chemical properties. The shape-controlling synthesis of Cu$_2$O micro or nanostructures has been successful. Various Cu$_2$O structures, such as cubes, octahedra, hollow structures and nanowires, have been synthesized via wet-chemical reduction. However, controlling the size of Cu$_2$O structures is more difficult than controlling their shape. Cu$_2$O tends to grow with a poor size distribution in a hydrophilic system. Huang et al. synthesized Cu$_2$O nanocubes with various sizes by reducing Cu(OH)$_2$ using sodium ascorbate in the presence of sodium dodecyl sulfate (SDS) as a capping agent. This seed-mediated method enables the sizes and shapes of nanocubes to be well-controlled. Unfortunately, the yield of this method is far from industrially acceptable.
This work develops a facile one-step nucleation-controlled method for synthesizing uniform sized tunable cubic crystalline Cu$_2$O with an excellent 87.5% yield (75 mg per batch). Generally, Cu$_2$O were fabricated by the reduction of Cu(OH)$_2$ or Cu(OH)$_4^{2-}$ species. Pre-capping of Cu$^{2+}$ markedly reduces Cu(OH)$_2$ in the initial stage, resulting in a small amount of Cu$_2$O seeds which leads to the growth of larger sized Cu$_2$O nanocubes. Sodium citrate, a chelating agent for Cu$^{2+}$, was employed to the reaction solution prior to NaOH addition, the Cu$^{2+}$ ions were chelated by citrate ions to form copper-citrate, which retards the precipitation of Cu(OH)$_2$ during the addition of NaOH. Increasing the amount of sodium citrate in the reaction solution yielded larger Cu$_2$O nanocubes. Furthermore, the performance of the submicron Cu$_2$O nanocube electrodes in Li-ion batteries was investigated.
Uniform Cu$_2$O nanocubes with various sizes were synthesized via a simple aqueous-based wet-chemical reduction process using citrate as a chelating agent. Table 1 presents the synthetic conditions and the properties of these Cu$_2$O nanocube samples. Fig. 1 shows the field-emission scanning electron microscopic (SEM) images of three nanocubes in this study. The size of the nanocubes increased with the sodium citrate concentration. As shown in Fig. 1a–c, each sample comprised a large amount of well-defined nanocubes. These nanocubes with high uniformity and monodispersion were perfectly cubic with {100} facets without any truncation. The lengths of the edges of nanocubes A, B and C were in the ranges 50–55, 65–70, and 75–80 nm, respectively. Control samples were also made in the absence of citrate or NaOH. In control sample 1, made without citrate in the reaction solution, aggregated small nanocubes with a large distribution of edge lengths in the range 35–45 nm were fabricated, as shown in Fig. S1, ESI†. In control sample 2, the reaction solution contained sodium citrate but not NaOH, and no precipitation occurred. This result demonstrates that nanocubes were formed only by the reduction of ascorbic acid in a basic solution.
An energy dispersive spectrum (EDS, Fig. S2, ESI†) reveals that the powder comprised Cu and O in a molar ratio of 2 : 1. The carbon signal was associated with the conductive carbon tape that was used to fix the sample to the SEM holder. The quantities of the obtained powders were related only to the amount of Cu$^{2+}$ ions in solution and were approximately 75 mg for all samples, independently of the amount of trisodium citrate dehydrate that was used.
The crystallographic structure and phase purity of nanocube samples were examined by X-ray powder diffraction (XRD) and transmission electron microscopic (TEM) characterization. The intensities and positions of all reflection peaks were consistent...
with those of cuprite $\text{Cu}_2\text{O}$ (JCPDF No. 05-0667), as shown in Fig. S3, ESI†. Fig. 1d displays a low-magnification TEM image of powder C. It shows $\text{Cu}_2\text{O}$ nanocubes with uniform shape with edge lengths of approximately 80 nm. Fig. 1e shows a single $\text{Cu}_2\text{O}$ nanocube that is lying on its [100] face. Fig. 1f shows the corresponding selected area electron diffraction (SAED) pattern. The patterns reveal that the crystallographic zone axis is [001] and that the nanocubes are single crystals. These square diffraction patterns were indexed to the diffraction planes of cubic $\text{Cu}_2\text{O}$. The $d$ spacing that was estimated from the spots closest to the center of the beam was 2.1 Å. This result is consistent with the $d$ spacing between the $\text{Cu}_2\text{O}$ (200) planes (JCPDF No. 05-0667). Fig. 1g presents high-resolution TEM images of a tilted $\text{Cu}_2\text{O}$ nanocube, viewed along its $<110>$ direction. Visible lattice fringes with $d$-spacings of $\sim 3.04$ Å were identified in Fig. 1h, corresponding to the (110) lattice planes of $\text{Cu}_2\text{O}$. The cubic shape and a single crystalline structure are confirmed by the results of XRD and TEM.
Based on the above observations, various uniformly sized $\text{Cu}_2\text{O}$ nanocubes were obtained under different reaction conditions. The sizes and numbers of $\text{Cu}_2\text{O}$ nanocubes obtained under the different reaction conditions were estimated from the total volumes and weights of the samples. The total volumes of $\text{Cu}_2\text{O}$ nanocubes ($V$), calculated as weight/density (the density of $\text{Cu}_2\text{O}$ is 6.0 g cm$^{-3}$), were $1.233 \times 10^{-8}$ m$^3$, $1.283 \times 10^{-8}$ m$^3$ and $1.281 \times 10^{-8}$ m$^3$ in Samples A, B and C, respectively. The estimated numbers of $\text{Cu}_2\text{O}$ nanocubes ($n$) were calculated using $n = VR^{-3}$ (where $V$ is total volumes of $\text{Cu}_2\text{O}$ nanocubes obtained in each sample and $R$ denotes the length of an edge of the nanocube) as $8.523 \times 10^{13}$, $5.257 \times 10^{13}$ and $2.753 \times 10^{13}$ in samples A, B and C, respectively. However, the concentrations of free Cu ions in the initial reaction solution was estimated from the formation constant ($\log K_f = 7.2$)$^{15}$ of Cu-citrate and citrate concentration as 2.25, 1.50 and 0.75 mM in samples A, B and C, respectively, as presented in Table 1. The molar ratio of free Cu ion concentrations in A : B : C = 3 : 2 : 1, which is highly consistent with the ratio of the initial number of seeds in the solutions.
The growth of $\text{Cu}_2\text{O}$ nanocubes is described by the following equations,
$$\text{Cu}^{2+} + 2\text{OH}^- \rightarrow \text{Cu(OH)}_2 \quad (1)$$
$$2\text{Cu(OH)}_2 + \text{C}_6\text{H}_8\text{O}_6 \rightarrow \text{Cu}_2\text{O} + \text{C}_6\text{H}_6\text{O}_6 + 3\text{H}_2\text{O} \quad (2)$$
$$\text{Cu}^{2+} + \text{citrate}^{3-} \leftrightarrow \text{Cu(citrate)}^- \quad (3)$$
The Scheme 1 presents a formation pathway for size-tunable $\text{Cu}_2\text{O}$ nanocubes. In the absence of sodium citrate, $\text{Cu}^{2+}$ ions precipitated out of basic solution as copper hydroxide very rapidly, as described by eqn (1). Then, the copper hydroxide was reduced by ascorbic acid to yield $\text{Cu}_2\text{O}$ nanocubes, as described by eqn (2). However, if sodium citrate was added to the reaction solution prior to NaOH, the $\text{Cu}^{2+}$ ions were chelated by citrate ions to form copper–citrate, preventing the precipitation of $\text{Cu(OH)}_2$ when NaOH was added, as in eqn (3). Varying the amount of sodium citrate altered the concentration of free $\text{Cu}^{2+}$ ions in the growth solution (Scheme 1A), resulting in the formation of various amounts of $\text{Cu(OH)}_2$ precipitate in the basic solution, strongly affecting the initial step of growth. More sodium citrate in the reaction solution yielded fewer $\text{Cu}^{2+}$ ions and $\text{Cu}_2\text{O}$ particles at the beginning of the reaction. In the meanwhile, as $\text{Cu}^{2+}$ ions were consumed, the equilibrium of eqn (3) moved to the left, releasing $\text{Cu}^{2+}$ ions from the copper citrate and causing the ongoing growth and enlargement of the $\text{Cu}_2\text{O}$ nanocubes. Accordingly, citrate chelating greatly reduced the initial concentration of the $\text{Cu}_2\text{O}$ nanocube precursor, diminishing the nucleation of $\text{Cu}_2\text{O}$ nanocubes, significantly increasing the size of the particles of $\text{Cu}_2\text{O}$ nanocubes.
3d transition metal oxides (MO, where M is Fe, Co, Ni, Cu)$^{16,17}$ have been recognized as the potential anodes for Li-ion batteries. Cuprous oxide with theoretical capacity (375 mA h g$^{-1}$) has
| Sample | CuSO$_4$: C$_6$H$_8$Na$_2$O$_7$·2H$_2$O: NaOH | Edge length (nm) | Yield (mg) | Estimated seed number (mM) | Estimated free Cu ion (mM) |
|--------|---------------------------------------------|-----------------|------------|----------------------------|---------------------------|
| Control 1 | 1 : 0.00 : 4 | 35–45 | 77.5 | $8.38 \times 10^{-5}$ | 3 |
| A | 1 : 0.25 : 4 | 50–55 | 74.0 | $3.95 \times 10^{-5}$ | 2.25 |
| B | 1 : 0.50 : 4 | 65–70 | 77.0 | $2.18 \times 10^{-7}$ | 1.50 |
| C | 1 : 0.75 : 4 | 75–80 | 76.9 | $1.14 \times 10^{-7}$ | 0.75 |
| Control 2 | 1 : 0.75 : 0 | N.A. | N.A. | N.A. | 0.75 |
Fig. 1 SEM images of $\text{Cu}_2\text{O}$ nanocubes samples. (a) Sample A; (b) sample B; (c) sample C. TEM images of $\text{Cu}_2\text{O}$ nanocubes of sample C. (d) Low-magnification image; (e) high-magnification image; (f) SAED patterns of single $\text{Cu}_2\text{O}$ nanocube; (g) image of tilted $\text{Cu}_2\text{O}$ nanocube; (h) HR image of tilted nanocube.
attracted immense research attention and much progress has been made, which is close to that of commercially used graphite (372 mA h g\(^{-1}\)). Fig. 2 shows cycling performance and Coulombic efficiency of Cu\(_2\)O electrodes (sample C) at a rate of 0.2 C and 1 C (1 C = 375 mA h g\(^{-1}\)). After 50 cycles, the discharge capacities of the electrodes (sample C) at a rate of 0.2 C and 1 C were 420 and 236 mA h g\(^{-1}\), respectively. The electrode had a Coulombic efficiency of 96% after the first cycle. The superior battery performance was observed, as a result of small monodispersed Cu\(_2\)O nanocubes creating a large reactive site to the electrolyte. The formation and decomposition of SEI also contributes to the revealed capacities. The enhanced cycle behavior, makes Cu\(_2\)O nanocube a promising anode material for lithium-ion batteries (cyclic voltammetric curve, galvanostatic charge-discharge profiles and specific capability at various discharging and charging rates were shown in ESL S4 and S5).
In summary, a simple nucleation-controlled process for synthesizing a large amount of size-tunable Cu\(_2\)O nanocubes with a \{100\} side face was developed. The concentrations of sodium citrate significantly affect the size of Cu\(_2\)O nanocubes. In a reaction solution with a high concentration of citrate, Cu\(^{2+}\) ions preferentially formed copper citrate, disfavoring the fabrication of Cu\(_2\)O seeds, resulting in the growth of large Cu\(_2\)O nanocubes. The Cu\(_2\)O nanocubes anode performed excellently in a cyclic test at a rate of 0.2 C and 1 C, revealing the great potential of using Cu\(_2\)O nanocubes as an anode material in Li-ion batteries.
**Acknowledgements**
The authors like to thank the National Science Council of the Republic of China, Taiwan, for financially supporting this research under contract Nos. NSC 99-2113-M-007-011.
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A bill for an act
relating to child protection; amending Minnesota Statutes 2015 Supplement, section 626.556, subdivision 2, as amended.
BE IT ENACTED BY THE LEGISLATURE OF THE STATE OF MINNESOTA:
Section 1. Minnesota Statutes 2015 Supplement, section 626.556, subdivision 2, as amended by Laws 2016, chapter 189, article 15, section 24, is amended to read:
Subd. 2. Definitions. As used in this section, the following terms have the meanings given them unless the specific content indicates otherwise:
(a) "Accidental" means a sudden, not reasonably foreseeable, and unexpected occurrence or event which:
(1) is not likely to occur and could not have been prevented by exercise of due care; and
(2) if occurring while a child is receiving services from a facility, happens when the facility and the employee or person providing services in the facility are in compliance with the laws and rules relevant to the occurrence or event.
(b) "Commissioner" means the commissioner of human services.
(c) "Facility" means:
(1) a licensed or unlicensed day care facility, residential facility, agency, hospital, sanitarium, or other facility or institution required to be licensed under sections 144.50 to 144.58, 241.021, or 245A.01 to 245A.16, or chapter 245D;
(2) a school as defined in section 120A.05, subdivisions 9, 11, and 13; and chapter 124E; or
(3) a nonlicensed personal care provider organization as defined in section 256B.0625, subdivision 19a.
(d) "Family assessment" means a comprehensive assessment of child safety, risk of subsequent child maltreatment, and family strengths and needs that is applied to a child maltreatment report that does not allege sexual abuse or substantial child endangerment. Family assessment does not include a determination as to whether child maltreatment occurred but does determine the need for services to address the safety of family members and the risk of subsequent maltreatment.
(e) "Imminent danger" is a situation in which a child is threatened with immediate and present maltreatment that is life threatening, or likely to result in abandonment or serious physical injury.
(f) "Investigation" means fact gathering related to the current safety of a child and the risk of subsequent maltreatment that determines whether child maltreatment occurred and whether child protective services are needed. An investigation must be used when reports involve sexual abuse or substantial child endangerment, and for reports of maltreatment in facilities required to be licensed under chapter 245A or 245D; under sections 144.50 to 144.58 and 241.021; in a school as defined in section 120A.05, subdivisions 9, 11, and 13, and chapter 124E; or in a nonlicensed personal care provider association as defined in section 256B.0625, subdivision 19a.
(g) "Mental injury" means an injury to the psychological capacity or emotional stability of a child as evidenced by an observable or substantial impairment in the child's ability to function within a normal range of performance and behavior with due regard to the child's culture.
(h) "Neglect" means the commission or omission of any of the acts specified under clauses (1) to (9), other than by accidental means:
(1) failure by a person responsible for a child's care to supply a child with necessary food, clothing, shelter, health, medical, or other care required for the child's physical or mental health when reasonably able to do so;
(2) failure to protect a child from conditions or actions that seriously endanger the child's physical or mental health when reasonably able to do so, including a growth delay, which may be referred to as a failure to thrive, that has been diagnosed by a physician and is due to parental neglect;
(3) failure to provide for necessary supervision or child care arrangements appropriate for a child after considering factors as the child's age, mental ability, physical condition, length of absence, or environment, when the child is unable to care for the child's own basic needs or safety, or the basic needs or safety of another child in their care;
(4) failure to ensure that the child is educated as defined in sections 120A.22 and 260C.163, subdivision 11, which does not include a parent's refusal to provide the parent's child with sympathomimetic medications, consistent with section 125A.091, subdivision 5;
(5) nothing in this section shall be construed to mean that a child is neglected solely because the child's parent, guardian, or other person responsible for the child's care in good faith selects and depends upon spiritual means or prayer for treatment or care of disease or remedial care of the child in lieu of medical care; except that a parent, guardian, or caretaker, or a person mandated to report pursuant to subdivision 3, has a duty to report if a lack of medical care may cause serious danger to the child's health. This section does not impose upon persons, not otherwise legally responsible for providing a child with necessary food, clothing, shelter, education, or medical care, a duty to provide that care;
(6) prenatal exposure to a controlled substance, as defined in section 253B.02, subdivision 2, used by the mother for a nonmedical purpose, as evidenced by withdrawal symptoms in the child at birth, results of a toxicology test performed on the mother at delivery or the child at birth, medical effects or developmental delays during the child's first year of life that medically indicate prenatal exposure to a controlled substance, or the presence of a fetal alcohol spectrum disorder;
(7) "medical neglect" as defined in section 260C.007, subdivision 6, clause (5);
(8) chronic and severe use of alcohol or a controlled substance by a parent or person responsible for the care of the child that adversely affects the child's basic needs and safety; or
(9) failure by a parent to contact a child on a regular basis with no demonstrated consistent interest in the child's well-being, when reasonably able to do so, unless another person has physical custody of the child pursuant to an order, designation, or appointment under chapter 257, 257B, 257C, 518, or 524, or pursuant to a mutual agreement with the parent; or
(10) emotional harm from a pattern of behavior which contributes to impaired emotional functioning of the child which may be demonstrated by a substantial and observable effect
in the child's behavior, emotional response, or cognition that is not within the normal range for the child's age and stage of development, with due regard to the child's culture.
(h) (i) "Nonmaltreatment mistake" means:
(1) at the time of the incident, the individual was performing duties identified in the center's child care program plan required under Minnesota Rules, part 9503.0045;
(2) the individual has not been determined responsible for a similar incident that resulted in a finding of maltreatment for at least seven years;
(3) the individual has not been determined to have committed a similar nonmaltreatment mistake under this paragraph for at least four years;
(4) any injury to a child resulting from the incident, if treated, is treated only with remedies that are available over the counter, whether ordered by a medical professional or not; and
(5) except for the period when the incident occurred, the facility and the individual providing services were both in compliance with all licensing requirements relevant to the incident.
This definition only applies to child care centers licensed under Minnesota Rules, chapter 9503. If clauses (1) to (5) apply, rather than making a determination of substantiated maltreatment by the individual, the commissioner of human services shall determine that a nonmaltreatment mistake was made by the individual.
(i) (j) "Operator" means an operator or agency as defined in section 245A.02.
(j) (k) "Person responsible for the child's care" means (1) an individual functioning within the family unit and having responsibilities for the care of the child such as a parent, guardian, or other person having similar care responsibilities, or (2) an individual functioning outside the family unit and having responsibilities for the care of the child such as a teacher, school administrator, other school employees or agents, or other lawful custodian of a child having either full-time or short-term care responsibilities including, but not limited to, day care, babysitting whether paid or unpaid, counseling, teaching, and coaching.
(k) (l) "Physical abuse" means any physical injury, mental injury, or threatened injury, inflicted by a person responsible for the child's care on a child other than by accidental means, or any physical or mental injury that cannot reasonably be explained by the child's history of injuries, or any aversive or deprivation procedures, or regulated interventions, that have not been authorized under section 125A.0942 or 245.825.
Abuse does not include reasonable and moderate physical discipline of a child administered by a parent or legal guardian which does not result in an injury. Abuse does not include the use of reasonable force by a teacher, principal, or school employee as allowed by section 121A.582. Actions which are not reasonable and moderate include, but are not limited to, any of the following:
(1) throwing, kicking, burning, biting, or cutting a child;
(2) striking a child with a closed fist;
(3) shaking a child under age three;
(4) striking or other actions which result in any nonaccidental injury to a child under 18 months of age;
(5) unreasonable interference with a child's breathing;
(6) threatening a child with a weapon, as defined in section 609.02, subdivision 6;
(7) striking a child under age one on the face or head;
(8) striking a child who is at least age one but under age four on the face or head, which results in an injury;
(9) purposely giving a child poison, alcohol, or dangerous, harmful, or controlled substances which were not prescribed for the child by a practitioner, in order to control or punish the child; or other substances that substantially affect the child's behavior, motor coordination, or judgment or that results in sickness or internal injury, or subjects the child to medical procedures that would be unnecessary if the child were not exposed to the substances;
(10) unreasonable physical confinement or restraint not permitted under section 609.379, including but not limited to tying, caging, or chaining; or
(11) in a school facility or school zone, an act by a person responsible for the child's care that is a violation under section 121A.58.
(¶)(m) "Practice of social services," for the purposes of subdivision 3, includes but is not limited to employee assistance counseling and the provision of guardian ad litem and parenting time expeditor services.
(m)(n) "Report" means any communication received by the local welfare agency, police department, county sheriff, or agency responsible for child protection pursuant to this section that describes neglect or physical or sexual abuse of a child and contains sufficient content
to identify the child and any person believed to be responsible for the neglect or abuse, if known.
(n) (o) "Sexual abuse" means the subjection of a child by a person responsible for the child's care, by a person who has a significant relationship to the child, as defined in section 609.341, or by a person in a position of authority, as defined in section 609.341, subdivision 10, to any act which constitutes a violation of section 609.342 (criminal sexual conduct in the first degree), 609.343 (criminal sexual conduct in the second degree), 609.344 (criminal sexual conduct in the third degree), 609.345 (criminal sexual conduct in the fourth degree), or 609.3451 (criminal sexual conduct in the fifth degree). Sexual abuse also includes any act which involves a minor which constitutes a violation of prostitution offenses under sections 609.321 to 609.324 or 617.246. Effective May 29, 2017, sexual abuse includes all reports of known or suspected child sex trafficking involving a child who is identified as a victim of sex trafficking. Sexual abuse includes child sex trafficking as defined in section 609.321, subdivisions 7a and 7b. Sexual abuse includes threatened sexual abuse which includes the status of a parent or household member who has committed a violation which requires registration as an offender under section 243.166, subdivision 1b, paragraph (a) or (b), or required registration under section 243.166, subdivision 1b, paragraph (a) or (b).
(o) (p) "Substantial child endangerment" means a person responsible for a child's care, by act or omission, commits or attempts to commit an act against a child under their care that constitutes any of the following:
(1) egregious harm as defined in section 260C.007, subdivision 14 (infliction of bodily harm on a child or neglect of a child that demonstrates a grossly inadequate ability to provide minimally adequate parental care);
(2) abandonment under section 260C.301, subdivision 2 when the child is under the age of three and has been deserted by a parent under circumstances that show an intent not to return to care for the child, unless another person has physical custody of the child pursuant to an order, designation, or appointment under chapter 257, 257B, 257C, 518, or 524, or pursuant to a mutual agreement with the parent;
(3) neglect as defined in paragraph (g) (h), clause (2), that substantially endangers the child's physical or mental health, including a growth delay, which may be referred to as failure to thrive, that has been diagnosed by a physician and is due to parental neglect;
(4) murder in the first, second, or third degree under section 609.185, 609.19, or 609.195;
(5) manslaughter in the first or second degree under section 609.20 or 609.205;
(6) assault in the first, second, or third degree under section 609.221 (great bodily harm), 609.222 (dangerous weapon), or 609.223 (substantial bodily harm, past pattern of child abuse, or victim under the age of four);
(7) physical abuse, as defined in paragraph (l), of a child:
(i) under the age of six that causes injury to the face, head, back, or abdomen;
(ii) under the age of three that causes bruising to the buttocks; or
(iii) under the age of one or a nonmobile child that causes any injury;
(8) solicitation, inducement, and promotion of prostitution under section 609.322;
(8) (9) criminal sexual conduct under sections 609.342 to 609.3451;
(9) (10) solicitation of children to engage in sexual conduct under section 609.352;
(10) (11) malicious punishment or neglect or endangerment of a child under section 609.377 or 609.378;
(11) (12) use of a minor in sexual performance under section 617.246; or
(13) withholding a medically indicated treatment from a child with a life-threatening condition unless exempted under section 260C.007, subdivision 6, clause (5);
(12) (14) parental behavior, status, or condition which mandates that the county attorney file a termination of parental rights petition under section 260C.503, subdivision 2; or
(15) imminent danger as defined in paragraph (e).
For purposes of clause (7), "bruising" means an area of discolored skin caused by a blow or impact that ruptures underlying blood vessels.
(p) (q) "Threatened injury" means a statement, overt act, condition, or status that represents a substantial risk of physical or sexual abuse or mental injury. Threatened injury includes, but is not limited to, exposing a child to a person responsible for the child's care, as defined in paragraph (j) (k), clause (1), who has:
(1) subjected a child to, or failed to protect a child from, an overt act or condition that constitutes egregious harm, as defined in section 260C.007, subdivision 14, or a similar law of another jurisdiction;
(2) been found to be palpably unfit under section 260C.301, subdivision 1, paragraph (b), clause (4), or a similar law of another jurisdiction;
(3) committed an act that has resulted in an involuntary termination of parental rights under section 260C.301, or a similar law of another jurisdiction; or
(4) committed an act that has resulted in the involuntary transfer of permanent legal and physical custody of a child to a relative under Minnesota Statutes 2010, section 260C.201, subdivision 11, paragraph (d), clause (1), section 260C.515, subdivision 4, or a similar law of another jurisdiction.
A child is the subject of a report of threatened injury when the responsible social services agency receives birth match data under paragraph (q)(r) from the Department of Human Services.
(e)(r) Upon receiving data under section 144.225, subdivision 2b, contained in a birth record or recognition of parentage identifying a child who is subject to threatened injury under paragraph (p)(q), the Department of Human Services shall send the data to the responsible social services agency. The data is known as "birth match" data. Unless the responsible social services agency has already begun an investigation or assessment of the report due to the birth of the child or execution of the recognition of parentage and the parent's previous history with child protection, the agency shall accept the birth match data as a report under this section. The agency may use either a family assessment or investigation to determine whether the child is safe. All of the provisions of this section apply. If the child is determined to be safe, the agency shall consult with the county attorney to determine the appropriateness of filing a petition alleging the child is in need of protection or services under section 260C.007, subdivision 6, clause (16), in order to deliver needed services. If the child is determined not to be safe, the agency and the county attorney shall take appropriate action as required under section 260C.503, subdivision 2.
(r)(s) Persons who conduct assessments or investigations under this section shall take into account accepted child-rearing practices of the culture in which a child participates and accepted teacher discipline practices, which are not injurious to the child's health, welfare, and safety. |
A Hierarchical Approach to Classifying Stream Habitat Features
Charles P. Hawkins, Jeffrey L. Kershner, Peter A. Bisson, Mason D. Bryant, Lynn M. Decker, Stanley V. Gregory, Dale A. McCullough, C. K. Overton, Gordon H. Reeves, Robert J. Steedman and Michael K. Young
ABSTRACT
We propose a hierarchical system of classifying stream habitats based on three increasingly fine descriptions of the morphological and hydraulic properties of channel geomorphic units. We define channel geomorphic units as areas of relatively homogeneous depth and flow that are bounded by sharp gradients in both depth and flow. Differences among these units provide a natural basis for habitat classification that is independent of spatial scale. At the most general level of resolution, we divide channel units into fast- and slow-water categories that approximately correspond to the commonly used terms "riffle" and "pool." Within the fast-water category, we identify two subcategories of habitats, those that are highly turbulent (riffles, cascades, chute rapids) and riffles with low turbulence (sheer and pools). Slow-water habitats include pools formed by channel scour (eddy pools, reach pools, mid-channel pools, convergence pools, lateral scour pools and plunge pools) and those formed behind dams. Dammed pools include those obstructed by debris dams, beaver dams, landslides and abandoned channels. We consider backwaters as a type of dammed pool. Fishes and other stream organisms distinguish among these habitats at one or more levels of hierarchy. Habitats defined in this way represent an important habitat template on which patterns of biological diversity and production form. We believe that a hierarchical system of classification will facilitate understanding of biotic-habitat relationships in streams and lead to more effective methods of evaluating the effects of environmental change on stream ecosystems. Refining the criteria by which habitats are distinguished, quantifying how different species use different habitats, and integrating the ways biota respond to habitat variation should facilitate the emergence of a theory of stream habitat organization.
"It is not the nomenclature that matters but the clear definitions of the contents given to terms, a truism most frequently misunderstood." E. Balon (1982).
Development of a logical and consistent system of stream habitat classification has challenged both stream researchers and fisheries managers for many years (e.g., Platts 1980; Bisson et al. 1982; review by Mosley 1987). Although there is a clear need for classification, no single approach has been generally accepted. A general system of habitat classification has been hindered because
1. stream environments consist of so many independent and interacting factors known to influence biota that distinguishing habitats based on a single criterion is impractical;
2. environmental heterogeneity varies considerably both within and among streams, which makes the number of habitat classes required for adequate description of a given stream unclear;
3. environmental variation is often gradual rather than discrete at several different spatial and temporal scales, further confounding identification of habitat classes; and
4. the type and resolution of classification needed may vary with specific research or management objectives.
A general classification system of stream habitats should serve several purposes (Pennak 1979; Warren 1979; Platts 1980). The system should provide a standard frame of reference that facilitates communication among researchers and managers. Habitat classes should be defined in an ecologically meaningful way that can be easily recognized by both researchers and managers. These classes should be based on measurable variation in environmental attributes at spatial scales important to the activities of stream biota. It should also be possible to extrapolate biotic-habitat relationships from one stream to another. Furthermore, the system should be flexible
enough that it can be used to address a variety of research and management objectives.
The need for a general, workable classification is especially acute for small streams (< 4th order), which exhibit considerable heterogeneity in both morphological and hydraulic features (Beschta and Platts 1986; Sullivan et al. 1987; Robinson and Beschta 1990). Environmental variation in small streams is conspicuous at the spatial scale of channel geomorphic units, hereafter referred to as "channel units." Channel units are quasi-discrete areas of relatively homogeneous depth and flow that are bounded by sharp physical gradients (e.g., riffles and pools). Individual units are formed by interactions among discharge, sediment load and channel resistance to flow (e.g., Leopold et al. 1964; Richards 1982). Different types of units are usually in close enough proximity to one another that mobile stream organisms can select the type of unit that provides the most suitable habitat.
Variation in the structure and dynamics of the physical environment are primary factors affecting production and diversity of stream biota (e.g., Hynes 1970; Vannote et al. 1980; Minshall 1988). This spatial and temporal heterogeneity represents an important habitat templet (e.g., Southwood 1977) for stream biota. Although important environmental variation exists at all levels of spatial resolution, many research and management objectives are best addressed at the spatial scale of channel units (e.g., Sullivan et al. 1987). At the channel unit of resolution, both abundance of biota and rates of ecosystem processes often exhibit marked patchiness, presumably as a consequence of high variation in habitat suitability or quality. Differences in habitat quality among channel units are often associated with differences in morphology (e.g., depth, width, shape), current velocity (hydraulics) and bed roughness (substrate size). For example, nutrient uptake (Aumen et al. 1990), algal abundance (Tett et al. 1978), invertebrate production (Huryn and Wallace 1987) and diversity (Hawkins 1984), and fish abundance (Bisson et al. 1988) are all known to exhibit significant variation at this spatial scale.
Bisson et al. (1982) based a system of salmonid habitat classification on naturally occurring channel units and the hydraulic processes that formed them. They suggested that several distinct channel units occur at summer, base-flow conditions that could be easily recognized and had ecological relevance to salmonids. The American Fisheries Society has since adopted much of their habitat nomenclature (Helm 1985), and this classification system has been successfully applied to both research and management purposes. For example, by classifying habitats in this manner, Bisson et al. (1982, 1988) and Sullivan (1986) discovered important ecological associations among habitat characteristics, species abundance and body form for the juvenile stages of three species of salmonids. Coho salmon (*Oncorhynchus kisutch*), steelhead trout (*Oncorhynchus mykiss*), and cutthroat trout (*Oncorhynchus clarkii*) segregated within stream segments by using different types of channel units. In these studies, fish distinguished between riffles and pools as well as subclasses of pools defined by channel unit position, forming constraint and flow. Benthic invertebrates also appear to use different types of channel units.
It seems especially important that hypotheses regarding the effects of individual habitat features (e.g., food or cover) be tested while controlling for the effects of other habitat factors.
The Upper Smith River near Mount St. Helens, Washington, illustrates the heterogeneous nature of physical habitats in many small stream ecosystems. A standardized classification system for habitats at the channel unit spatial scale should lead to better defined habitat relationships for stream biota.
(e.g., Hawkins 1984; Statzner and Higler 1986). In these cases, the basis for differential use of units appears to be related to differences in either substrate size or hydraulic characteristics. Kershner and Snider (1992) refined the predictions of instream flow models by weighting output by channel unit type thereby more accurately predicting changes in habitat availability with changing flow.
After nearly 10 years of use, we are now aware of several obstacles that limit the original version of the Bisson et al. (1982) system as a general classification tool. First, aquatic ecologists have often assigned habitats into different numbers of habitat classes based on a real or perceived need for more, and sometimes fewer, habitat classes than originally described. As a consequence, there has been a tendency for "habitat-type proliferation" to occur (e.g., McCain et al. 1989). Although such modifications often may be needed to address specific objectives, use of different sets of habitat classes can potentially confound comparisons among streams, if the basis for discriminating habitat units in each case is not clear. Second, we have sometimes used similar terms to describe dissimilar habitats, thereby further confounding among-stream comparisons. Third, we are aware of several instances in which the system has been used without clear consideration of either research or management objectives. In the following section, we suggest that a hierarchical classification scheme can provide both a logical and ecologically relevant foundation on which to base classification of channel units and a means of standardizing descriptions of channel units.
Needs for Consistent Systems of Classification
Stream management depends on a solid understanding of biota-habitat relationships and, as such, refinement of ecologically sound ways to describe and classify habitats is a critical component of stream science and management. For example, managers often rely on empirical descriptions of habitat use to make inferences about factors that limit a species' growth or abundance. Habitat classification can therefore aid in determining the factors that may limit populations, if habitat classes are based on differences in factors known to influence biota, and habitat classification is used in a consistent manner.
Quantification of habitat use provides a basis for predicting biotic response to changes in habitat availability. If the availability of different habitat types and habitat-specific abundances is known, selectivity indices can be calculated. These calculations assume that different habitat types are discrete, are equally accessible, and recognizable by the organism(s) of interest. Where these assumptions are valid, such analyses provide the type of data fundamental to understanding patterns of habitat use by different species and form a basis for predicting biotic response to changes in habitat availability.
Much of our understanding of habitat relationships in streams has emerged from comparative studies that describe statistical relationships between habitat variables and abundance. These studies have yielded important insights regarding the factors that influence abundance, but general quantitative models with high predictive power have not yet emerged (see Fausch et al. 1988; Marcus et al. 1990 for reviews). In fact, some habitat-based models produce conflicting results (see Binns and Eiserman 1979 and Bowlby and Roff 1986). In hindsight, the present status of habitat modelling may not be surprising. The perceived relative importance of different environmental factors may depend strongly on the spatial scale of observation (e.g., Lanka et al. 1987; Crowl and Schnell 1990). Furthermore, comparison of studies conducted at the same spatial scale may be confounded if the relative importance of different micro-spatial factors varies with habitat type. It seems especially important that hypotheses regarding the effects of individual habitat features (e.g., food or cover) be tested while controlling for the effects of other habitat factors. Ideally such analyses would be conducted within a single habitat type in which only the habitat component of interest varied and other habitat variables were constant or nearly so. Truly general models must ultimately integrate responses biota exhibit to environmental variation at several spatial and temporal scales, and we have not progressed far in this respect.
Habitat classification also provides a means to minimize effort and maximize the statistical reliability of population estimates, especially if estimates are required for large spatial scales. We have often based population estimates on samples taken from single, arbitrarily selected sections of stream and have assumed that these estimates are representative of the entire stream within a drainage basin. Although such sampling can sometimes yield valuable information regarding the factors potentially limiting populations (e.g., Hawkins et al. 1983), it is not valid to use a single sample estimate to extrapolate population abundances beyond the boundaries of the area sampled (e.g., abundances within an entire basin).
If habitats can be classified and enumerated, statistically sound estimates of population abundance at several spatial scales can be made by censusing the amount of different habitat types within a stream and then sampling a subset of each habitat type for biota. This approach yields habitat-specific estimates of abundance that can be combined to generate an estimate of population abundance in the stream segment as a whole (e.g., Hankin 1986; Hankin and Reeves 1988). However, accurate, whole-stream estimates require that habitat types be
consistently classified. If field personnel do not consistently identify different habitat types, habitat-specific estimates of abundance will be in error and among-basin comparisons will be compromised.
This type of watershed-level survey can also be used as a method of monitoring at different scales. In the Willamette River basin, Sedell and Luchessa (1982) have reconstructed the historic habitat descriptions and fish distributions to compare conditions in the basin from the 1930s to current conditions. If basin-level habitat surveys are repeatable and accurate, they can be used as a long-term monitoring tool to compare current conditions with changes in management over time. By resurveying streams, changes in habitat frequency can be compared with desired objectives.
Restoration of degraded stream ecosystems may sometimes require that we restore habitat features that are damaged or lost by channel alteration. If sampling reveals that certain channel elements may be limiting recovery of a population or community, stream managers may want to manipulate the abundance of specific types of channel units toward a more desired set of conditions. Fisheries managers have frequently attempted to increase the production of fish by this type of channel manipulation (see Everest and Sedell 1983; Wesche 1985), although evaluations of the effectiveness of such practices are sorely lacking. We believe a consistent method of channel unit classification would facilitate our abilities to set realistic restoration objectives and to develop efficient ways of evaluating the effectiveness of specific restoration practices.
**Recommendations**
We believe a hierarchical classification of channel units may alleviate problems that some users have with Bisson's (Bisson et al. 1982) original classification scheme. Hierarchical systems allow choice of the level of habitat resolution that is required for specific objectives (Frissell et. al. 1986; O'Neill et al. 1986) and provide a consistent means for either collapsing or splitting data sets if comparisons across studies are desired. Such a system is valuable if data on community-wide and ecosystem-wide, as well as species-specific, responses are needed.
Figure 1 illustrates our perception of the hierarchical relationships among different types of channel units. In constructing this hierarchy, we first identified which physical characteristics were needed to describe specific channel units. We then ranked the importance of these factors as descriptive features useful in defining and discriminating among different types of channel units. Rankings used in this scheme were based on consensus derived from our combined experience classifying stream habitats. Although too few empirical studies exist at this time on which to base an objective analysis, a few studies provide data supporting the idea that these habitat classes differ significantly in the manner we suggest (Sullivan 1986; Bisson et al. 1988).
A three-level hierarchy should provide the level of resolution needed for most research and management purposes (Fig. 1). At the coarsest level of resolution, fluvial geomorphologists recognize riffles and pools as two primary channel unit types (Yang 1971; Keller and Melhorn 1978; O'Neill and Abrahams 1987). Riffles are topographic high points in the bed profile and are composed of coarser sediments, whereas pools are low points with finer substrates (Richards 1982). At base flows, riffles have rapid, shallow flow with steep water-surface gradient, whereas pools are generally deep, slow-flowing and have a gentle surface slope (Richards 1978). Although riffles and pools do not always have sharp boundaries, they appear to represent distinctly different ecological habitats. The biota inhabiting them are markedly different in both taxonomic composition and the morphological, physiological, and behavioral traits they possess.
For many biota, however, important differences in habitat use occur at finer levels of resolution than recognized by geomorphologists (e.g., Minshall 1984; Bisson et al. 1988). Stream ecologists
recognize subcategories of riffle and pool that further refine the physical and biological functions of these units. Both Bisson et al. (1982) and Helm (1985) refer to specific types of riffles and pools, which may cause some confusion in terminology. To avoid further confusion, we refer to the broad categories of riffle and pool as fast-water and slow-water channel units, respectively.
Both fast-water units and slow-water units can be divided into two subclasses. Fast-water units can be divided into either high-turbulent or low-turbulent classes based on differences in gradient, bed roughness and step development (Table 1). We use the term "step development" in reference to the distinct breaks in bed slope that may occur within a channel unit. Two types of pools can be distinguished based on whether they are formed by scour or damming (Table 2). Both subdivisions appear to be ecologically relevant. The types and abundances of riffle-dwelling benthos are strongly affected by the amount of turbulence (Statzner et al. 1988). Dammed pools tend to accumulate and retain sediment and organic debris to a greater extent than scour pools. The retentiveness of stream habitats in terms of nutrients, sediment or organic debris is an important factor affecting stream ecosystem energetics (Benke et al. 1988; Meyer et al. 1988). The presence and abundance of cover, and hence fish (Devore and White 1978; Shirvell 1990), also appear to be associated with type of pool. Dammed pools often have greater amounts of cover than scour pools, because they are usually formed behind wood, debris or large substrates.
The fast- and slow-water classes can be further divided based on other criteria. Most of these subclasses correspond to the names and definitions of stream habitat types provided by the Habitat Inventory Committee of the Western Division, American Fisheries Society (Helm 1985). For this reason, we have attempted to preserve the nomenclature used by Bisson et al. (1982) and Helm (1985). In some cases, we have either collapsed or added categories based on how well original definitions fit within our hierarchical framework. For example, we used ranked differences in gradient, percent super critical flow, bed roughness, mean velocity and step development to identify subclasses of both turbulent (falls, cascades, rapids, riffles, chutes) and non-turbulent (sheets and runs) units. The subclass of sheet was not identified by either Bisson et al. (1982) or Helm (1985). This subclass refers to units with shallow water flowing over smooth bedrock, a common habitat type in some geographic regions. Individual pool types within scour and dammed groups differ in terms of their location within the flood or active channel (i.e., main channel or off channel), longitudinal and cross-sectional depth profiles, characteristics of surficial substrates, and the constraining feature that helps form them. This is the finest level of resolution that we believe can be visually distinguished.
We have not included some habitat types identified in Bisson et al. (1982) and Helm (1985); e.g., pocket water, alcove, slackwater pool, underscour pool. In general, these habitats were collapsed within broader categories. For example, we considered alcoves to be a form of eddy, and pocket water pools were small-scale habitat features that exist within fast-water channel units.
We had trouble placing some commonly cited "habitats" within this framework. Whereas, we agreed on the names for and characteristics of most habitat types, glides were more difficult to define. Some of us, in fact, had markedly different ideas of
---
**Table 1. Classes of fast-water channel units and variables used to distinguish them. Differences among classes are ranked for each variable. In all rankings, 1 indicates highest magnitude. Supercritical (SC) flow is a measure of turbulence and is ranked by amount of broken surface water within the channel unit. Step development is ranked by the number and size of energy dissipation features within a habitat unit.**
| Class | Gradient | SC flow | Bed roughness | Mean velocity | Step development |
|-------------|----------|---------|---------------|---------------|-----------------|
| Turbulent: | | | | | |
| Fall | 1 | NA | N/A | 1 | 1 |
| Cascade | 2 | 1 | 1 | 2 | 2 |
| Chute | 3 | 2 | 4 | 3 | 5 |
| Rapid | 4 | 3 | 2 | 4 | 3 |
| Riffle | 5 | 4 | 3 | 5 | 4 |
| Nonturbulent: | | | | | |
| Sheet | Var | 6 | 6 | 6 | 5 |
| Run | 6 | 5 | 5 | 7 | 5 |
NA = Not Applicable
Var = Variable
Table 2. Classes of slow-water channel units. Channel location refers to whether the unit occurs in the main flow of the stream or near a bank. Shape of the units are indexed by location of the deepest point along both longitudinal and cross-sectional (L and X) depth profiles. Substrate character refers to the degree of sorting, erosional resistance and/or size of particles. The forming constraint describes the feature causing water to pool.
| Class | Channel location | L-section profile | X-section profile | Substrate character | Forming constraint |
|----------------|------------------|-------------------|-------------------|---------------------|--------------------|
| Scour Eddy | bank | mid | mid | surface fines | lateral obstruction|
| Trench | main | uniform | uniform | uniform, resistant | bilateral resistance|
| Mid-channel | main | mid | mid | uniform, resistant | constriction at head|
| Convergence | main | mid | mid | sorted, fine at head | convergence of streams|
| Lateral | main | up or mid | side | sorted, resistant | deflector at head obstruction at head|
| Plunge | main | up | variable | sorted | obstruction at head|
| Dammed Debris | main | tail | variable | sorted, fine | debris |
| Beaver | main | tail | variable | uniform, fine | beaver dam |
| Landslide | main | irreg | irreg | variable | colluvium |
| Backwater | bank | tail | variable | uniform, fine | obstruction |
| Abandoned channel | bank | tail | mid | uniform, fine | headward deposits by active channel|
what makes up a glide. One reason for the lack of consensus may be that glides are often the low-flow remnants of high-flow scour pools (c.f. Keller 1971; Lisle 1979) and are thus extended transitional areas between fast- and slow-water habitats. For these reasons, we deleted glides from our classification.
We recognize that not all types of channel units may exist in any one stream at any specific time. For example, during higher (floods) or lower (drought) flows, some units may change in physical character (e.g., a run may change to a riffle). Although most ecological and management studies are conducted during base flow conditions, we doubt if any fundamentally different types of units would be needed to characterize habitats available to and used by stream biota under other flow regimes.
Discussion
The classification system we describe here is meant to be a foundation for describing stream habitats at the scale of channel geomorphic units. In principle, this approach should be easily integrated into the spatial hierarchical classification systems proposed by Platts (1980), Frissell et al. (1986) and Gregory et al. (1991). Doing so should ultimately provide a more sound understanding of the structural and functional properties of stream ecosystems that occur at different scales.
Determining how well the proposed classification approach works will depend, in part, on eventually quantifying the amount of variance in physical attributes that exists both within and between channel unit classes. The proposed approach to classifying channel units will certainly require refinement and validation. Perhaps the most important immediate task is to objectively verify that these or similar classes actually comprise a useful set of different habitat types. The most straightforward way of doing this is to collect a sufficiently large set of habitat data in several streams and use cluster or ordination techniques to reveal if our groupings have an objective basis. Special attention may have to be paid to how different habitat variables are weighted. For those habitat classes that have an objective physical basis, it will then be necessary to
determine to what extent the different channel units are biologically different and for what taxa.
A particularly vexing problem with this scheme is that it is not clear to what extent the nature of channel units is dependent on stream size. For example, as streams get larger, the size of channel units increases, and the boundaries between them may become less distinct. It is likely that channel units in large streams comprise several smaller scale habitat patches that are physically and biologically equivalent to entire stream channel units in small streams. Additional research is clearly needed to explore how well classifications designed for small streams can be used to describe river habitats.
One of the most important advantages of this type of classification system is that individual habitats can be rapidly assigned to classes based on visual appearances. However, valid comparisons either across streams or through time assume that all observers will assign habitats to the correct classes. No studies have been published that quantify the magnitude of subjective bias that exists among observers, although results from unpublished data show that bias can be a problem if field crews are inadequately trained and supervised (unpublished independent data sets of L. M. Decker, C. P. Hawkins, J. L. Kershner, C. K. Overton and G. H. Reeves). It is important that the accuracy of visual assignments be evaluated before the adequacy of such approaches are taken for granted. One way of doing this would be to measure the relevant physical variables for a subset of habitat units after they have been visually assigned to classes. Comparing visually with empirically determined assignments would serve two purposes. First, it would generate statistics regarding precision and accuracy of visual estimates. Second, such checks would serve to identify and limit bias among individual observers.
We expect that with testing and use, this system will be modified and improved to increasingly reflect the physical and biological reality of stream habitats. With improvement, the main advantages of this approach should become increasingly evident, i.e., the flexibility that hierarchical classifications provide in addressing different objectives, the ability to rapidly classify habitats through visual observations, and the ability to conduct statistically sound, large-scale surveys at a reasonable cost.
Acknowledgments
We thank the Department of Fisheries and Wildlife at Utah State University and the U.S. Forest Service Fish Habitat Relationships Unit for sponsoring the workshop on which this paper is based. The Department of Zoology, University of Otago, New Zealand, kindly provided the senior author with office space and facilities while completing the first draft of the manuscript. We especially acknowledge both research and management branches of the Forest Service, which provided funding to many of the authors to either conduct stream habitat surveys or evaluate the ideas on which they are based. This manuscript was written, in part, in response to research funded by the Resident Fisheries and Cumulative Effects Program of the Pacific Southwest Experiment Station, Forest Service, Berkeley, Calif. We thank Michael O'Neill, Jack Feminella, Todd Crowl, Jack Schmidt and Kate Bartz for providing constructive criticisms on various versions of the manuscript.
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Immunological Approaches to the Treatment of Lung Cancer
NICK LEVONYAK
MITCHELL MAGEE
JOHN NEMUNAITIS
INTRODUCTION
Evidence of an endogenous immune-modulating effect in non–small cell lung cancer (NSCLC) is suggested based on heterogeneity of clinical progression observed in patients with the same histologic type of malignancy (1,2). There is also evidence for shared antigens in lung cancers (3–10) as seen in other tumor types (11,12). Dendritic cells (DCs), responsible for antigen presentation and induction of antitumor immunity in tumor-bearing hosts (13,14), have been shown to be activated in NSCLC, and biopsies of responsive disease have occasionally demonstrated tumor-infiltrating lymphocytes within the cancer, suggestive of endogenous immune effect (15). Lastly, improved survival of lung cancer patients who develop empyema has been rarely observed (16), further suggesting a potential positive role of the modulated host immune system against cancer.
Recent advances in molecular biology have identified antigens, cytokines, and mechanisms that have furthered our understanding of immunotherapeutic approaches.
The role of DCs in cell-mediated immunity has been extensively investigated (17–21). DCs play a central role in the induction of antitumor immunity through tumor antigen cross-presentation and the efficient display of these antigens in the context of major histocompatibility complexes (MHC). This ultimately results in stimulation, proliferation, and activation of CD4+ and CD8+ T cells. CD4+ cells further augment the activity of natural killer (NK) cells and macrophages, in addition to amplifying antigen-specific immunity by local secretion of cytokines (22–26). These attributes make DCs a pivotal component in therapeutic strategies of many current immune-based therapies in NSCLC.
However, previous approaches to immunotherapy in lung cancer have failed to realize the potential of this promising strategy. There are several hypotheses to explain potential lack of activity, including ineffective priming of tumor-specific T cells, lack of high avidity of primed tumor-specific T cells, and physical or functional disabling of primed tumor-specific T cells by the primary host, and/or tumor-related mechanism. For example, in NSCLC a high proportion of the tumor-infiltrating lymphocytes are immunosuppressive T regulatory cells (CD4+ CD25+) that secrete transforming growth factor-β (TGF-β) and express a high level of cytotoxic T-lymphocyte (CTL) antigen-4 (27,28). These cells have been shown to impede immune activation by facilitating T-cell tolerance to tumor-associated antigens (TAAs) rather than cross-priming CD8+ T cells, resulting in the nonproliferation of killer T cells that recognize the tumor (27–33). Additionally, elevated levels of interleukin-10 (IL-10) and TFG-β found in patients with NSCLC have been shown in animal models to mediate immunosuppression, which may in turn alter host defense against malignant cells (34–43). These mechanisms are manipulated in different ways in the design of recent vaccine therapeutics described in this review.
NSCLC VACCINE DEVELOPMENT
Belagenpumatucel
Belagenpumatucel-L (Lucanix) (44) is a nonviral gene-based allogeneic vaccine that incorporates the TGF-β2 antisense gene into a cocktail of four different NSCLC cell lines. Elevated levels of TGF-β2 are linked to immunosuppression in cancer patients (45–50), and the level of TGF-β2 is inversely correlated with prognosis in patients with NSCLC (51). TGF-β2 has antagonistic effects on NK cells, lymphokine-activated killer cells, and DCs (34,39,40,52–54). Using an antisense gene to inhibit TGF-β2, several groups have demonstrated an inhibition of cellular TGF-β2 expression resulting in an increased immunogenicity of gene-modified cancer cells (10–14,55–58). In a recent phase II study involving 75 early- (n = 14) and late-stage (n = 61) NSCLC patients, a dose-related effect of belagenpumatucel was defined (44). Patients were randomized to one of the three dose
cohorts. Grade 3 arm swelling existed in one patient with no other serious side effects. Of all 75 patients, the median survival was 441 days with a 1-year survival of 54%. In 41 advanced-stage (IIIB, IV) patients, the investigators found no adverse toxicity and an impressive survival advantage at dose levels $\geq 2.5 \times 10^5$ cells/injection, with an estimated 2-year survival of 47%. This compared favorably with the historical 2-year survival rate of $<20\%$ of stage IIIB/IV NSCLC patients (3–6,59,60). Furthermore, induction of an enhanced immune response to tumor antigen correlated with a more favorable outcome. Immune function was explored in the 61 advanced-stage (IIIB/IV) patients. Cytokine production (interferon [IFN]-$\gamma$, $P = 0.006$; IL-6, $P = 0.004$; and IL-4, $P = 0.007$) was induced, an antibody-mediated response to vaccine human leukocyte antigen (HLA) antigen was observed ($P = 0.014$), and there was a trend toward a correlation between a cell-mediated response and achievement of stable disease or better ($P = 0.086$).
In a recent open-label phase II trial of belagenpumatucel involving 21 confirmed stage IV NSCLC patients, safety and efficacy as well as the correlation between circulating tumor cells (CTCs) in blood and overall survival of advanced NSCLC patients were investigated. Patients were given intradermal (61) immunization of $2.5 \times 10^7$ TGF-$\beta 2$ antisense gene–transfected allogeneic tumor cells (belagenpumatucel) one time per month for a 16-month period. The trial took place from September 2005 to January 2008.
There were no significant grade 3 or 4 toxicities related to therapy. There was grade 2 transient injection-site erythema in three patients and grade 1 and 2 injection-site induration in five patients.
Twenty of 21 patients enrolled were evaluable, with a median survival of 562 days; however, those patients whose baseline CTC levels were 0 to 1 had a significantly improved median survival of 660 days ($P = 0.025$). This adds further support to the hypothesis that lower CTC count may be correlated with better survival (61).
A phase III trial is ongoing to test the effect of belagenpumatucel in patients with stage IIIB, IV NSCLC who demonstrate initial responsiveness to platinum-based therapy.
There have been several investigations involving immune stimulation through TGF-$\beta$ “blockade.” One technique involves a TGF-$\beta$ type 1 receptor kinase inhibitor, SM16. Inhibition of this particular receptor was shown to increase immunostimulatory cytokines and ICAM-1. In addition, there was an increase in number and function of antitumor CD8+ cells in mice containing lung cancer tumors (62).
Another study was done to explore the effectiveness of silencing TGF-$\beta 1$. Tumor cultures of SW1 melanoma and Ag104 sarcoma cells were transfected with short hairpin RNA (shRNA) that inhibited the production of TGF-$\beta 1$ utilizing a lentivirus vector. The concentration of TGF-$\beta 1$ decreased by 98% in the SW1 culture and by 94% in the Ag104 culture. To explore the efficacy of using these TGF-$\beta 1$ inhibited tumor cultures (SW1-TGF-$\beta 1$ or Ag104-TGF-$\beta 1$) as vaccines, in vivo studies were performed in mice. In one study, four SW1 mice treated with the SW1-TGF-$\beta 1$ culture had a significant delay in tumor growth and two had a complete regression. All four of the control mice had consistent tumor growth. Similar results were found in studies with the Ag104-TGF-$\beta 1$ cells (63).
**GVAX**
Vaccines transduced with granulocyte-macrophage colony-stimulating factor (GM-CSF) gene were potent inducers of tumor immunity in animal models (64). Secretion of GM-CSF by genetically modified tumor cells induced local tumor antigen expression and stimulated cytokine release at the vaccine site, which activated and attracted antigen-presenting cells, thereby inducing a tumor-specific cellular immune response (65). Preclinical studies conducted with GVAX showed no significant local and systemic toxicities at clinically relevant doses (64,66–68).
Several phase I/II human trials using GM-CSF–secreting autologous or allogeneic tumor cell vaccines have been performed (69–74). One multicenter phase I/II trial involving patients with early-stage and advanced-stage NSCLC evaluated an autologous GVAX vaccine (8). For vaccine preparation, tumor tissue was obtained surgically or by thoracentesis in the case of malignant effusions. Cells were exposed overnight to an adenoviral vector supernatant (Ad-GM). GVAX was administered intradermally. A total of 43 NSCLC patients (10 early-stage, 33 late-stage) were vaccinated. The most common vaccine-related adverse events were local vaccine injection-site reactions (93%), followed by fatigue (16%) and nausea (12%). Three advanced-stage patients achieved durable, complete tumor regression. Two remain without disease more than 5 years following vaccine. Both had failed prior frontline and second-line therapy prior to vaccination and had multisite disease. One complete responder showed an *in vitro* T-cell response to autologous tumor-pulsed DCs after vaccination. Survival at 1 year was 44% for all advanced-stage-treated patients and median survival was 12 months. Medial survival among patients receiving vaccines secreting GM-CSF at a rate of $\geq 40$ ng/24 hours/10$^6$ cells was 17 months, compared with 7 months for those receiving vaccines secreting less GM-CSF.
A subsequent trial in advanced NSCLC using a vaccine composed of autologous tumor cells mixed with an allogeneic GM-CSF–secreting cell line (K562 cells) failed to demonstrate evidence of clinical efficacy (75). Evidence of vaccine-induced immune activation was demonstrated; however, objective tumor responses were not seen despite
a 25-fold higher GM-CSF–secretion concentration with the bystander GVAX vaccine.
**α-Galactosylceramide**
αGalCer is a glycolipid-based vaccine that has demonstrated capacity to activate Vα24 NK T cells which have been shown to demonstrate antitumor activity via several mechanisms including the production of cytokines such as IFN-γ. Combination with peripheral blood mononuclear cells pulsed with low-dose IL-2 and GM-CSF appeared to enhance vaccine activity (76). A phase 1 study involving 11 patients with NSCLC demonstrated minimal toxicity (grade I or II toxicity) and predicted immune response. However, only two patients achieved stable disease.
In a more recent phase I–II trial of the same vaccine, 23 advanced-stage NSCLC patients received treatment and 17 patients completed the study which took place from February 2004 to August 2006 (77). In 10 of the 17 patients, there was a measurable increase in IFN-γ producing cells. More significantly, those 10 patients had a 2-year survival of 60% and also had an appreciably greater median survival of 31.9 months in comparison with the 9.7-month median survival of the unresponsive patients \((P = 0.0015)\). The median survival of the unresponsive patients is consistent with historical survival of similar patients undergoing standard treatment.
**L-BLP-25**
Mucin (MUC)-1 is a high molecular-weight protein containing large amounts of \(o\)-linked sugars and is expressed on the apical borders of most normal secretory epithelial cells (78). It is expressed in many cancers, including NSCLC (79). Tumor-associated MUC1 is antigenically distinct from normal MUC1 (80). Recent studies have identified that MUC1 is associated with cellular transformation, as demonstrated by tumorigenicity (81), and can confer resistance to genotoxic agents (82). Both the oligosaccharide portion and the tandem repeat of the MUC extracellular domain have potential for immunotherapeutic activity.
L-BLP-25 vaccine has been tested in three NSCLC trials (83). Three doses and two regimens were tested, including one regimen using liposomal IL-2 as an adjuvant. Recently, results of a phase III study (84) of L-BLP-25 in 171 advanced-stage NSCLC patients were reported (75). Patients with stable or responding stage IIIB or IV NSCLC following standard first-line chemotherapy were randomized to either L-BLP-25 (88 patients) or best supportive care (83 patients). There was a 4.4-month longer median survival for patients on the L-BLP-25 arm (17.4 vs. 13 months), although this did not reach statistical significance. The median survival for a subset of 35 stage IIIB patients who received vaccine was 30 months versus 13.3 months for the 30 who received best supportive care \((P = 0.09)\). There were no major toxicities.
The clinically meaningful survival advantages seen for stage IIIB patients are encouraging. A phase III randomized trial of L-BLP-25 for unresectable stage III NSCLC patients with response or stable disease after chemoradiation is now ongoing.
**IDM-2101**
IDM-2101 is a peptide-based vaccine designed to induce CTLs against five TAAs frequently overexpressed in NSCLC (i.e., carcinoembryonic antigen [CEA] (85), p53 (86,87), HER-2/neu (88,89), and melanoma antigens [MAGE] 2 and 3) (90). These TAAs have been used in previous vaccine studies involving patients with NSCLC (91–110) and have been extensively characterized in the literature. IDM-2101 is composed of 10 synthetic peptides from these TAAs. Nine of the peptides represent CTL epitopes and each CTL epitope is restricted by HLA-A2.1 and at least one other member of the HLA-A2 superfamily of MHC class I molecules, providing coverage of approximately 45% of the general population. The 10th synthetic peptide is the pan-DR epitope (PADRE), a rationally designed helper T-lymphocyte epitope included to augment the magnitude and duration of CTL responses (111).
IDM-2101 was tested in an open-label phase II study involving 63 HLA-A2–positive stage IIIB/IV NSCLC patients who had failed prior chemotherapy (112). No significant adverse events were noted. Low-grade erythema and pain at the injection site were the most common side effects. One-year survival in the treated patients was 60%, and median survival was 17.3 months. One complete and one partial response were identified. Survival was longer in patients demonstrating an immune response to epitope peptides \((P < 0.001)\). Overall, treated patients appeared to do well when compared with historical controls.
Immune responses in 33 patients collectively showed induction of CTLs to all of the vaccine epitopes. Although patient-to-patient variability was observed with respect to the frequency and magnitude of the CTL responses, 85% of tested patients responded to at least two epitopes. These data are consistent with results from an earlier phase I trial (113). Moreover, longer survival was shown in patients achieving responses to two or more epitopes \((P < 0.001)\).
**B7.1 Vaccine**
B7.1 (CD80+) is a costimulating molecule associated with induction of a T- and NK-cell response (96,114–116). Tumor cells transfected with B7.1 and HLA molecules have been shown to stimulate an avid immune response by direct antigen presentation and direct activation of T cells, in addition to allowing cross-presentation (117–120). In a Phase I trial, Raez et al. (121) used an allogeneic NSCLC tumor cell line (AD100) transfected with B7.1 (CD80) and HLA-A1 or -A2 to generate CD8 CTL responses. Patients who were HLA-A1 or -A2 allotype
received the corresponding HLA-matched vaccine. A total of 19 patients with stage IIIB/IV NSCLC were treated, and most had received prior chemotherapy. Patients who were neither HLA-A1 nor -A2 received the HLA-A1-transfected vaccine.
A total of 18 patients received at least one full course of treatment. One patient was removed before the completion of the first course due to a serious adverse event not associated with the vaccine. Three more patients experienced serious adverse events, which were also not associated with the vaccine. Side effects included minimal skin erythema for four patients.
One patient showed a partial response for 13 months and five patients had stable disease ranging from 1.6 to >52 months (121,122). The Kaplan-Meyer estimate for the survival for the 19 patients was 18 months. One-year survival was estimated at 52%. The low toxicity and good survival in this study suggested benefit from clinical vaccination.
**L523S Vaccine**
L523S is a lung cancer antigen originally identified through screening of genes differentially expressed in cancer versus normal tissue (123,124). L523S is expressed in approximately 80% of NSCLC cells (123,124). The immunogenicity of L523S in humans was initially shown by detecting the presence of existent antibody and helper T-cell responses to L523S in patients with lung cancer. Subsequent studies further validated L523S immunogenicity by demonstrating that human CTLs could specifically recognize and kill cells that express L523S. In preclinical studies, the gene proved safe when injected intramuscularly as an expressive plasmid (pVAX/L523S) and when delivered following incorporation into an EIB-deleted adenovirus (Ad/L523S). In a phase I clinical trial in 13 stage IB, IIA, and IIB NSCLC patients, both delivery vehicles (pVAX/L523S and Ad/L523S) were used to administer the gene to three patients in each of three cohorts (125). No significant toxic effect was identified. All but one patient demonstrated at least twofold elevation in antiadenovirus antibodies; however, despite the positive preclinical studies, vaccination induced an immune response in only one patient in the phase I study. The reasons for a lack of significant detectable immune response are unknown. The use of alternative formulations and/or regimens and the assessment of other surrogate immune function parameters might be considered. Two patients developed disease recurrence and all remained alive after a median of 290 days follow-up.
**Epidermal Growth Factor Vaccine**
Overexpression of epidermal growth factor receptor (EGFR) and its ligand, epidermal growth factor (EGF), has been linked with the promotion of cell proliferation, survival, and motility. EGF transduces signaling through EGFR following binding to this cell surface receptor, ultimately resulting in the stimulation of cell proliferation. The immunotherapy developed by Ramos et al. (126) induces an immune response against self-produced EGF. This vaccine is a human recombinant EGF linked to a P64K recombinant carrier protein from *Neisseria meningitides*. Several pilot trials have been completed (126–128). Results from these studies have demonstrated that vaccination with EGF is immunogenic and appears to be well-tolerated.
In one study, 43 patients with stage IIIB/IV NSCLC randomly received either a single dosage or a double dose (126). Immune response against EGF was measured in 38 of the 43 patients, and 15 achieved a good antibody response (GAR) against EGF following vaccination. Kaplan-Meyer analysis separating patients by dose predicted a median estimated life expectancy of 6.4 months for patients who received the single dose, and 8.4 months for the patients who received the double dose. Based on immune response, however, patients classified as GARs had a life expectancy estimated at 12 months, whereas those who had a less favorable GAR had a life expectancy of 7 months.
Two other studies conducted by Gonzalez and colleagues compared the effect of different adjuvants on patients’ antibody response (127,128). The patients were treated each time when antibody titers decreased to at least 50% of their induction-phase peak titer. The pooled data of the two trials suggested that higher antibody responses were obtained when the vaccine was emulsified in adjuvant montanide ISA 51 or when low-dose cyclophosphamide was administered before the vaccination; however, the difference was not statistically significant. Median survival of GAR patients was 9.1 months, whereas poor antibody responding patients had a survival of 4.5 months.
Previous results described justified a randomized phase II trial of 80 late-stage (IIIB/IV) NSCLC patients that was recently completed (129). Patients were randomized to either vaccine or standard therapy. Mild, grade 1 and 2 toxic events were associated with the vaccine. The investigators classified patients whose anti-EGF antibody titers were at least 1:4,000 or four times their preimmunization values to have GAR. Of the vaccinated patients, 51.4% of them achieved GAR while no patients achieved GAR in the control group. The vaccine did decrease EGF concentration in 64.3% of vaccinated patients and those who achieved GAR survived significantly longer, with an 11.7-month median survival as opposed to 3.6 months in those with poor antibody response. Overall, there was a slight advantage for vaccinated patients with a 6.47-month median survival versus the 5.33-month median survival for the patients on the control arm. One-year survival was nonsignificantly higher ($P = 0.096$) in vaccinated patients at 67% in comparison with 33% for the controls.
A subsequent study investigated the same EGF-based vaccine in combination with chemotherapy in 20 advanced NSCLC patients (130). No serious side effects related to the combination therapy were observed. Also, median survival and 1-year survival were both encouraging at 9.3 months and 70%, respectively, suggesting support of further testing in combination with chemotherapy.
**Melanoma-Associated Antigen E-3 Vaccine**
MAGE-3 is the most commonly expressed testicular cancer antigen and is expressed in testicular germ cells, but no other normal tissue (131). It is aberrantly expressed in a wide variety of tumors, including NSCLC (131). Several CD8+ T-cell epitopes of MAGE-3 have been identified *in vitro* (132–140), including HLA-A1-restricted epitope 168–176 (141), and HLA-A2-restricted epitope 271–279 (142). Based on these findings, synthetic peptides corresponding to these epitopes have been introduced into clinical vaccination studies in which they were associated with regression of melanoma in individual cases (143). Clinical vaccination studies using full-length recombinant proteins may offer potential advantages in that this antigen includes the full range of epitopes for CD4+ and CD8+ T cells. In addition, it is likely that protein vaccination leads to presentation of epitopes in the context of various HLA alleles, and therefore, this type of vaccine should be applicable to any patient regardless of HLA restriction (144).
Atanackovic et al. (144) used a MAGE-3 protein as a vaccine to induce CD4+ T cells in patients with stage I or II NSCLC. All patients had undergone surgical resection of the primary lung tumor and had no evidence of disease at the onset of the study. Of the nine patients who received the MAGE-3 protein alone, three developed an increase in antibodies against MAGE-3 protein and one had a CD8+ T-cell response. By comparison, of the eight patients who received MAGE-3 antigen combined with the adjuvant ASO2B, seven showed an increase in serum concentrations of anti-MAGE-3 and four had a CD4+ response to HLA-DP4-restricted peptide. Based on these results, further testing in a larger randomized phase II trial was completed and recently reported (145), involving 182 (122 vaccine and 60 placebo) early-stage (IB, II) NSCLC MAGE-A3 positive patients. No significant toxicity issues were identified, and preliminary analysis revealed a 33% disease-free survival improvement in the vaccinated arm compared with the placebo arm. Results trended toward significance in the stage II patients.
Currently, a randomized, double-blind, placebo-controlled phase III trial with a target accrual of over 2,200 stage IB, II, and IIIA NSCLC patients is ongoing. The trial began in June 2007 and explores the vaccine both following adjuvant chemotherapy and without chemotherapy. The primary end-point for the trial is disease-free survival (146).
**Transcriptase Catalytic Subunit Antigen Vaccine**
It is well established that T cells of the human immune system can recognize telomerase (147–155). Although telomerase is also expressed in some normal cells, such as bone marrow stem cells (156) and epithelial cells in gastrointestinal tract crypts (157), it is highly expressed in virtually all cancer cells. GV1001 is a unique peptide corresponding to a sequence derived from the active site of the catalytic subunit of human telomerase reverse transcriptase (hTERT). It contains the 611–626 sequence of hTERT and is capable of binding to molecules encoded by multiple alleles of all three loci of HLA class II (158). HR2822 is a second peptide corresponding to sequences 540–548 of hTERT. Brunsvig et al. (159) initiated a phase I/II trial involving 26 patients with late-stage NSCLC. No clinically significant toxic events related to the treatment were reported. Importantly, no bone marrow or severe gastrointestinal toxicities were observed. Side effects were mild and included flu-like symptoms, chills, and fever.
Eleven patients demonstrated an immune response against GV1001, and only two patients demonstrated a response to HR2822. After receiving booster shots, two patients were converted to immune responders. One patient with stage IIIA NSCLC showed a complete tumor response and developed GV1001-specific CTLs that could be cloned from peripheral blood. The median survival time for all 26 patients was 8.5 months.
**Dexosome Vaccine**
Exosomes are cell-derived lipid vesicles that express high levels of a narrow spectrum of cell proteins (160–162). Vesicles released from DCs (dexosomes) have been demonstrated to play a role in the activation of the immune response (163,164). In vitro, dexosomes have the capacity to present antigen to naive CD8+ cytolytic T cells and CD4+ T cells (161,165). Purified dexosomes were shown to be effective in both suppressing tumor growth and eradicating an established tumor in murine models (160). Morse et al. developed a vaccine using DC–derived exosomes loaded with MAGE tumor antigens (166). The phase I trial enrolled 13 patients with stage IIIB or IV NSCLC demonstrating MAGE-A3 or -A4 expression. Autologous DCs were harvested to produce dexosomes. They were loaded with MAGE-A3, -A4, -A10, and -3DPG4 peptides. Dexosome therapy was administered to nine patients. Patients experienced grade 1 to 2 toxicities, including injection-site reactions, flu-like symptoms, edema, and pain. Three patients exhibited delayed-type hypersensitivity reactions against MAGE peptides. Survival ranged from 52 to 665 days.
**α(1,3)-Galactosyltransferase**
α(1,3)-Galactosyltransferase (agal) epitopes are present on the surface of most nonhuman mammalian cells and
are the primary antigen source responsible for hyperacute xenograft rejection. Expression of agal epitopes after gene transfer (using a retroviral vector) in human A375 melanoma cells prevented tumor formation in nude mice (167).
Preliminary results by Morris et al. (168), using three irradiated lung cancer cell lines genetically altered to express xenotransplantation antigens by retroviral transfer of the murine *agal* gene, were recently described in seven patients with stage IV, recurrent or refractory NSCLC. Toxicity involved grade 1 to 2 pain at the injection site, local skin reaction, fatigue, and hypertension. Four patients had stable disease for >16 months.
**NSCLC Dendritic Cell Vaccines**
DCs are potent antigen-presenting cells. As part of a phase II study, Hirshowitz et al. 169 (17–21) recently generated DC vaccines from CD14+ precursors, which were pulsed with apoptotic bodies of an allogeneic NSCLC cell line that overexpressed Her2/neu, CEA, WT1, MAGE-2, and survivin. A total of 16 patients with stage IA–IIIB NSCLC were vaccinated. There were 10 patients who experienced skin erythema at the injection site and 4 patients experienced minor fatigue. No patients experienced a serious adverse event. Five patients showed a tumor antigen-independent response, and 6 patients showed an antigen-specific response. The study concluded that the vaccine was safe and demonstrated biological activity.
Another phase I trial utilizing peripheral blood mononuclear cells from 15 patients with several different metastatic tumor types (melanoma, lung, renal cell carcinoma, sarcoma, and breast cancer) was also recently described (170). The DCs were stimulated with autologous tumor lysates and infused intravenously every 21 days for four total treatments. Toxicity was mild and included fever on the day of injection as well as asthenia. Seven of the 15 patients experienced stable disease for at least 3 months and 7 progressed while on treatment. The median time to progression was 3 months indicating that this DC approach should be pursued in further clinical testing.
Others have looked at use of postsurgical chemotherapy in combination with immunotherapy utilizing DCs and activated T-killer cells in late-stage lung cancer patients (171). The T-killer cells and DCs were harvested from tumor-draining lymph nodes and supplemented with peripheral blood lymphocytes. Thirty-one patients received four courses of chemotherapy in combination with immunotherapy every 2 months over the course of 2 years. These 31 patients were divided into two groups—those with N2 disease (group A) and those with N0 or N1 (group B). Group A received chemotherapy (caboplatin and paclitaxel) and then underwent surgery. Group B went straight to surgery, and then both groups received a combination of chemotherapy and DC therapy or chemotherapy only. Those eligible for combination therapy received two to four courses and then continued DC therapy every 2 months for 2 more years. Group A was treated with docetaxel while group B received carboplatin and paclitaxel. In both cases, DC therapy was administered 5 to 7 days after chemotherapy. Twenty-eight patients in total received the DC therapy.
There were no significant toxicities other than low-grade fever, chills, fatigue, and nausea on the day of immunotherapy. Two- and 5-year survival of 88.9% and 52.9%, respectively, are encouraging and support an evaluation of efficacy in a phase III trial. There was also a correlation between the number of cells transferred and the rate of patient survival. Patients receiving more than $5 \times 10^{10}$ cells had a 5-year survival rate of 80.8% compared with 38.5% in those who received less.
**Cyclophilin B**
Cyclophilin-B (CypB) is a ubiquitous protein playing an important role in protein folding (172,173), and is expressed in both normal and cancerous cells. CypB-derived peptides are recognized by HLA-A24 restricted cytotoxic lymphocytes (CTL) isolated from lung adenocarcinoma. CypB peptides induce CTLs from leukemic patients, but failed to induce an immune response in cells isolated from patients with epithelial cancer or normal donors. Modification of a single amino acid of the CypB gene increases its immunogenicity and results in CTL activation in both cancer patients and healthy donors (174).
Gohara et al. (175) investigated the immune response in advanced-stage lung cancer patients treated with CypB vaccine. Sixteen HLA-A24 positive patients, 15 with NSCLC and 1 with small cell lung cancer (SCLC), were treated with CypB or modified CypB peptide vaccine following completion of chemotherapy. All patients had stable disease at 5-week follow-up. Following vaccination, IFN-γ production by peripheral blood mononuclear cells isolated from patient sera was elevated in 3 of 12 patients. Overall survival for NSCLC patients receiving CypB or modified CypB vaccine was 67+ and 28+ weeks, respectively. One patient with SCLC was not evaluable for response.
**1E10 Vaccine**
The 1E10 vaccine is a murine anti-idiotypic antibody that was primarily created by the immunization of BALB/c mice containing P3, an idiotypic antibody which recognizes gangliosides containing NeuGc. Such gangliosides are reasonable targets for immunotherapeutic techniques as they have been detected in a number of different tumor types, including lung cancer. In fact, there has been recent data to suggest that NeuGcGM3 is correlated closely with tumor progression (176). It was hypothesized that the 1E10 idiotypic vaccination could produce an idiotypic cascade specific to the NeuGcGM3 antigen.
In a recent study aimed to investigate efficacy of the 1E10 vaccine, 20 advanced-stage NSCLC patients were administered 15 doses of the vaccine over an 18-month period (177). Those patients who received at least five doses of the vaccine were considered immunologically evaluable.
The study investigated via serum analysis whether antibodies against both the 1E10 vaccine itself and against the NeuGcGM3 ganglioside were produced in vaccinated patients. Of the 20 patients, 18 elicited an immune response against the vaccine and 16 produced an immune response against the ganglioside. The 1E10 antibodies, however, showed no success in inducing cell death and it was development of the anti-NeuGcGM2 antibodies that showed a distinct significance in patient survival. The median survival time of all patients on study was 10.6 months, but a dramatic improvement in survival was observed in patients who developed antibodies against NeuGcGM3 (median survival of 14.26 months) compared with those who did not (median survival 6.35 months). There were no significant advanced-grade side effects observed in the study.
Recently, a new vaccine was synthesized which utilizes the fucosyl-GM1 molecule but has been altered to enhance immunogenicity. The investigators have incorporated an MHC-II binding site into the existing carbohydrate which should aid in its activation of T cells. In particular, the chosen sequence has the capacity to bind up to nine variants of the human HLA-DR. Clinical testing will be underway in the near future (183).
**BEC2**
Ganglioside GD3 is a cell surface glycosphingolipid with differential expression limited to cells of neuroectodermal origin and a subset of T lymphocytes (184–186). High levels of expression have been demonstrated in SCLC tumors and cell lines (187). Because GD3 is present at low levels in normal tissues, it is poorly immunogenic. BEC2, an anti-idiotypic IgG2b mouse antibody that is structurally similar to GD3, demonstrated strong immunogenic properties in patients with melanoma (188).
Grant et al. (189) treated 15 SCLC patients, 8 with extensive-stage and 7 with limited-stage disease, with BEC2 vaccination. Thirteen patients were evaluable for response; all developed IgM antibodies to BEC2, and 3 developed IgG antibodies. Duration of antibody production was variable, with at least 1 patient demonstrating measurable antibody production 1 year following treatment. Median survival was 20.5 months from diagnosis, and patients with measurable anti-GD3 antibodies showed the longest relapse-free intervals. When compared with SCLC patients treated with conventional therapy alone, the authors found patients treated with BEC2 vaccine to have longer than expected survival time, though not statistically significant. Significant toxicity was minimized to local skin irritation.
In a randomized, phase III study of BEC3 vaccine in combination with standard chemotherapy, 515 SCLC patients either received standard therapy plus vaccine or were randomized to standard treatment (190). Those randomized to the vaccination arm received five vaccinations of Bec2 (2.5 mg)/BCG cavvine over a 10-week period. The primary side effects were mild including transient skin ulcerations and mild flu-like symptoms.
The results did not show a clinical benefit, however. In fact, it was concluded that there was no improvement in survival, progression-free survival, or quality of life when receiving vaccine. Median survival was 14.3 months in vaccinated patients and 16.4 months in standard treatment patients.
**PolySA**
Polysialic acid (polySA) is found on the surface of Gram-negative bacteria (such as group B meningococcus), embryonic neural crest cells, and some malignancies of
neural crest origin (191, 192). The large size and negative charge of this molecule inhibit binding of cell adhesion molecules, and it is this property that is believed to contribute to its role in neural crest cell migration and early metastasis of malignant cells (193). PolySA has been shown to be expressed abundantly by SCLC tissues (194–197), making it a potentially viable target for SCLC vaccine therapy.
Krug et al. (198) investigated the immunogenicity of polySA vaccination in 11 SCLC patients following conventional therapy. Two forms of polySA were administered to patients. Five patients received vaccination with polySA, and 6 patients received polySA manipulated by N-propionylation (NP-polySA), which has been shown to boost the IgG response in mice (199). One of 5 patients treated with unmodified polySA demonstrated an IgM response. Of the 6 patients vaccinated with NP-polySA, all produced measurable IgM antibody responses. In five of the six cases these antibodies cross-reacted with unmodified polySA. Flow cytometry confirmed the presence of IgM antibodies reactive to SCLC cell lines. Despite the demonstrable production of IgM antibodies to polySA, complement-dependent lysis of polySA-positive tumor cells with human complement could not be demonstrated. The median survival of all patients receiving PolySA treatment was 22 months after the first vaccination. Common adverse effects were minimal and included injection-site reaction and flu-like symptoms lasting 2 to 4 days. Four patients reported sensory neuropathy.
**Wilm’s Tumor Gene**
The Wilm’s tumor gene (WT1) is responsible for Wilm’s tumor, a pediatric renal cancer, and encodes a protein involved in cell proliferation and differentiation, apoptosis, and organ development (200–202). WT1 is overexpressed in several hematologic malignancies as well as various solid tumors, including lung, breast, thyroid, and colorectal cancers (203, 204). WT1-specific cytotoxic lymphocytes (CTL) lyse WT1 expressing tumor cells in vitro without damaging normal tissues that express WT1 physiologically (205, 206).
Oka et al. (207) treated 26 patients, including 10 lung cancer patients (histologic type not specified), with WT1 vaccine following completion of conventional therapy. Three NSCLC patients showed decreased serum levels of tumor markers (CEA or SLX) following vaccination; 1 patient also showed a radiographic decrease in tumor size. One NSCLC patient had stable disease at follow-up; 4 patients developed progressive disease, and 2 were unevaluable. Three patients demonstrated increased activity of WT1-specific CTL activity. A correlation \((P = 0.0397)\) between immunological and clinical response was observed for all study patients.
**CONCLUSION**
In conclusion, several approaches to vaccine therapy in lung cancer demonstrate promise of clinical efficacy. All appear remarkably safe. Limitations include identification of sensitive subset patient populations and surrogate measures of relevant immune reactivity. Vaccines described in this review focus on different elements of immune reactivity (i.e., antigen exposure, dendritic activation, T-cell activation, inhibition of T regulatory cells, inhibition of TGF-β expression). Any one of these approaches has demonstrated evidence of activity in subsets of patients. However, phase III trials are required to determine conclusive relevance to lung cancer therapy. Data appear encouraging particularly in a setting of minimal disease early in the therapeutic course and at earlier stages of disease. It is also enticing to consider combinations of vaccines, particularly those with varied mechanisms of action. Future trials will undoubtedly explore combined vaccine approaches, or products with multiple immune-component modulation.
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6th International Conference on Drug Discovery & Therapy
February 10 - 12, 2014, Dubai, U.A.E.
Abstracts
Dubai Women's College
Dubai, United Arab Emirates
February 10 - 12, 2014
www.icddt.com
Organizers
Eureka Science
Higher Colleges of Technology
It is our pleasure to extend a very warm welcome to the honourable scientists and young researchers participating in the two conferences -- the 6th International Conference on Drug Discovery & Therapy and 3rd Biotechnology World Congress the here in Dubai.
This series of conferences has attracted twenty six Nobel Laureates and many other leading scientists to Dubai. The conferences are serving to nurture collaborations with scientists in the region and to establish linkages between scientists in the developing world with those in the advanced Western countries.
Challenges faced by researchers include diseases associated with ageing populations, the spread of transmissible diseases in an interconnected world and the growing threat of resistance to drugs.
We wish to convey our special thanks to His Excellency Sheikh Hamdan Bin Mubarak Al-Nahayan, Honourable Minister of Higher Education and Scientific Research and His Excellency Mohd. Omran Al Shamsi, Chancellor, Higher Colleges of Technology for their cooperation. We are also most grateful to all the scientists who have travelled from the four corners of the world to the UAE to participate in these scientific symposia.
We hope that you will find your visit to Dubai intellectually stimulating and socially enjoyable.
PROF. FERID MURAD
(Nobel Laureate)
Co-President
PROF. ATTA-UR-RAHMAN, FRS
(UNESCO Science Laureate)
Co-President
## CONTENTS
### PLENARY LECTURES
| Code | Title | Page |
|------|----------------------------------------------------------------------|------|
| PL-109 | CURRENT AND FUTURE DRUG TREATMENT OF OBESITY | 1 |
| | Richard L. Atkinson | |
| PL-110 | NATURAL-PRODUCT BASED DRUG DISCOVERY - CAN WE AFFORD TO IGNORE CHEMICAL DIVERSITY OF NATURE? | 1 |
| | M. Iqbal Choudhary and Atta-ur-Rahman | |
| PL-54 | CELL SIGNALING BY PROTEIN PHOSPHORYLATION | 2 |
| | Edmond H. Fischer | |
| PL-108 | BIOLOGICAL BASIC RESEARCH AND ITS TRANSLATION INTO PRACTICE AND BUSINESS, MY EXPERIENCE | 3 |
| | Robert Huber | |
| PL-3 | TARGETING PAK1 KINASE IN HUMAN CANCER | 4 |
| | Rakesh Kumar | |
| PL-2 | SUPRAMOLECULAR AND ADAPTIVE CHEMISTRY BIORGANIC AND DRUG DISCOVERY ASPECTS – RECENT ADVANCES | 4 |
| | Jean-Marie Lehn | |
| PL-56 | REWRITING NATURAL PRODUCT DRUG DISCOVERY THROUGH SYNTHETIC BIOLOGY | 5 |
| | Bradley S. Moore | |
| PL-1 | APPLICATION OF NITRIC OXIDE RESEARCH TO DRUG DEVELOPMENT AND DISEASE THERAPY | 5 |
| | Ferid Murad | |
| PL-55 | TARGETING SOLUBLE GUANYLATE CYCLASE FOR THE TREATMENT OF CARDIOPULMONARY DISEASE | 6 |
| | Johannes-Peter Stasch | |
### KEYNOTE LECTURES
| Code | Title | Page |
|------|----------------------------------------------------------------------|------|
| KN-8 | TARGETING TAU PROTEIN AGGREGATION IN ALZHEIMER’S DISEASE | 7 |
| | Jeff Kuret | |
| KN-14 | ADVANCES IN DISCOVERY OF NOVEL DRUG TARGETS FOR NEURODEGENERATIVE DISEASES | 7 |
| | Debomoy K. Lahiri | |
| KN-84 | LIPOTEICHOIC ACIDS OF GRAM-POSITIVE BACTERIA - SYNTHESIS AND SOME BIOLOGICAL PROPERTIES | 8 |
| | Richard R. Schmidt | |
| Lecture Number | Title | Page |
|----------------|----------------------------------------------------------------------|------|
| IL-58 | POPULATION-BASED STUDIES OF REAL-LIFE COMPARATIVE EFFECTIVENESS AND SAFETY OF DRUGS: ADVANTAGES OF USING FLEXIBLE CUTTING-EDGE STATISTICAL METHODOLOGY | 9 |
| | Michal Abrahamowicz, William G. Dixon, Marie-Eve Beauchamp, Marie-Pierre Sylvestre, Robyn Tamblyn | |
| IL-85 | VITAMIN D REGULATES HIGH CHOLESTEROL HIGH FRUCTOSE-INDUCED CHANGES IN CORONARY ARTERY DISEASE | 9 |
| | Devendra K. Agrawal | |
| IL-61 | STRUCTURE-BASED DRUG DESIGN OF POTENT BACE1 INHIBITORS: POSSIBLE DRUG LEADS FOR THE TREATMENT OF ALZHEIMER’S DISEASE | 11 |
| | Taleb H. Al-Tel | |
| IL-97 | NANOSTRUCTURED SUPPORT AND MEMBRANES FOR CHIRAL ENZYMATIC AND ORGANIC SYNTHESSES | 11 |
| | Steven S.C. Chuang | |
| IL-80 | THE FUTURE CHALLENGES FACING ANTIMICROBIAL THERAPY: RESISTANCE AND PERSISTENCE | 12 |
| | Rehab Mahmoud Abd El-Baky | |
| IL-114 | SIMULTANEOUS USE OF SEVERAL CHIROPTICAL METHODS IN CONFIDENT STRUCTURE ELUCIDATION OF PHARMACEUTICALLY PROMISING MOLECULES | 12 |
| | Iadwiga Frelek | |
| IL-129 | DIETARY TREATMENT OF TYPE 2 DIABETES | 13 |
| | Mary C. Gannon and Frank Q. Nuttall | |
| IL-112 | CONTRAST FREE MAGNETIC RESONANCE IMAGING (MRI) FOR EARLY DETECTION OF HYPOXIA INDUCED ACUTE KIDNEY INJURY (AKI) | 14 |
| | Faikah Gueder, Song Rong, Rongjun Chen, Xiaokun Liu, Marcel Gutberlet, Martin Meier, Detlef Wacker, Hermann Haller and Katja Hueper | |
| IL-82 | PHYTOCHEMICALS IN COMBINATION WITH TARGETED THERAPY CAN PROVIDE A MEANS TO OVERCOME DRUG RESISTANCE IN OVARIAN CANCER | 14 |
| | Pazlul Huq | |
| IL-4 | DEOXYGENATIVE OLEFINATION REACTION AS THE KEY STEP IN THE SYNTHESSES OF DEOXY CARBOHYDRATES | 15 |
| | Jih-Ru Hwu, Hsu-Yung Chang and Balaji C. Dangeti | |
| IL-140 | TRENDS IN DIAGNOSTIC BIOCHIP DEVELOPMENT | 16 |
| | Ichioshi E. | |
| IL-105 | RIBONUCLEOSIDE CHAIN TERMINATORS: HIV-1 RESERVOIR SPECIFIC ANTI-VIRALS FOR HIV-1 CURE | 16 |
| | Baek Kim | |
| IL-103 | A UNIQUE MODEL FOR TESTING NANO-MODULAR DNA APTAMERS AS THROMBIN INHIBITORS | 16 |
| | Alexey M. Kopylov, E. Zavyalova, A. Revischin and G. Pavlova | |
| IL-79 | STEM CELL THERAPY AS ONE OF TEMPORARY MEASURES FOR MANAGEMENT OF HEART FAILURE AND PULMONARY HYPERTENSION IN CHILDREN | 17 |
| | Aris Lacis, Inguna Lubaina, Andis Lacis and Andrejs Erglis | |
| IL-59 | RELEVANCE OF THERAPEUTIC STRATEGIES TARGETING NMDA RECEPTORS AND APP PATHWAY IN CNS DISORDERS | 17 |
| Title | Authors | Page |
|----------------------------------------------------------------------|-------------------------------------------------------------------------|------|
| INCRETINS IN THE THERAPY OF DIABETES MELLITUS TYPE 2 | Dehomoy K. Lahiri and Balmiki Ray | 18 |
| | Nebojša M. Lalic | |
| APOPTOSIS INDUCTION THROUGH DOWN REGULATION OF BCL-2 AND AKT | Gabriella Marfe, Giovanna Mirone, Stefania Perna and Carla Di Stefano | 19 |
| SIGNALING OF PYRROLO[1,2-b][1,2,5]BENZOTHIAZIDAZEPINES IN MEC1 CELLS | | |
| PERSONALIZED PATHWAY - SPECIFIC STRATEGY FOR SOLID TUMORS | Aung Naing | 19 |
| THE EVOLVING CLINICAL ROLE OF MEDICAL IMAGING | Abdul Jahi Nordin | 20 |
| THE DISCOVERY OF POTENT SMALL MOLECULE GK-GKRP DISRUPTORS FOR | Mark H. Norman, Kate S. Ashton, Kristin L. Andrews, Marion C. Bryan, | 20 |
| THE TREATMENT OF DIABETES | Michael D. Barthberger, Jie Chen, Kui Chen, Michelle Chen, Michael | |
| | Croghan, Samer Chmait, Rod Cupples, Elizabeth Galbreath, Joan | |
| | Helmering, Fang-Tsao Hong, Steven R. Jordan, Roxanne K. Kunz, Robert | |
| | J. M. Kurzeja, Longbin Liu, Klaus Michelsen, Nobuko Nishimura, Lewis | |
| | D. Pennington, Steve F. Poon, Darren Reid, Glenn Sivits, Markian M. | |
| | Stee, Nuria Tamayo, Seifu Tadesse, Gwyneth Van, Steve L. Vonderlecht, | |
| | Robert C. Wahl, Kevin Yang, Jiandong Zhang, David J. Lloyd, Clarence | |
| | Hale, Christopher Fotsch and David J. St. Jean, Jr. | |
| VISUALIZATION OF THE BRAIN STATE USING CALCIUM IMAGING USEFUL FOR | Makoto Osanai | 21 |
| THE DRUG SCREENING | | |
| A FEW ASPECTS OF MOLECULAR PROGRAMMING DEVOTED TO THE SELECTIVE | Sébastien Papot | 21 |
| DELIVERY OF ANTICANCER DRUGS | | |
| THE ANTIPROLIFERATIVE AND CYTOTOXIC ACTIVITIES OF SUBSTITUTED | Kinfe K. Redda, Madhavi Gangapuram, Suresh Eyumni, Elizabeth Mazzio | 22 |
| TETRAHYDROISOQUINOLINES ON MDA-MB-231 CELLS | and Karam F. Soliman | |
| DESIGNER PROTEINS FOR TARGETED BIOMEDICAL FUNCTION | Max Ryadnov | 22 |
| EFFECTS OF CEFTRIAXONE, β-LACTAM ANTIBIOTIC, IN RELAPSE-LIKE ALCOHOL | Youssef Sarj and Hasan Alhaddad | 23 |
| DRINKING BEHAVIOR: A POSSIBLE ROLE FOR xCT AND GLT-I ISOFORMS | | |
| MODULATION OF GLUTAMATE LEVELS IN P RATS | | |
| DNA-APTAMER AS NEW TYPE OF DRUGS | Vera Alekseevna Spiridonova, Mazurov A.V., Dobrovolsky A.B. and | 23 |
| | Tupitsyn N.N. | |
| NOVEL BRAIN-CHIP TECHNOLOGY PROVIDES BREAKTHROUGH FOR HIGH TO MID- | Naweed I. Syed | 24 |
| THROUGHPUT DRUG SCREENING OF NEURONAL AND CARDIAC CELLS | | |
| THERAPEUTIC TARGETING OF INTERLEUKIN-6 RECEPTOR FOR IMMUNE-MEDIATED | Toshio Tanaka | 25 |
| DISEASES | | |
| SERUM BIOMARKER PANELS FOR TARGET THERAPY IN BRAIN TUMORS | Cristiana Tanase, D.I. Popescu, E. Codrici, S. Mihai, A.M. Enciu, | 25 |
| | M.L. Cruceru, A. Popa and R. Albulescu | |
| IL-83 | THE CURRENT RESEARCH AND DEVELOPMENT OF TUJIA ETHNOMEDICINE | 26 |
|-------|----------------------------------------------------------|----|
| | Wei Wang | |
| IL-102 | ADVANCES IN THE TREATMENT OF SCHIZOPHRENIA IN COMPLIANCE WITH THE CLASSICAL NEUROTRANSMITTERS AND NEUROPEPTIDES INVOLVED | 26 |
|--------|------------------------------------------------------------------------------------------------------------------|----|
| | Felix-Martin Werner and Covenas, R. | |
| IL-81 | CONTROL OF INFLAMMATION AND TUMORGENESIS BY CYTOGUARDIN A NOVEL TRYPTOPHAN METABOLITE | 27 |
|--------|--------------------------------------------------------------------------------------|----|
| | Kenneth K. Wu | |
| IL-6 | SYNTHESIS AND FUNCTION OF MULTIDOMAIN OLIGOMERS CONTAINING HELICENE | 27 |
|--------|----------------------------------------------------------------------|----|
| | Masahiko Yamaguchi | |
| IL-90 | PREPARATION OF THE ELECTROSPUN PCL BASED ANTI-INFECTION DRUG-LOADED GUIDED TISSUE REGENERATION MEMBRANES AND COMPARISON OF THEIR STRUCTURE AND PERFORMANCE | 28 |
|--------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|----|
| | Liqun Zhang, Jiajia Xue, Rui Shi and Dafu Chen | |
| Session Lectures | Title | Page |
|------------------|----------------------------------------------------------------------|------|
| SL-86 | ANTIMICROBIAL ACTIVITY OF ESSENTIAL OILS ALONE AND IN COMBINATION WITH SOME STANDARD ANTIMICROBIALS AGAINST DIFFERENT PATHOGENS ISOLATED FROM SOME INFECTIOUS DISEASES | 29 |
| | Rehab M. Abd El-Baky, Abo Bakr F. Ahmed, Abo Bakr M. Mahmoud, Gamal F. Mahmoud Gad | |
| SL-37 | CATHETER-RELATED BLOODSTREAM INFECTIONS: UPDATE ON MANAGEMENT AND PREVENTION | 29 |
| | Nabil Abouchala | |
| SL-122 | HOPE AND INNOVATIVE CANCER DIAGNOSTICS BY RAMAN SPECTROSCOPY AND RAMAN IMAGING | 30 |
| | Halina Abramczyk | |
| SL-78 | NOVEL 1-[4-(AMINOSULFONYL)PHENYL]-1H-1,2,4-TRIAZOLE DERIVATIVES WITH REMARKABLE SELECTIVE COX-2 INHIBITION: DESIGN, SYNTHESIS, MOLECULAR DOCKING, ANTI-INFLAMMATORY AND ULCEROGENICITY STUDIES | 31 |
| | Gamal El-Din A.A. Abuo-Rahma, Mohamed Abdel-Aziz, Nahla A. Hassan and Tamer S. Kaoud | |
| SL-67 | NITRIC OXIDE DONOR HYBRIDS: RECENT APPROACH IN DRUG DEVELOPMENT | 32 |
| | Gamal El-Din A.A. Abuo-Rahma | |
| SL-120 | COLON CONTROLLED RELEASE DRUG DELIVERY SYSTEMS OF INDOMETHACIN USING HYDROPHILIC CARRIERS | 32 |
| | Kadria A. Elkhoodairy, Samar A. Afifi and Mahmoud El-Badry | |
| SL-99 | NOVEL TARGETS IN THE IMMUNOMODULATION OF INFLAMMATORY DISEASES | 33 |
| | Devendra K. Agrawal | |
| SL-104 | ANTIMICROBIAL ACTIVITY OF TWO WOOD DECAYING FUNGI | 34 |
| | Christian Ayere, Theresa Appiah, Vivian Etsiapa Boamah and Francis Adu | |
| SL-52 | PREFERENTIAL KILLING OF CANCER CELLS USING NANOPARTICLES | 34 |
| | Maqsood Ahamed | |
| SL-43 | UPDATE ON HEPATOCELLULAR CANCER | 35 |
| | Furqaan Ahmed | |
| SL-94 | SCREENING FOR NATURAL ANTI-HYPERTENSIVE DRUGS IN *S. DISTICHUM* | 35 |
| | R. Albulescu, C. Tanase, A. Motala, S. Shaker, I. Hassan, S. El-Bahrawy, M. Neagu, A. Grigore, G. Neagu, V. Vulturescu, G. Vassapollo, R. Bauer | |
| SL-21 | (1Z)-2-(HYDROXYMETHYL)DODEC-1-ENE-1,3-DIOL ISOLATED FROM INTEGUMENT OF THE RED PALM WEEVIL RHYNHOPHORUS FERRUGINEUS FOR TREATMENT OF CALCIUM-INDUCED DYSRRHYTHMIA | 36 |
| | Mona Mohammed Al Dawasary | |
| SL-116 | THYMOQUINONE PROTECTS CULTURED HIPPOCAMPAL AND HUMAN INDUCED PLURIPOTENT STEM CELLS-DERIVED NEURONS AGAINST α-SYNUCLEIN-INDUCED SYNAPSE DAMAGE | 36 |
| | Amani. H. Alhebshi and Ikuro Suzuki | |
| SL-53 | OPIOID ANTAGONIST NALOXONE NASAL SPRAY TREATMENT FOR PATIENTS WITH BINGE EATING DISORDER (BED): CONTROLLED RANDOMIZED STUDY | 37 |
| | Hannu Alho | |
| SL-30 | EFFECT OF THE RESIN OF *DRACAENA CINNABARI* ON THE HEALING OF | 37 |
| | | |
FULL-THICKNESS SKIN WOUNDS IN MICE
Hafidh I. Al-Sadi, Baidaa A. Al-Barwary, Batool H.T. Al-Barwary
**SL-133** ENSURING PARTICIPANTS SAFETY AND ENHANCING THE CLINICAL TRIAL EFFICIENCY
Nabil Al-Tawil
**SL-118** *IN VITRO* AND *IN VIVO* VALIDATION OF NANOPARTICLE-BASED DRUG DELIVERY SYSTEMS TO IMPROVE THE CHEMOSENSITIZING EFFICACY OF CURCUMIN IN PACLITAXEL CHEMOTHERAPY
Ruby John Anto, Arun Kumar T. Thulasidasan, G.S. Vinod Kumar, K. Lekha Nair and G. Deepa
**SL-128** MODULATING METABOLIC HOMEOSTASIS IN CANCER CELLS
Ramy Raufat Attia, Jaeki Min and Rodney K. Guy
**SL-22** GABA\textsubscript{B} AGONISTIC ACTIVITY OF CERTAIN NOVEL AMINO ACIDS STRUCTURALLY RELATED TO BACLOFEN
Mohamed I. Attia, Claus Herdeis and Hans Bräuner-Osborne
**SL-46** USE OF ADENOSINE IN DENTISTRY: A NEW INTERESTING TREATMENT
Paul Brunamonti Binello
**SL-96** SULFONATED ALUMINUM PHTHALOCYANINE AS AN EFFECTIVE DRUG FOR TWO-PHOTON PHOTODYNAMIC CANCER THERAPY
Ji-Yao Chen and Jing Wang
**SL-13** *IN VIVO* DISTRIBUTION OF \textsuperscript{131}I AND \textsuperscript{125}I DUAL-LABELED GELATIN MICROSPHERES AFTER IMPLANTATION INTO RABBIT LIVER
Xiao-Li Chen
**SL-139** EFFECTS OF CHRONIC (TRAINING) EXERCISE AND ADMINISTRATION OF QUERCETIN ON ENDOTHELIAL DYSFUNCTION IN ANIMALS WITH STREPTOZOTOZIN-INDUCED DIABETES
Irina Camelia Chiș, Doina Baltaru, Monica Maier and Adriana Mureșan
**SL-62** LOCK THERAPY WITH ETHANOL AND MICAFUNGIN TO SAVE CENTRAL VENOUS CATHETER IN VERY SICK NEWBORNS WITH INVASIVE FUNGAL INFECTION
A. Dotta, C. Auriti, I. Bersani, M. Corsello, F. Piersigilli, I. Savarese, MP Ronchetti, B. Goffredo and T. Corsetti
**SL-32** DEVELOPMENT OF NOVEL ANALGESIC AGENTS TARGETING PDZ DOMAINS INVOLVED IN NEUROPATHIC PAIN
Sylvie Ducki
**SL-130** ANALGESIA PARTNERSHIP, A UNIQUE PUBLIC-PRIVATE INITIATIVE DEDICATED TO PAIN INNOVATION
Sylvie Ducki
**SL-49** RADIATION EFFECTS ON EYE COMPONENTS
Helmut Durchschlag
**SL-123** THE EFFECT OF 5-FLUOROURACIL ON THE LONG TERM SURVIVAL AND PROLIFERATION OF CELLS IN THE RAT HIPPOCAMPUS
Maha El-Beltagy, Sarah Mustafa, Jarirya Umka, Laura Lyons, Ahmed Salman, Katherine Dormon, Charlotte Alcock, Geoffrey Bennett and Peter Wigmore
**SL-33** PROTECTION AGAINST LPS-INDUCED INFLAMMATION AND OXIDATIVE STRESS BY L-ARGININE IN EXPERIMENTAL ANIMALS
Basiony El-Gamal, Abdullah Assiri, Mohamed Mustaf, Muhammad El-Saadani, Doaa Ghareeb, Elsayed Hafez
| SL-23 | LIPID PATTERN IN SERUM OF PATIENTS WITH TYPE 2 DIABETES MELLITUS |
|-------|---------------------------------------------------------------|
| | Ashour S. Eljamali, Khaled Ammar Elnakaa, Salma Elmaradi and Abdulnabi A. Abushita |
| SL-34 | BIOACTIVE NATURAL PRODUCTS OF PLANT ORIGIN IN DRUG DISCOVERY |
|-------|-------------------------------------------------------------|
| | Hesham R. El-Seedi |
| SL-17 | NOVEL ORAL VACCINE FOR TYPE 1 DIABETES BASED ON LIVE ATTENUATED SALMONELLA |
|-------|--------------------------------------------------------------------------|
| | Mohamed I. Husseiny Elsayed, Jeffrey Rawson, Fouad Kandeel and Kevin Ferreri |
| SL-5 | A NOVEL OPPORTUNITY FOR DIABETES MELLITUS: TREATMENT BY POLYCLONAL ANTIBODIES IN RELEASE ACTIVE FORM |
|-------|-----------------------------------------------------------------------------------------------------|
| | Evgeniy A. Gorbunov, Irina A. Ertuzun, Julia L. Dugina and Sergey A. Tarasov |
| SL-119 | DISTINGUISHING BETWEEN POLYMORPHIC FORMS OF CHIRAL ACTIVE PHARMACEUTICAL INGREDIENTS BY SOLID-STATE CIRCULAR DICHROISM |
|--------|------------------------------------------------------------------------------------------------------------------|
| | Marcin Górecki, Wojciech Szczepek, Jadwiga Frelek |
| SL-27 | PROTEINKINASE C ALPHA CONTRIBUTES TO IMPAIRMENT OF RENAL BLOOD FLOW AND INFLAMMATION IN HYPOXIA INDUCED RENAL ISCHEMIA REPERFUSION INJURY (IRI) |
|--------|-------------------------------------------------------------------------------------------------------------------------------------|
| | Daniel Walacades, Nele Rüskamp, Song Rong, Katja Hueper, Michael Mengel, Martin Meier, Hermann Haller, Mario Schiffer, Faikah Gueler |
| SL-138 | FUTURE OF CLINICAL TRIALS AND REGULATIONS IN ALGERIA |
|--------|------------------------------------------------------|
| | Celia K. Habita |
| SL-19 | MALIGNANCIES IN PRIMARY IMMUNODEFICIENCY DISORDERS |
|--------|----------------------------------------------------|
| | Joud Hajjar |
| SL-24 | NATURAL PRODUCTS FOR JOINT HEALTH: ANCIENT ROOTS TO MODERN MEDICINE |
|--------|----------------------------------------------------------------------|
| | Tariq M. Haqqi |
| SL-115 | IN VITRO AND IN VIVO EVALUATION OF A SELF-MICROEMULSIFYING DRUG DELIVERY SYSTEM (SMEDDS) FOR PEPTIDE DRUGS |
|--------|----------------------------------------------------------------------------------------------------------|
| | Sabine Hauptstein, Fabian Hintzen, and Andreas Bernkop-Schnürch |
| SL-57 | THE ESTABLISHMENT OF MATHEMATICAL MODEL AND PARAMETER DETERMINATION OF NETWORK PHARMACODYNAMICS FOR CHINESE MATERIA MEDICA FORMULA |
|--------|-------------------------------------------------------------------------------------------------------------------------------|
| | Fu-Yuan He, Kai-Wen Deng, Weng-Long Liu, Ji-Lian Shi and Yan-Tao Yang |
| SL-65 | REMOTE ISCHEMIC CONDITIONING: WILL IT TRANSLATE INTO A PROMISING TREATMENT FOR ACUTE STROKE |
|--------|-----------------------------------------------------------------------------------------------|
| | Nasrul Hoda, David C. Hess and Susan C. Fagan |
| SL-41 | OCULAR OFLOXACIN MICROSPHERES LOADED IN SITU GELLING SYSTEMS: PREPARATION, CHARACTERIZATION AND IN VIVO EVALUATION |
|--------|-------------------------------------------------------------------------------------------------------------------|
| | Amal Hussein, Khaled Khaled, Osama Ali and El Shaimea Shehata |
| SL-107 | BIODEGRADABLE POLYMER MICRO / NANOPARTICLES AS CARRIER FOR PULMONARY DELIVERY OF DRUGS |
|--------|--------------------------------------------------------------------------------------------|
| | Nazrul Islam, Rinku A. Tuli, Tim R. Dargaville and Graeme A. George |
| SL-121 | NEUROTOXIN 1-METHYL-4-PHENYL-1,2,3,6-TETRAHYDROPYRIDINE (MPTP)-INDUCED MICE MODEL FOR PARKINSON’S DISEASE |
|--------|----------------------------------------------------------------------------------------------------------------|
| | Jiro Kasahara |
| SL-16 | TETRACYCLIC HETEROAROMATIC SYSTEMS-SYNTHESIS OF ETHOXYCARBONYL-PHENYL-PYRIDO[3',2':5,6]THIOPYRANOQUINOLINES |
|--------|----------------------------------------------------------------------------------------------------------------|
| | |
| SL-31 | ECONOMIC BURDEN OF CANCER PATIENTS IN MOLECULAR TARGET THERAPY | 55 |
|-------|---------------------------------------------------------------|----|
| | Muhammad Naeem Khan, Mishbahul Ain Khan, Lubna Tahir, Muhammad Khalid Saeed and Salma Rahman | |
| SL-136 | PREVENTING THE DEVELOPMENT OF EPILEPSY BY INHIBITING NKCC1 TRANSPORTER | 55 |
| | Ryuta Koyama | |
| SL-35 | A NOVEL COLLOIDAL SYSTEM BASED GEL FOR EFFECTIVE DELIVERY OF KETOROLAC TROMETHAMINE | 56 |
| | Gannu Praveen Kumar and Thillapelli Anusha | |
| SL-134 | DIABETES TREATMENT DURING RAMADAN FASTING: CAN WE GET IT RIGHT? | 56 |
| | Nader Lessan | |
| SL-95 | KAEMPFEROL FROM DRYNARIA FORTUNEI PROMOTES THE PROLIFERATION OF KIDNEY TUBULAR-CELL AND THE SECRETION OF BGF | 57 |
| | Shun-Xiang Li and Mian Long | |
| SL-69 | RESEARCH ON MECHANISMS AND PRINCIPLES OF WARM-UNBLOCK AND WARM-TONIC EFFECTS ON MOXIBUSTION | 57 |
| | Mi Liu, Xiao-Rong Chang , Jie Yan, Shou-Xiang Yi, Zeng-Hui Yue and Huan-Gan Wu | |
| SL-75 | THE CENTRAL MECHANISM OF PUNCTURING AT ACUPOINTS ALONG SHAOYANG MERIDIANS FOR MIGRAINEURS: AN FMRI STUDY | 57 |
| | Mai-Lan Liu, Fan-Rong Liang, Xiao-Rong Chang and Fang Zeng | |
| SL-127 | STUDY ON PHARMACOLOGICAL FUNCTION PROPERTIES, FORMULA PRINCIPLES, CORE BIOACTIVE COMPONENTS, EFFICACY TARGETS AND MECHANISMS OF A TRADITIONAL CHINESE HERBAL FORMULA FOR CARDIOVASCULAR DISEASES COMPOUND XUESHUANTONG CAPSULE (CXC) | 58 |
| | Hong Liu, Jin-Xu Wang, Shu-Jing Sheng, Pei-Bo Li, Wei Peng, Yong-Gang Wang, Cheng-Shi Xie, Chao-Feng Long, Wei-Wei Su | |
| SL-34 | THE PHOSPHOLIPID ENZYME CTP:PHOSPHOETHANOLAMINE CYTIDYLTRANSFERASE (Pcyt2) IS A NEW TARGET FOR OXIDATIVE STRESS THERAPY AND ISCHEMIA | 59 |
| | Bakovic Marica, Lin Zhu, Vishal M. Gohil and Vamsi K. Mootha | |
| SL-66 | NEUROCARDIOVASCULAR DISEASES-NOVEL THERAPEUTICAL ASPECTS OF THE OLD ISSUES | 59 |
| | Tijana Bojić Milinović | |
| SL-92 | ON THE ROLE OF GENOMIC ISLANDS IN BACTERIAL PATHOGENICITY AND ANTIMICROBIAL RESISTANCE | 59 |
| | Doaa Safwat Mohammad | |
| SL-131 | IN VIVO AUTOMATED INTRACELLULAR RECORDING FROM MULTIPLE NEURONS | 60 |
| | Masanori Murayama | |
| SL-72 | OLD PROBLEMS, NEW SOLUTIONS: VARIABILITY AND NONLINEARITY IN BIOPHARMACEUTICAL PROCESSES AND MATHEMATICAL MODEL-BASED PROBLEM SOLVING | 60 |
| | Fahima Nekka | |
| SL-74 | HIDDEN ANTIBIOTICS IN ALLIUM HIRTIFOLIUM | 61 |
| | Vasanthakumari Neela | |
| SL-126 | RHOA/RHO KINASE PATHWAY IS NEW TARGET FOR TREATMENT OF | 61 |
| | |
VIVO
Sara Maria Robledo, Edwin Andres Montoya, Adriana Maria Restrepo, David L Cedeño,
Diana Lorena Muñoz, Ivan Dario Velez, Luis Fernando Echeverri
SL-68 EXPERIMENTAL CUTANEOUS LEISHMANIASIS IN HAMSTERS INFECTED IN THE 69
DORSAL SKIN: AN USEFUL MODEL FOR IN VIVO SCREENING OF ANTILEISHMANIAL DRUGS
Sara Maria Robledo, Adriana M Restrepo, Alejandro Daza, Lina Maria Carrillo, Diana L.
Muñoz, Javier D. Murillo and Ivan Dario Velez
SL-92 SIGNALING OF INNATE-IMMUNE RECEPTOR DICTIN-1 AND ITS MOLECULAR 70
MODELING AND DOCKING WITH PKCα: A NOVEL GATEWAY IN DRUG
DISCOVERY TO CONTROL INFLAMMATORY AND IMMUNE DISEASES
Talat Roomi, Yasmeen Rashid, Deena H. Elsori, Valentin Yakubunko, Ashish
Bhattacharjee and Martha K. Calhcart
SL-137 PREVENTIVE ROLE OF GREEN TEA CATECHINS AGAINST OBESITY AND 70
RELATED DISORDERS ESPECIALLY HYPERCHOLESTROLEMIA AND
HYPERGLYCEMIA
Farhan Saeed, Rabia Shabir Ahmed, Muhammad Umair Arshad, Azmat Ullah
SL-87 THE IMMUNOMODULATORY EFFECT OF COMBRETUM HEREROENSE AND 71
CANTHIUM MUNDIANUM ON INTERLEUKIN 6 PRODUCTION AND EXPRESSION
Amidou Samie, Davhana N.C. and Bessong P.O.
SL-76 ANTIBACTERIAL, WOUND HEALING ACTIVITY AND MECHANISMS OF ACTION 71
OF PROTEIN FROM THE EASTERN DIAMONDBACK RATTLE SNAKE
Ramar Perumal Samy, Gautam Sethi, P. Gopalakrishnakone, Vincent T.K. Chow
SL-71 DESIGN AND CHARACTERIZATION OF DIOSMIN-CYCLODEXTRIN COMPLEX AS 72
A NOVEL TRANSDERMAL GEL
Hatem Sarhan, Amal Hussein and Amal Abu El-Enin
SL-15 PROTECTIVE EFFECT OF CAESALPINIA BONDUCELLA (LINN.) SEED KERNEL 72
EXTRACT IN STZ-INDUCED DYSLIPIDAEMIA AND β-CELL DAMAGE IN RATS
Manju Sharma, Mohammad Ahmad, K.K. Pillai, Deeba S. Jaurajpuri, Vidhu Aeri and
Zeeba S. Jaurajpuri
SL-11 ANTHRAQUINONE DERIVATIVES FROM THE FUNGUS ALTERNARIA SP. (XZSBG- 73
1) ISOLATED FROM SALT LAKE SEDIMENTS AS A BIOLOGICAL EQUIVALENT OF
THE MARINE ENVIRONMENT
Qiong Shen, Bin Chen and Yong-Cheng Lin
SL-38 TREATMENT AND SOCIAL IMPACT OF CEPHALIC HYPERSENSITIVITY 73
SYNDROME RELATING TO MIGRAINE
Toshihiko Shimizu, Koichi Hirata, Shinya Manaka and Ichiro Arakawa
SL-77 FLUOROQUINOLONES: THE ANTI HCV DRUGS OF THE FUTURE? 74
Summer Siddiqui, Muhammad F. Anwar, Sadaf Naeem, Shamshad Zarina and Syed H.
Ali
SL-135 ANTIGEN-SPECIFIC THERAPY OF MULTIPLE SCLEROSIS VIA MYELIN 74
IMMUNODOMINANT EPITOPE
Beka Solomon
SL-106 NOVEL IN SILICO-DESIGNED SPINDLE DISRUPTORS EXHIBIT ANTI-CANCER 75
PROPERTIES IN VITRO AND IN VIVO
A.E. Theron, L. Lafanchère, R. Prudent, J. Viallet and A.M. Joubert
SL-18 PROTECTIVE EFFECT OF ACAI BERRY EXTRACT ON GLYCEROL INDUCED 75
ACUTE RENAL FAILURE IN RATS
Amina Unis, Marwa abdel Haq and Maha Elbeltagy
ANFOLEISH (3% AMPHOTERICIN B CREAM), A NEW TOPICAL TREATMENT IN DEVELOPMENT FOR CUTANEOUS LEISHMANIASIS: REPORT OF CASES
Ivan Velez, Jimenez, A., Lopez, L., Robledo, S.M.
HEME CATABOLIC PATHWAY AS A POTENTIAL THERAPEUTIC TARGET FOR CARDIOVASCULAR DISEASES
Libor Vittek
CHARACTERISTICS OF TRADITIONAL CHINESE MEDICINE (TCM) IN THE PREVENTION AND TREATING OF HIV/AIDS INFECTION
Jun-Wen Wang, Cai-Hua Li and Lou Fang
NOVEL PLATINUM COMPOSITES WITH THERANOSTIC POTENTIAL FOR CANCER TREATMENT
Xiaoyong Wang
USING RADIATION AS SYSTEMIC THERAPY
James W. Welsh
STUDIES ON PREPARATION AND EVALUATION OF ALUM-BORNEOL NANOEMULSION
Xinhua Xia, Lifang Liu and Ping Yang
A NOVEL STRATEGY FOR SCREENING BIOACTIVE EQUIVALENT COMBINATORIAL COMPONENTS FROM CARDIOTONIC PILL
Hua Yang, Peng Liu, Fang Long, Lian-Wen Qi and Ping Li
SYNTHESIS, CHARACTERIZATION AND CYTOCOMPATIBILITY OF POLY (DIOL-CO-TRICARBALLYLATE) BIODEGRADABLE MATRICES FOR USE IN TISSUE ENGINEERING AND OTHER BIOMEDICAL APPLICATIONS
Youmna Hassouna, Somayeh Zamani, Wael Kafienah, Husam M. Younes
SYNERGISTIC EFFECT OF VALPROIC ACID CO-ADMINISTRATION WITH CURCUMIN IN HEPATIC REGENERATION OF CCL4-INDUCED FIBROSIS
A. Zaky, B.M. Saied and A.R. Bassiony
| Poster Title | Page |
|------------------------------------------------------------------------------|------|
| PREPARATION AND CHARACTERIZATION OF 3D ELECTROSPUN BIODEGRADABLE NANOFIBERS FOR WOUND DRESSING AND OTHER TISSUE ENGINEERING APPLICATIONS | 81 |
| Orab Abdallah, Fatemeh Jalali, Somayeh Zamani, Husam Younes | |
| ROLE OF BIOTECHNOLOGY IN DIAGNOSIS OF BRUCELLOSIS | 81 |
| Azza S. Abdelkafe | |
| SELF-NANOEMULSIFYING DRUG-DELIVERY SYSTEM FOR IMPROVED ORAL BIOAVAILABILITY OF ROSUVASTATIN USING NATURAL OIL HAS ANTIHYPERLIPIDEMIC EFFECT | 81 |
| Hadel A. Abo Enin | |
| SYNTHESIS OF NOVEL PYRAZOLONE NUCLEOSIDES AS ANTIMICROBIAL AGENTS | 82 |
| Heba A. Abou-Khousa and Ibrahim M. Abdou | |
| LEUKAPHARESIS-DERIVED MSCs CAN BE INDUCED INTO DOPAMINERGIC NEURONS USING 2 STEPS LIQUID CULTURE WITH ASCORBIC ACID | 83 |
| Zeinab Mohamed Kamal, Meena Mohamed A. Dayem, Nagla Mohamed Salama, Hala Gaber Metwally, Reham Abdel Aelem Afify and Dalia Ibrahim Ismail | |
| GENOTYPING OF BACTERIA ISOLATED FROM POULTRY FARMS IN GHANA USING ERIC-2 PCR | 83 |
| Christian Agyare | |
| ANTIMICROBIAL AND WOUND HEALING PROPERTIES OF MYRIANTHUS ARBOREUS AND ALCHORNEA CORDIFOLIA | 84 |
| Christian Agyare | |
| ENHANCEMENT OF DISSOLUTION PROPERTIES OF TADALAFIL IN ORALLY DISINTEGRATING TABLET FORMULATIONS: PREPARATION AND IN VITRO EVALUATION | 85 |
| A.R. Ahmed, M.S. Sokar, F.A. Ismail and N.A. Boraei | |
| STABILITY OF ACONITINE IN ALCOHOLIC EXTRACTS | 86 |
| Mai Ahmed, Ian S. Blagbrough and Michael G. Rowan | |
| POTENTIAL CANCER CHEMO-PREVENTIVE PROPERTY OF MUCUNA PRURIENS (MP) LEAVES | 86 |
| Oke-Oghene Philomena Akpovese, G.W.J. Olivier, P.K. Charttejee and J. G. Mabley | |
| STUDIES ON COMBINATION OF PHYTOCHEMICALS IN THE HUMAN OVARIAN TUMOUR MODELS | 87 |
| Abir Alamro, Hua F., Yu J.Q., Beale Beale P. and Chan C. | |
| MICROWAVE-ASSISTED SYNTHESIS OF CHALCONES, FLAVANONES AND 2-PYRAZOLINES: THEORETICAL AND EXPERIMENTAL STUDY | 87 |
| Abdullah Saad Al-Bogami | |
| EFFECT OF LITHIUM SALTS ON SELECTED PARAMETERS TO STUDY ITS ANTIPSYCHOTIC ACTIVITY IN ALBINO MICE | 88 |
| Mudhi'a Taissser Al-Gadamsy, Syed Saleem Ahmed and Suheramehemmed Abuwari | |
| CRYPTOSPORIDIUM INFECTION IN HOUSE HOLD DOGS | 88 |
| Seyed Javid Aldavood, Hamid-Reza Haddadzade and Hessamoddin Akbarein | |
| TRANSFER WITH CLASSICAL APPROACH - BASED VALIDATION OF STABILITY INDICATING METHOD FOR ORIGINAL AND GENERIC OF DICLOFENAC SODIUM | 88 |
RELEASE AND ITS IMPURITIES IN ACID STAGE CONDITION
M. Amod Al-Kamarany, M. EL.Karbane, F. Alanazi, H.O. Kadi, Y. Cherrah and A. Bouklouze
**PO-79** DEVELOPMENT OF METHODS FOR THE DETERMINATION OF BISPHENOL A AT TRACE CONCENTRATIONS IN BABY BOTTLES INCLUDING EXPERIMENTAL DESIGN FOR ITS EXTRACTION
M. EL. Karbane, M. Amod Al-Kamarany, M. Azougagh, H. Bouchafra, B. Benaji, H. Ibrahimabdullah and M. Mahli
**PO-58** DETERMINATION OF SELENIUM CONTENT IN SULFATED SELENINOPOLYSACCHARIDE: A NEW CLASS OF CHEMICAL COMPOUND
Mohamed El-Atoug, Omeran N. Fhid, Amal Ammar, Ruwida Kamour, Anisa Elhamili, Fitak B. Suchocki P. and Tariq Almoq
**PO-43** SYNTHESIS, MOLECULAR DOCKING, ANTIBACTERIAL EVALUATION OF VARIOUS QUINOLINESCHIFF BASES: LABELING & BIODISTRIBUTION OF 99MTC-2-(P-HYDROXYBENZYLIDENE)-(QUINOLIN-4-YL) HYDRAZINE
Mohammed A. Khedr, Adnan A. Kadi, Mohammed A. Motaleb, Khalid A. Al-rashood, and Wafaa A. Zaghtary and Reem Ibrahim Al-Wabli
**PO-36** NOVEL SEPTICEMIA BIOMARKER: HDL (HIGH DENSITY LIPOPROTEINS)
Sejad Al-Zaidawi
**PO-83** NOVEL CO-ENCAPSULATED NANO-LIPOSOME SYSTEM-BASED TWO HERBAL DRUGS OF SILIBININ & GLYCYYRHIZIC ACID (NANO-PHYTOSOME) FOR CO-DELIVERY TO LIVER CANCER CELLS
Mohammad Mahdi Ochi Ardebili, Ghasem Amoabediny, Seyed Mahdi Rezaya, Azim Akbarzadeh, Bahman Ebrahimi and Fatemeh Haghiroasadat
**PO-84** TARGETING OF NANOLIPOSOMES FOR DRUG & GENE DELIVERY SYSTEMS TO CANCER CELLS
Mohammad Mahdi Ochi Ardebili and Ghasem Amoabediny
**PO-85** DENDRIMERS FOR NANO MEDICINE APPLICATIONS AND NOVEL DRUG DELIVERY SYSTEMS
Mohammad Mahdi Ochi Ardebili and Ghasem Amoabediny
**PO-10** PHARMACOLOGICAL INVESTIGATIONS ON THE STEM BARK OF *CAREYA ARBOREA* AS A POTENTIAL ANTI-INFLAMMATORY AGENT IN CFA INDUCED CHRONIC INFLAMMATION
Rayhana Begum and Manju Sharma
**PO-131** THE ASSESSMENT OF ANTIOXIDANT ACTIVITIES OF PEPTIDE FRACTIONS OBTAINED FROM FERMENTED BOVINE MILK BY *LACTOBACILLUS SP* ISOLATED FROM KEFIR
K. Belkailoul, A. Chekroun, T. Haertle, Y. Choiset, H. Rabesona, D. Saidi, O. Kheroua
**PO-20** NEW RUSSIAN FIBRINOLYTIC TROMBOVAZIM® IN COMBINED THERAPY OF INTRAOCULAR INFLAMMATION AFTER CATARACT REMOVAL
Natalia Urjevna Belousova
**PO-114** DEVELOPMENT AND VALIDATION OF CLINICALLY PREDICTIVE MODELS FOR ANTI-CANCER DRUG DEVELOPMENT
Bernoulli J., Tuomela J., Fagerlund K.M., Rissanen J.P., Halleen J.M. and Suominen M.I.
**PO-23** STEREOSELECTIVE SYNTHESIS OF β- AND γ-AMINO ETHERS, MORPHOLINES, AND 2-IMINOTHIAZOLIDINES VIA SN2-TYPE RING-OPENING OF N-ACTIVATED AZIRIDINES
Aditya Bhattacharyya and Manas K. Ghorai
| PO-77 | IDENTIFYING PATIENTS IN NEED FOR PROPHYLACTIC RENAL PROTECTIVE TREATMENT AFTER CARDIAC SURGERY | Henrik Bjursten, Alain Dardashi, Falah Al-Rashidi, Björn Brondén and Per Ederoth |
|-------|-------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------|
| PO-13 | CONSTRUCTION OF PACLITAXEL-LOADED STAR-SHAPED CHOLIC ACID-CORE PLGA-TPGS COPOLYMER NANOPARTICLES DELIVERY SYSTEM AND EVALUATION OF ITS ANTICANCER ACTIVITY | Xiao-long Tang, Shu-Yu Cai, Zhen-You Jiang, Wen-yue Li, Rong-bo Zhang, Xiu-yun Zhang, Lin Sun, Li-yi Fang and Xin Zhou |
| PO-28 | WITHAFERIN A: EVALUATION OF ANTILEISHMANIAL AND IMMUNOMODULATORY EFFECTS AND IN-SILICO DOCKING WITH TRYPANOTHIONE REDUCTASE | Sambamurthy Chandrasekaran, Ravi Kumar Gundampati, Medicherla V. Jagannadh, Shyam Sundar and Radheshyam Maurya |
| PO-15 | IDENTIFICATION AND CHARACTERIZATION OF PHYTOTOXIC CONSTITUENTS FROM PILEOSTEGIA VIBURNOIDES VAR. GLABRESCENS | Li Q., Sheng-Huang Chen and Yu J. |
| PO-116 | DIRECT IN VIVO INJECTION OF 131I-GMS AND ITS DISTRIBUTION AND EXCRETION IN RABBIT | Ma Y., Wan Y., Luo D.H., Duan L.G., Li L., Xia C.Q., Chen X.L. |
| PO-117 | EFFECT OF 131I GELATIN MICROSPHERES ON HEPATOCELLULAR CARCINOMA IN NUDE MICE, AND ITS DISTRIBUTION FOLLOWING INTRATUMORAL INJECTION | Xiao-Li Chen |
| PO-90 | DOLIROSIDE A ATTENUATES GOUT ARTHRITIS IN MONOSODIUM URATE CRYSTALS-TREATED RATS | Lvyi Chen, Zhinan Mei, Zhou Lan |
| PO-59 | QUANTITATIVE STRUCTURE RELATIVE VOLATILITY RELATIONSHIP MODEL FOR EXTRACTIVE DISTILLATION OF ETHYL BENZENE/P-XYLENE MIXTURES: APPLICATION TO BINARY AND TERNARY MIXTURES AS EXTRACTIVE AGENTS | Young Hwan Cha, Young-Mook Kang, Sung Bo Hwang, Yukwon Jeon, Gi-Cheon Lee, Kwang-Hwi Cho, Yong-Gun Shul and Kyoung Tai No |
| PO-11 | IRIDOID GLYCOSIDE EXTRACTED FROM FRUCTUS GARDENIAE SUPPRESSES INFLUENZA VIRUS INDUCED PRO-INFLAMMATORY CYTOKINES BY INHIBITING THE ACTIVATION OF MAPKs AND NF KB IN HUMAN A549 CELLS | Yujing Shi, Xiaolan Cui, Hongqiao Tian and Fangzhou Liu |
| PO-69 | A NEW TOOL TO FIGHT ALZHEIMER’S DISEASE - ANACARDIC ACID DERIVATIVES AS POTENTIAL ACETYLCHOLINESTERASE INHIBITORS | Wiliam Ferreira da Cunha, Mônica de Abreu Silva, Nadia Melo Borges, Luiz Antonio Soares Romeiro and João Batista Lopes Martins |
| PO-18 | STUDYING THE EFFECT OF 5-FLOUROURACIL LOADED ON POLYMER NANOPARTICLES AND EXPOSED TO ULTRASONIC WAVES IN IMPROVING THE TUMORICIDAL EFFECT IN HEPATOCELLULAR CARCINOMA IN MICE | Nelly M. Dabbour, Heba S. Ramadan, Moustafa M. Mohamed, Amany I. Youssef and Safia M. Hassan |
| PO-67 | NANOPRECIPITATION AS A SIMPLE TECHNIQUE FOR THE FORMULATION OF AN ORAL ITRACONAZOLE NANOSUSPENSION | Nehal Mohamed Magdy Daebis, Magda A. El-Massik and Ossama Y. Abdallah |
| PO-60 | SCREENING THE LEAF AND ROOT OF SOLANUM DASYPHYLLUM SCHUM & THONINGI FOR FERTILITY EFFECT IN FEMALE WISTER ALBINO RATS | Olagbende – Dada S.O. and Okwori V. A. |
| PO-9 | STEREOSELECTIVE SYNTHESIS OF FUNCTIONALIZED CYCLOHEXANONE DERIVATIVES CONTAINING QUATERNARY CARBON CENTER AND PIPERIDINE DERIVATIVES VIA DOMINÓ MICHAEL/ALDOL AND IMINO-ALDOL-AZAMICHAEL REACTIONS |
| --- | --- |
| Subhomoy Das and Manas K. Ghorai |
| PO-97 | ISOLATION, IDENTIFICATION, MOLECULAR CHARACTERIZATION AND ANTI FUNGAL ACTIVITIES OF BIOACTIVE COMPOUND HEXADECANOIC ACID, METHYL ESTER FROM *ANNONA MURICATA* LINN. (*ANNONACEAE*) PLANT |
| --- | --- |
| M. N. Abubacker and T. Deepalakshmi |
| PO-26 | OBESITY LEVEL RELATED TO RISK FACTORS FOR CVD IN CHILDREN |
| --- | --- |
| Magnus Dencker, Ola Thorsson, Magnus K. Karlsson, Christian Lindén, Per Wollmer and Lars B. Andersen |
| PO-27 | FITNESS LEVEL RELATED TO RISK FACTORS FOR CVD IN CHILDREN |
| --- | --- |
| Magnus Dencker, Ola Thorsson, Magnus K. Karlsson, Christian Lindén, Per Wollmer and Lars B. Andersen |
| PO-87 | OPTIMIZATION OF THE DRUG-LIKE PROFILE OF TREK-1 ACTIVATORS AS NOVEL ANALGESICS |
| --- | --- |
| D. Vivier, K. Bennis, J. Busserolles, F. Lesage, A. Eschaliier, S. Ducki |
| PO-24 | EVALUATION OF THE METHANOLIC EXTRACT OF MISTLETOE (TAPINANTHUS BANGWENSI) LEAVES GROWN ON ORANGE TREES FOR THE PHYTOCHEMICAL PROPERTIES AND ITS PHYSIOLOGICAL EFFECTS ON STREPTOZOTOXIN INDUCED DIABETES MELLITUS IN LABORATORY ANIMALS |
| --- | --- |
| Agboh, M.K., Usanseoje S, and Frederick Osaro Ekhaise |
| PO-119 | INFLUENCE OF CYCLODEXTRINS ON THE PHOTOSTABILITY OF SELECTED DRUG MOLECULES IN SOLUTION AND THE SOLID-STATE |
| --- | --- |
| Hani A. Eldenab, Fakhreldin O. Suliman, Noura Al-Shamsi, Leena Al-Kaabi, Nathir A.F. Al-Rawashdeh |
| PO-44 | NOVEL THYMOQUINONE DERIVATIVES AS TELOMERIC G-QUADRUPLEX STABILIZERS AND ANTICANCER AGENTS |
| --- | --- |
| Alaa A. Salem, Ismail A. El Haty, Ibrahim M. Abdou, Samir Attoub and Abdu Adem |
| PO-120 | ISOLATION, STRUCTURE ELUCIDATION AND SYNTHESIS OF BIOACTIVE PEPTIDES FORM BEE PRODUCTS |
| --- | --- |
| Hesham R. El-Seedi, Aida Abd El-Wahed, Ulf Göransson |
| PO-134 | CONTAMINATION OF THE CLINICAL MICROBIOLOGY LABORATORY IN BENGHAZI - LIBYA |
| --- | --- |
| Maiud El-Amari, M.A. Ghannim, Salah Alagouri, M.El Feituri |
| PO-103 | *IN VIVO* EVALUATION OF OCULAR ANTI-INFLAMMATORY EFFECT OF SPANLASTICS ENTRAPPING TWO PREDNISOLONE SALTS IN COMPARISON TO COMMERCIAL PRODUCTS |
| --- | --- |
| Passent Mohamed Ehab Gaafar, Ragwa M. Farid and Ossama Y. Abdallah |
| PO-66 | SPANLASTICS ENTRAPPING TWO PREDNISOLONE SALTS: DEVELOPMENT, *IN VITRO* CHARACTERIZATION AND *IN VIVO* PERFORMANCE |
| --- | --- |
| Passent Mohamed Ehab Gaafar, Ragwa M. Farid and Ossama Y. Abdallah |
| PO-70 | NEW POTENTIAL AChe INHIBITOR CANDIDATES |
| --- | --- |
| Ricardo Gargano, Alessandra S. Kiamietis, Luiz A. S. Romeiro, Nadia M. Borges, Mônica A. Silva and João B. L. Martins |
| PO-65 | NOVEL MULTIMODAL EVALUATION TECHNOLOGY FOR SYMPTOM CHARACTERIZATION IN GI FUNCTIONAL DISEASES AND PHARMACOLOGICAL |
| PO-93 | THE SYNTHESIS AND EVALUATION OF THE ANTICANCER POTENTIAL OF NEW HYDRAZINO-THIAZOLE DERIVATIVES |
|-------|--------------------------------------------------------------------------------------------------|
| | Adriana Grozav, Valentina Pileczki and Ioana Neagoe |
| PO-106 | SELF MEDICATION WITH OTC PRODUCTS: CAN BE LIFE THREATENING-A SURVEY |
|--------|---------------------------------------------------------------------|
| | Malvika Gursahani, Swati Dhande, Dhanashree Lokegaonkar and Vilasrao Kadam |
| PO-56 | THE USE OF COMPARATIVE INTRAMOLECULAR CONTACT ANALYSIS TO BUILD VALID PHARMACOPHORE MODEL(S) AGAINST SOLUBLE EPOXIDE HYDROLASE TOWARDS DEVELOPMENT OF POTENTIAL ANTI-INFLAMMATORY AGENTS |
|--------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| | Maha Habash, Hanan S. Alamuddin, Ahmed H. Abdelazeem and Mutasem O.Taha |
| PO-46 | POLY (HYDROXYETHYL ACRYLATE -CO- ACRYLIC ACID) SOFT LENSES HYDROGELS FOR HYDROCORTIZONE AND ACETAZOLAMIDE DRUG LOADING AND RELEASE SYSTEMS |
|--------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| | Amel Ouafi, Nabila Haddadine, Naima Bouslah and Ahmed Benaboura |
| PO-14 | METHADONE POISONING IN CHILDREN <6 YEARS WHY?! |
|--------|-----------------------------------------------|
| | Hamedí A. and Ataei A. |
| PO-37 | EFFECT OF POLYPHENOLS EXTRACTED HONEY ON METHICILLIN-RESISTANT STAPHYLOCOCCUS AUREUS |
|--------|----------------------------------------------------------------------------------------|
| | Belkhodja Hamza, Belmimoun Asmaa, Meddah Boumediene and Djeliti Ghaoutia |
| PO-111 | POMEGRANATE EXTRACT BLOCKS IL-1B INDUCED ACTIVATION OF NF-kB IN HUMAN CHONDROCYTES BY DOWN REGULATING THE EXPRESSION OF IKKB AND THE ACTIVATION OF NIK |
|--------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| | Tariq M. Haqqi |
| PO-107 | MAGNETIC NANOPARTICLES FOR CONTROLLED DRUG DELIVERY IN HYPERTHERMIA THERAPY |
|--------|-------------------------------------------------------------------------------|
| | Muhammad Usman Hashmi |
| PO-41 | ASSOCIATION BETWEEN GHRELIN GENE (LEU72MET) POLYMORPHISM AND GHRELIN SERUM LEVEL WITH CORONARY ARTERY DISEASES |
|--------|----------------------------------------------------------------------------------------------------------------|
| | Alireza Ratie, Rezvan Khajavi, Reza Alizadeh-Navaci, Vahid Mokhberi, Kambiz Moradzadeh and Akbar Hedayatizadeh-Omran |
| PO-99 | NATURAL PRODUCTS ISOLATED FROM FATSIA POLYCARPA HAYATA TO TREAT HELICOBACTER PYLORI INFECTION IN MICE |
|--------|------------------------------------------------------------------------------------------------------|
| | Yuan-Man Hsu, Chiu-Hsiang Su and Chang-Hung Chou |
| PO-88 | EFFECTS OF PYRITUM IN CANINE FRACTURE MODEL |
|--------|---------------------------------------------|
| | Jun Koh, Junho Hwang, Dongbin Lee, Kwangseon Oh, Jonghun Kim, Nam Soo Kim |
| PO-16 | EFFECTS OF AMLODIPINE AND PERINDOPRILATE ON THE STRUCTURE AND FUNCTION OF MITOCHONDRIA IN VENTRICULAR CARDIOMYOCYTES DURING ISCHEMIA-REPERFUSION IN THE PIG |
|--------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| | Descotes Jacques, Mamou Zahida and Timour Quadri |
| PO-128 | ENANTIOSELECTIVE SYNTHESIS OF NEW SPIROOXINDOLOPYRROLIDINES USING CHIRAL CATALYST |
|--------|------------------------------------------------------------------------------------|
| | Abdollah Javidan, Mohammad Javad Taghizadeh, Khosrow Jadidi |
| PO-135 | REASONS FOR TOOTH EXTRACTION AND ORAL HEALTH RELATED FACTORS IN REFERRED PATIENTS IN MASHHAD SCHOOL OF DENTISTRY |
|--------|-----------------------------------------------------------------------------------------------------------------|
| | Lida Jarahi, Neda Jarahi |
**PO-89**
BEE VENOM OF THE HONEY BEE (*Apis mellifera*) THERAPY IN EXPERIMENTAL CANINE STIFLE OSTEOARTHRITIS
Dongbin Lee, Junho Hwang, Kwangseon Oh, Jun Koh, Jonghun Kim
**PO-64**
*IN-VITRO* BIOASSAY OF 1, 5 - DIMETHYL CITRATE MONOHYDRATE: A COMPOUND ISOLATED FROM THE FRUIT OF *Mangifera indica* (Anacardiaceae)
Ferhat Khan
**PO-12**
ENHANCING THE SOLUBILITY AND BIOAVAILABILITY OF ANTI-CANCER FLAVONOID NARINGENIN UTILIZING SELF-NANOEMULSIFYING DRUG DELIVERY SYSTEM (SNEDDS)
A.W. Khan, S. Kotta, S.H. Ansari, R.K. Sharma and J. Ali
**PO-115**
ACCELERATION OF LIVER REGENERATION AFTER PARTIAL HEPATECTOMY IN RATS SUPPLEMENTED WITH BETAINE
Young C. Kim, Doo Sung Jun, Young Suk Jung
**PO-7**
CARDIAC MYOSIN SWITCHING AND MIKRORNAS IN HUMAN END-STAGE FAILING HEART
Ján Kyselejčík, Gabriel Dóka, Peter Křenek, Jana Mlynárová, Peter Musil, Michal Hulman, Ján Klimus and Eva Gonsálvesová
**PO-25**
EFFECT OF ASTAXANTHIN ON THE EXPRESSION OF PPARγ: A *IN VITRO* STUDY
Ming-Hoang Lai and Ya-Yen Chen
**PO-100**
IMMUNOSUPPRESSIVE EFFECT OF CARYOPHYLLATA FLOS AND ITS ACTIVE COMPOUND ON DENDRITIC CELL ACTIVATION AND FUNCTION
Ming-Kuem Lin, Chao-Jung Chen, Hui-Chi Huang, Meng-Shiou Lee, Wen-Te Chang and Chi-Chen Lin
**PO-39**
EFFICACY AND SAFETY OF POLYMYXINS FOR THE TREATMENT OF *Acinetobacter baumannii* INFECTION: A META-ANALYSIS
Qianqian Liu, Yulin Feng and Chuanmin Tao
**PO-118**
CHEMICAL CONSTITUENTS FROM *Pleione bulbocodioides*
Xin-Qiao Liu
**PO-42**
INFLUENCE OF BOTH NMDA AND NON-NMDA GLUTAMATE RECEPTORS ON THE CARDIOVASCULAR RESPONSE OF THE L-PROLINE INTO THE PARAVENTRIULAR NUCLEUS OF RATS
Silvana Lopes-Azevedo and Fernando Morgan Aguiar Corrêa
**PO-110**
ASSESSMENT OF KNOWLEDGE, ATTITUDE AND PRACTICE OF COMMUNITY PHARMACIST TOWARDS PHARMACEUTICAL CARE IN KADUNA STATE, NORTH WESTERN NIGERIA
Ma’aji H.U., Khan F., and Ondeku I.
**PO-40**
METHYL PANTOTHENAMIDES ARE POTENT ANTIPLASMODIAL AGENTS RESISTANT TO PANTETHEINASE-MEDIATED DEGRADATION
Cristiano Macauamule, Collins Jana, Leanne Barnard, Marianne de Villiers and Erick Strauss
**PO-35**
THE ANTIBACTERIAL AND ANTIFUNGAL ACTIVITY OF THE ESSENTIAL OIL OF *Lawsonia inermis* HENNA - *IN VITRO*
Mahiaoui H., Goudjil R., Chegham I., Kalla. A. and Yahia M.
**PO-102**
IDENTIFICATION OF TWENTY PHOSPHODIESTERASE-TYPE 5 ENZYME (PDE-5) INHIBITORS USING GAS CHROMATOGRAPH-MASS SPECTROMETRY
Che Nin Man, Razak Lajis, Norjuliana Mohd Noor and Siti Salwa Sabran
**PO-32**
*IN VITRO* SIGNIFICANT REDUCTION IN BIOFILM SYNTHESIS IN *Pseudomonas*
AERUGINOSA POST MICAFUNGIN TREATMENT AT A TERTIARY CARE CENTER
Wael Bazzi, Ahmad Sabra, Lama Zahreddine, Marie Therese Khairallah, Maysa Baroud,
Usamah Hadi and Ghassan M. Matar
PO-49 NON-NUCLEOSIDE INHIBITORS OF NS5B POLYMERASE DERIVED FROM THE 123
NATURALLY OCCURRING AURONES: POTENTIAL AGENTS AGAINST HEPATITIS C VIRUS INFECTION
Marine Peuchmaur, Romain Haudcoeur, Ahcène Boumendjel, Jean-michel Pawlotsky,
Abdelhakim Ahmed-Belkacem, Rozenn Brillet and Amel Meguellati
PO-130 ENDOPHYTES- A TREASURE OF BIOACTIVE COMPOUNDS 123
Hira Mehboob Mirza, Masoom Yasinzai, Safia Ahmed
PO-74 PRECLINICAL EVALUATION OF HOLMIUM-166 LABELED ANTI-VEGF-A (BEVACIZUMAB) 124
Alireza Khorrami Moghadam, Amirreza Jalilian, Bahram Bolouri, Nariman Mosafa,
Ali Bahrami-Samani, Seyed Mohammad Mazidi and Behrouz Alirezapour
PO-73 PREPARATIVE MICROBIOLOGICAL SYNTHESIS OF HIHGHLY DEUTERATED [2H] 124
INOSE BY GRAM-POSITIVE CHEMOHETEROTROPHIC BACTERIUM BACILLUS SUBTILIS B-3157 ON HEAVY WATER (2H2O) MEDIUM
Oleg Victorovich Mosin and Ignat Ignatov
PO-47 FUNCTIONALIZED MESOPOROUS SILICA NANOPARTICLES TARGETED FOR 125
APPLICATION IN NANO-BIOTECHNOLOGY
Sahar Rahmeni, Clarence Charnay, Elmiame Elaloui and Younes Moussaoui
PO-101 DEVELOPMENT OF STABILIZED MUCO ADHESIVE TABLETS FOR BUCCAL 125
DELIVERY OF CURCUMIN
Maha M.A. Nasra, Heba M. Khiri and Ossama Y. Abdallah
PO-4 INVESTIGATION OF COMPOUNDS WITH CYTOTOXIC ACTIVITY IN CARICA PAPAYA LEAVES 126
Thao Nguyen, Marie-Odile Parat, Mark P. Hodson, P. Nicholas Shaw and Amitha K. Hewavitharana
PO-68 NEW ANTIOXIDANTS IN THERAPY OF NEURODEGENERATIVE DISEASES TESTED IN ANIMAL MODELS 126
Dolgaya Yu. F., Medvedeva A.V., Chemikova D.A., Domnina N.S., Savvateeva-Popova E.V. and Ekaterina Aleksandrovna Nikitina
PO-91 POTENTIAL DRUG-DRUG INTERACTIONS IN HIV-INFECTED CHILDREN ON 127
ANTIRETROVIRAL THERAPY IN LAGOS, NIGERIA
Kazeem A. Oshikoya, Ibrahim A. Oreagba, Saheed Lawal, Olufunsho Awodele,
Olayinka O. Ogunleye, Idowu O. Senbanjo, Sunday O. Olayemi, Veronica C. Ezeaka,
Edamisan O. Temiye, Titilope A. Adeyemo, Oluranti Opanuga, Olufunmilayo A. Lesi
and Sulaimon A. Akanmu
PO-127 SOME ARGUMENTS IN FAVOR OF USING INHIBITORS OF FATTY ACID SYNTHESIS AND ANTI NEOPLASTIC AGENTS AS COATINGS FOR STENTS 127
Alexander N. Osipenko, Philipp N. Klishevich
PO-129 POSSIBILITY OF APPLYING MEDICATIONS STIMULATING PEROXISOME PROLIFERATION IN TREATMENT OF MULTIPLE ORGAN DYSFUNCTION SYNDROMES 128
Alexander N. Osipenko
PO-61 ANALGESIC, ANTI-INFLAMMATORY AND HYPOTENSIVE EFFECTS OF SCHINUS MOLLE EXTRACT AND THE ISOLATION OF TWO TRITERPENOIDS 128
Amal Taylor, Ephraim Gwebue, Benedicta Nkeh-Chungag and Opeoluwa Oyedeji
PO-98 PHARMACOLOGICAL STUDIES ON THE ANTI-INFLAMMATORY AND 129
ANTIOXIDANT ACTIVITIES OF THE LEAVES OF AFRICAN PLANT, AFRICAN RED SAPOTE (PACHIRA AQUatica) 129
Amal Taylor, Ephraim Gwebue, Benedicta Nkeh-Chungag and Opeoluwa Oyedeji
IMMUNOMODULATORY ROLE OF PHOSPHODIESTERASE-IV INHIBITOR (ROLIPRAM) IN OVALBUMIN-INDUCED ASTHMA IN RATS
Rishi Pal, S. Singh, R. Nath, R.K. Dixit and K.K. Pant
**PO-76**
FORMULATION AND INVESTIGATION OF NEW VAGINAL DOUBLE LAYER SUPPOSITORIES CONTAINING LACTOBACILLI AND HERBAL EXTRACTS FOR TREATMENT AND PROPHYLAXIS OF VAGINOSIS
M.M. Pashyan and H.G. Hovhannisyan
**PO-121**
EFFECT OF AQUEOUS EXTRACT OF *THYMUS VULGARIS* ON SERUM LIPID PROFILE AND LIVER FUNCTION TESTS IN RATS UNDER NATURAL CONDITION OF HYPERLIPIDEMIA
Pourjafar M., Badiei, K., Zolghadri, Y., Gorooohi, Z., Namvaran Abbas Abad, A., Khonsha, A.
**PO-122**
SERUM LIPID PROFILE IN RATS FED NORMAL AND FAT RICH DIET FOLLOWING ADMINISTRATION OF AQUEOUS EXTRACT OF *PORTULACA OLERACEA*
Pourjafar M., Badiei, K., Zolghadri, Y., Gorooohi, Z., Namvaran Abbas Abad, A., khonsha, A.
**PO-22**
SYNTHESIS AND ANALGESIC ACTIVITY OF SOME N-SUBSTITUTED-PHITHALIMIDE ANALOGS
Omran Naser Rajeb, Shapan ALjali, Esra Alnas, Yousra Haroon, Majda Zitouni and Wafa Sdera
**PO-17**
A SENSITIVE AND RAPID METHODOLOGICAL DEVELOPMENT FOR STERILITY TESTING BY MICROCALORIMETRY COUPLED WITH FULL-ENCLOSED FILTRATION-CULTURE AMPOULE SYSTEM
Yong-Shen Ren, Dan Yan, Ping Zhang, Zhi-Nan Mei and Xiao-He Xiao
**PO-38**
THE EVALUATION OF THE ANTIBACTERIAL AND ANTFUNGAL ACTIVITY OF THE EXTRACTS OF *IN VITRO* LAWSONIA INERMIS
Goudjil Rima, Mahiaoui Houda, Kalla Adel, Chelghem Ikbe and Yahia Mouloud
**PO-113**
LEISHMANICIDAL ACTIVITY CONFIRMED FOR DRUGS SELECTED BY BIOINFORMATIC: A SECOND USE FOR OLD DRUGS
Carol V. Mesa, Gustavo A. Blandon, Rodrigo A. Ochoa, Diego L. Muñoz, Adriana M. Restrepo, Alejandro Daza, Carlos Muskus, Ivan D. Velez and Sara M. Robledo
**PO-92**
NOVEL QUINAZOLINE DERIVATIVES AS CELL-CYCLE INHIBITORS OF BREAST CANCER CELL LINES: DESIGN, SYNTHESIS, AND MOLECULAR MODELLING STUDIES
Awwad A. Radwan Salama, Fares K. Alanazi and A. Al-Dhifyan
**PO-62**
HYPOGLYCEMIC PROPERTY OF GINGER AND GREEN TEA AND THEIR POSSIBLE MECHANISMS IN DIABETES. REVIEW ARTICLE
Khulood Saadoon Salim
**PO-21**
STEREOSELECTIVE SYNTHESIS OF HETEROCYCLES AND CARBOCYCLES USING DIANION CHEMISTRY / DOMINO REACTION
Sauvik Samanta and Manas K. Ghosal
**PO-63**
ADVANCES AND APPLICATIONS FOR POSITRON EMISSION TOMOGRAPHY - MAGNETIC RESONANCE HYBRID IMAGING
Krisztán Szigeti, Dániel Sándor Novák, Noémí Kovács, Ildikó Horváth, Domokos Máté and Mariann Semjeni
**PO-1**
HIGH-THROUGHPUT HOMOGENOUS TIME RESOLVED – FLUORESCENCE RESONANCE ENERGY TRANSFER COMPETITIVE BINDING ASSAY FOR SECRETIN RECEPTOR (CLASS B – GPCR)
Vijayalakshmi Senthil, Jerome Leprince, David Vaudry and Billy K.C. Chow
**PO-55**
COMPUTATIONAL STUDIES OF STRUCTURAL AND ELECTRONIC PROPERTIES
THROUGH DENSITY FUNCTIONAL THEORY (DFT), NATURAL BOND ORBITAL, AND ENERGIES FOR THE 2,15-DIOXA-7,18,19,20,23-PENTAAZAHEPTACYCLO[18.104.22.168.20.01]8,03,7,09,14,024,29|HENTRIACONTA-9,11,13,17(31),18,24,26,28-OCTAEN-3-ONE
Shiva Shahbazi and Shahriar Ghammamy
**PO-52** STUDIES ON THE DEGREE OF ENHANCEMENT OF ACTIVITY OF AMOXYCILLIN BY CLAVULANTE AT VARIOUS RATIOS ON SOME INFECTIOUS BACTERIA
H.B. Sharif, D.W. Taura, Sadisu F.U., Ismaila A. and Binta U.B.
**PO-71** MODELING ACETYLCHOLINESTERASE INHIBITOR MOLECULES DERIVED FROM CARDOL
Geraldo Magela e Silva, Alessandra S. Kiametis, Luiz A.S. Romeiro, Nadia M. Borges, Mônica A. Silva and João B.L. Martins
**PO-75** UMBILICAL CORD BLOOD CELLS (HUCBC) ADMINISTRATION IS EFFECTIVE IN SEVERE SPINAL CORD INJURY IN RATS
Ryabov S.I., Grin A.A., Chehonin V.P., Smirnov V.A., Zvyagintseva M.A., Pavlovich E.R., Prosvirnin A. and Smirnov V.N.
**PO-80** EFFECT OF BISPHENOL A AND PASSIVE AVOIDANCE LEARNING ON DOPAMINE D₁ RECEPTOR DISTRIBUTION IN ANTERIOR STRIATUM OF PREFRONTAL CORTEX OF MALE RAT
Taherianfard M. and Broomand S.
**PO-81** EFFECT OF BISPHENOL A AND PASSIVE AVOIDANCE LEARNING ON SEROTONIN D₂ RECEPTOR DISTRIBUTION IN ANTERIOR CINGULATE CORTEX OF PREFRONTAL CORTEX OF MALE RAT
Taherianfard M. and Broomand S.
**PO-50** EVALUATION OF ANTIFUNGAL SUSCEPTIBILITY PROFILE OF CANDIDA SPECIES ISOLATED FROM FEMALE PATIENTS ATTENDING AMINU KANO TEACHING HOSPITAL (AKTH)
Taura, D.W., Yakubu G., Ismaila A., Sadisu F.U. and Adamu A.S.
**PO-51** RESISTANCE AMONG CANDIDA SPECIES FROM PATIENTS WITH GENITOURINARY TRACT INFECTIONS AT MUHAMMAD ABDULLAHI WASE SPECIALIST HOSPITAL, KANO- NIGERIA.
Taura, D.W., Maji, M.H., Sadisu, F.U., Ismaila and Adamu, A.S.
**PO-95** LIPID PEROXIDATION INHIBITION BY PERIOPERATIVELY USED DRUGS AND MEMBRANE INTERACTION AS ONE OF THEIR POSSIBLE MECHANISMS
Hironori Tsuchiya
**PO-86** HUMAN BIO-MONITORING STUDY - TOXIC ELEMENTS IN BLOOD
Osina O., Vasicko T., Musak L., Valachova J.
**PO-72** GOLD NANOPROBE AS POTENTIAL IMAGING, DIAGNOSTIC AND THERAPEUTIC TOOLS FOR BIOMEDICAL APPLICATIONS
Babak Bakhsinejad, Reza Ashrafi Parchin, Majid Sadeghizadeh and Akbar A. Vaseghi
**PO-112** DEVELOPMENT OF ANFOLEISH (3% AMPHOTERICIN B CREAM), A TOPICAL TREATMENT FOR CUTANEOUS LEISHMANIASIS
Ivan Velez
**PO-2** THE ROLE OF MITOGEN-ACTIVATED PROTEIN KINASES (MAPKS) IN HUMAN PROSTATE CANCER CELL DEATH INDUCED BY [PtCl₂(4,4'-DIALKOXY-2,2'-BIPYRIDINE)] COMPLEXES
Van Vo, Haesook Han, Pradip K. Bhowmik and Bryan L. Spangelo
**PO-19** PRE-CLP CENTRAL IL-1R ANTAGONIST ADMINISTRATION DECREASES HYPOTHALAMIC IL-1 GENE EXPRESSION IN SEPTIC RATS
| PO-53 | IS THERE A PROPHYLACTIC MEDICATION IN ALZHEIMER’S AND PARKINSON’S DISEASES, E.G. COMBINED GABAA AGONISTS AND NMDA ANTAGONISTS? |
|-------|------------------------------------------------------------------------------------------------------------------|
| | Werner, F.-M. and Covenas, R. |
| PO-29 | ELECTROSPUN PCL BASED ANTI-INFECTION DRUG-LOADED GUIDED TISSUE REGENERATION MEMBRANES |
|-------|----------------------------------------------------------------------------------------|
| | Jiajia Xue, Rui Shi, Dafu Chen and Liqun Zhang |
| PO-94 | GADOLINIUM (III) INCORPORATING QUANTUM DOT-SIZED CONIUGATED POLYMER-BASED BIOCOMPATIBLE DOTS AS A DUAL-MODALITY PROBE FOR CANCER DIAGNOSIS |
|-------|-------------------------------------------------------------------------------------------------------------------------------------|
| | Chang-Yong Yang, Kai Li, Chandrasekharan Prashant, Bin Liu, Edward G. Robins |
| PO-96 | SYNTHESIS AND ANTI-HCV ACTIVITY EVALUATION OF ANILINOCOUMARIN DERIVATIVES |
|-------|----------------------------------------------------------------------------|
| | Huang-Kai Peng, Wei-Chun Chen, Jin-Ching Lee, Shiang-Yu Yang, Cherng-Chyi Tzeng, Ying-Ting Lin and Shyh-Chyun Yang |
| PO-82 | METHYLSULFONYLMETHANE SUPPRESSES BREAST CANCER GROWTH THROUGH DOWN-REGULATING STAT3 AND STAT5B PATHWAYS |
|-------|----------------------------------------------------------------------------------------------------------|
| | Eun Joung Lim, Youn Hee Joung, Pramod Darvin, Nipin S.P, Dong Young Kung, Don Nam Kim and Young Mok Yang |
| PO-54 | EFFECT OF JIN’AN TABLET FOR THE TREATMENT OF DYSMENORRHEA IN RATS |
|-------|---------------------------------------------------------------------|
| | Rong Zeng |
| PO-109 | 6-SHOGAOI INHIBITS PANCREATIC TUMORS AND SENSITIZES THEM TO GEMCITABINE TREATMENT BY MODULATING NF-KB SIGNALING |
|--------|----------------------------------------------------------------------------------------------------------------|
| | Ling Zhou, Lianwen Qi, Lifeng Jiang, Ping Zhou, Jiang Ma, Xiaojun Xu and Ping Li |
PLENARY LECTURES
CURRENT AND FUTURE DRUG TREATMENT OF OBESITY
Richard L. Atkinson
Virginia Commonwealth University, Director, Obetech Obesity Research Center, Richmond, VA, USA; E-mail: email@example.com
Obesity is a chronic disease, and like other chronic diseases, will require long term treatment. Single treatments, whether they be lifestyle changes or drugs generally have quite modest effects over the long term. Virtually all other chronic diseases are treated with more than one intervention and clearly obesity will require combination treatment as well. The combination of diet, exercise, and behavior modification (“lifestyle change”) is viewed as “standard treatment”, but has a poor long term success rate. Diet, exercise, and behavior modification combined with obesity drugs is somewhat more positive. The rigid structure of a dietary supplement as a meal replacement helps some people. However, the future of the treatment of obesity likely will reside with drugs and particularly with combinations of obesity drugs. Drugs change the biochemistry of the body and it is clear that obese people have a different biochemistry than do non-obese people. Food intake, energy expenditure, and storage of calories as fat have been so essential to survival of all organisms on Earth that it is not surprising that there are multiple redundant systems to stabilize them. Single drug treatments usually affect only one biochemical pathway or physiologic system. Single drugs currently used for the treatment of obesity all show modest weight loss. The current drugs used singly are adrenergic agonists (eg phentermine); orlistat, a lipase inhibitor; and locaserin, a 5-HT2c serotonin re-uptake inhibitor. Phentermine may produce a 10% or more wt loss, but orlistat and locaserin produce only about a 5% wt loss. Until recently, there have been few combinations of obesity drugs studied or approved. The best known was the combination of phentermine and fenfluramine or dexfenfluramine. Phen-fen produced wt loss of ~16%, the largest wt loss of any obesity treatment except obesity surgery. The removal of fenfluramine and dexfenfluramine from the market relegated obesity treatment to single drugs again since the combinations of orlistat and either sibutramine or phentermine are reported to be ineffective. The combination of phentermine and fluoxetine attempted to reproduce the success of the combination of an adrenergic agent and a serotonergic agent. Phen-flu was not quite as effective as phen-fen, but since both drugs are available on the market, this combination may be used with caution by obese people by physicians willing to run the risk of displeasure of the governmental authorities. Recently the combination of phentermine and topiramate has been approved. Studies show a wt loss of 10%-13% at one year. The combination of bupropion and naltrexone is currently under consideration by the FDA and clinical trials show a weight loss of about 6%-8%. Locaserin is approved only as a single drug, but the combination with phentermine has a similar biochemical profile as phen-fen. It remains to be seen if this combination will give similar results as phen-fen. Potential future agents for obesity may fall into several categories, including CNS active agents, thermogenic agents, and nutrient partitioning agents. A particularly interesting possibility for combination drug therapy are gut hormones or analogues of gut hormones since it appears that the excellent clinical results seen with obesity surgery are due mainly to alterations of gut hormones. Gastric bypass and similar surgical procedures work by altering the biochemistry of the body and not by mechanical mechanisms. It is possible we eventually may be able to reproduce these effects with drugs. In this category, liraglutide, a GLP-1 agonist has been shown to be quite effective for diabetes and is in clinical trials as an obesity drug. Initial reports suggest it alone causes an 8% wt loss. We are in our infancy of understanding obesity, its causes and its treatments. The belated interest of the drug companies and the more favorable attitude of the FDA for obesity drugs predict a bright future.
NATURAL-PRODUCT BASED DRUG DISCOVERY - CAN WE AFFORD TO IGNORE CHEMICAL DIVERSITY OF NATURE?
M. Iqbal Choudhary and Atta-ur-Rahman
International Center for Chemical and Biological Sciences (I.C.E.S), Research Institute of Chemistry and Dr. Panjwani Center for Molecular Medicine and Drug Research, University of Karachi, Karachi-75270, Pakistan; E-mail: firstname.lastname@example.org
Biodiversity is the outward manifestation of chemical diversity. Nature’s treasure house of diverse classes of chemical has been the main source of blockbuster drugs in most of the 20th century. However, use of various non-validated techniques and emphasis on arsenal of synthetic chemists has led to decline productivity and increased cost. Drugs for most of the tropical diseases and prevailing diseases are simply not available with pharmaceutical pipeline nearly dried out. Question is how
long we can afford to ignore nature’s tremendous chemical source as primary source of new pharmacophores. During last two decades we have been focusing on natural products. This has led to the identification of novel lead molecules.
Prolonged hyperglycemia is recognized as the characteristic of diabetes and most important and core cause of diabetes related disorders. It is now recognized that chronic hyperglycemia may trigger long-term damage to different proteins in the body by undergoing non-enzymatic glycation process. There are many factors which increase the worldwide prevalence of diabetes, these includes sedentary lifestyles, obesity, an increase in the aging population, consumption of calorie-rich diets. Diabetes is the third most common killer of mankind, after cancer, cardiovascular and cerebrovascular diseases. According to WHO (World Health Organization) till 2030 about 366 million people will suffer from diabetes.
Glycation is the most common non-enzymatic process, results in the formation of advanced glycation end products (AGEs), which affect all the tissues in the body. Modifications due to glycation accumulate during the life span. Different proteins were reported to undergo glycation when exposed to elevated levels of sugars (e.g. serum albumin, hemoglobin, elastin, crystalline collagen, tubulin, myelin, fibrinogen, immunoglobulin, insulin, and lipoproteins, etc. Glycation is not only implied to be a marker of the development of diabetic complications, but also found to be the main reason of diabetic associated disorders. No enzyme in the body system is capable of hydrolyzing the AGEs or making their formation a reversible process. Hence, the AGEs accumulate in the body with time. This leads to abnormalities, such as diabetic retinopathy, atherosclerosis, diabetic nephropathy, neuropathy, etc. Therefore inhibition of glycation of proteins and formation of AGEs has attracted considerable scientific attention as a novel approach towards delaying the on-set of the AGEs-mediated late diabetic complications. Keeping in view of the therapeutic significance of antiglycation agents, the prime objective of our on-going research is to evaluate the inhibitory potential of different compounds of natural and synthetic origins. Over 3,000 fully characterized chemical constituents (both of natural and synthetic origin), were systematically evaluated for their antiglycation activity. As a result, a number of new and novel antiglycation agents from Parmotrema cooperi J. Steiner & Zahlbr. (lichen), Ziziphus oxyphylla Edgew., Morus mesozygia Stapf., Aloe sinkatana Reynolds, etc. were identified. Along with the natural antiglycation agents, we also identified a number of new and novel classes of synthetic antiglycation agents like anthranilic acid, isatin-3-thiosemicarbazone, bis Schiff bases of isatin, oxindole, chelocardin, flavonoids, thiazolidinedione, aurea, and benzohydrazide Schiff bases. Similarly a large number of compounds was screened for α-glucosidase inhibition, which may be used for the management of type 2 diabetes, as they have the potential to slow down the absorption kinetics of carbohydrates in the small intestine.
Obesity is an emerging challenge and a serious health problem worldwide. It is associated with many chronic diseases, such as diabetes, cardiovascular disorders and certain cancers. Molecular cascade involves in obesity and associated disorders are still not fully understood. Proliferation of adipocytes plays an important role in the on-set and progression of obesity. Understanding the phenomenon of adipogenesis is of major importance as adipocyte dysfunction makes an important contribution to metabolic diseases. Differentiation of preadipocytes to adipocytes not only results in increasing number of adipocytes but also provide a large pool of fat depots in adipose tissues. Thus one strategy to treat obesity is to reduce the adipocyte numbers and fat content through targeting the mature adipocytes by diverse molecular entities.
Among different therapeutic interventions, the discovery of effective antiadipogenic compounds from various sources is considered to be a promising approach. Our recent research is focused on the study of the inhibitory effects of natural and synthetic compounds, such as steroids, flavonoids, terpenes alkaloids and sulfonamides, on the proliferation of adipocytes, as well as to evaluate their effects on to the mature adipocytes and their capacity to initiate lipolysis process. This study has resulted in the identification of several new inhibitors of adipogenesis process.
During this plenary presentation, underlying philosophy and approach of our research on cost-effective discovery of lead molecules at the interface of chemistry and biology will be discussed.
PL-54
CELL SIGNALING BY PROTEIN PHOSPHORYLATION
Edmond H. Fischer
Dept. of Biochemistry, University of Washington, Seattle, Washington, 98195, USA
A rapid overview of the past, present and future of signal transduction by protein phosphorylation will be presented. This process represents one of the most prevalent mechanisms by which eukaryotic cellular events are regulated. It is involved in the control of many physiological processes and pathological conditions including various bacterial and viral diseases. After recalling how this field has originated and evolved in the last sixty years, the talk will focus on cellular regulation by protein tyrosine phosphorylation. This process is directly implicated in cell growth, differentiation
and transformation, bringing into play a diversity of tyro sine kinases of viral or cellular origin or linked to growth factor receptors. The receptors transduce their signal by recruiting a multiplicity of adapter proteins interacting with one another in a tinker-toy sort of way through a wide variety of binding modules (SH2, SH3, WW, PH, PDZ, etc.) thereby initiating a diversity of signaling cascade pathways.
Regulation also involves protein tyrosine phosphatases, an expanding family of transmembrane and intracellular enzymes that catalyze the reverse reaction. Most receptor forms have highly variable external domains that, surprisingly, display all the structural characteristics of cell adhesion molecules, suggesting that they must be involved in – or regulated by – cell-cell interaction, with the very exciting possibility that they might be directly implicated in contact inhibition that plays such a crucial role in carcinogenesis. Protein tyrosine phosphatases cannot be viewed as simply providing the “off” switch in an “on/off” kinase/phosphatase system: depending on their structure and where they localize within the cells, they can act either positively or negatively in eliciting a particular physiological response.
We begin to understand the links that exists between the disruption of protein kinases and phosphatases and the etiology of certain human diseases. Some of the attempts that are being made to develop therapeutic tools to target these enzymes will be presented.
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**PL-108**
**BIOLOGICAL BASIC RESEARCH AND ITS TRANSLATION INTO PRACTICE AND BUSINESS, MY EXPERIENCE**
**Robert Huber**
*Max-Planck-Institut fuer Biochemie, Emeritusgruppe Strukturforschung, D-82152 Martinsried – Germany; E-mail: email@example.com*
As a student in the early nineteen sixties, I had the privilege to attend winter seminars organized by my mentor, W. Hoppe, and by M. Perutz, which took place in a small guesthouse in the Bavarian-Austrian Alps. The entire community of a handful of protein crystallographers assembled in a room which served as living and dining room and as auditorium for the lectures.
Today structural biologists organize large congresses with thousands of attendants and there exist many hundreds of laboratories specialized in this field. It appears to dominate biology and biochemistry very visibly if we count covers in scientific journals displaying macromolecular structures.
Structural biology was successful, because it was recognized that understanding biological phenomena at the molecular and atomic level requires to see those molecules.
Structural biology revealed the structure of genes and their basic mechanism of regulation, the mechanism of enzymes’ function, the structural basis of immune diversity, the mechanisms of energy production in cells by photosynthesis and its conversion into energy-rich chemical compounds and organic material, the mechanism that makes muscle work, the architecture of viruses and multi-enzyme complexes, and many more.
New methods had an essential impact on the development of structural biology. Methods seemed to become available in cadence with the growing complexity of the problems and newly discovered methods brought biological problems within reach for researchers, a co-evolutionary process of the development of methods and answerable problems.
An important additional incentive for structural biology came from its potential application for drug design and development by the use of knowledge of drug receptors at the atomic level. The commercial interest in application spurred this direction of research enormously.
My lecture will start out with the history of protein crystallography and describe the major factors contributing to its development, illustrated with examples contributing to our understanding of the physical and chemical basis behind biological phenomena.
I then will let you share my experience with the foundation and development of two biotech companies with different business models, but both based on basic academic research in structural biology:
Proteros (www.Proteros.com) offers enabling technology services for Pharma- and Crop science companies imbedding all steps of the workflow molecular and structural biology can provide and commands and uses its platform for the generation of leads from identified targets to *in vivo* Proof of Concept (PoC).
Supremol (www.Supremol.com) specializes in the development of novel immunoregulatory therapeutics for the treatment of autoimmune diseases on the basis a recombinant, soluble, non-glycosylated version of the human Fcγ receptor IIIB.
**PL-3**
**TARGETING PAK1 KINASE IN HUMAN CANCER**
*Rakesh Kumar*
*Department of Biochemistry and Molecular Medicine, School of Medicine and Health Sciences, The George Washington University, Washington, DC 20037, USA; E-mail: firstname.lastname@example.org*
The process of cancer progression to more invasive phenotypes is profoundly influenced by dysregulation of pathways that control cytoskeleton remodeling, cell-cycle progression and mitosis, cell survival, transformation, chromatin remodeling, and genomic stability. Further, devastating influence of cancer invasiveness is also fueled by persistent stimulation of pathways that counteract commonly used cancer therapies targeting receptor-tyrosine kinases, mitogenic and/or survival signaling modules. One of the major signaling nodules of extracellular stimuli that plays an important role commending role in the above cancer phenotypes is p21-activated kinase 1 (PAK1), a widely overexpressed nodular molecule in human cancer. Recent studies have implicated PAK1 in the nucleus with new functions. Interestingly, PAK1 hyperstimulation also leads to mitotic abnormalities such as multipolar spindles and activation of Aurora kinase, an important mitotic regulator. In this context, emerging data suggest that a novel physiologic PAK1 substrate, could effectively regulate Aurora kinase activity and function, and in-turn, and participates in defective mitosis. Since mitotic defects leads to the development of aneuploidy and because such cells are likely to be resistant to anti-cancer drugs, these findings suggest that PAK1 and its targets could be effectively co-targeted to achieve a greater anti-cancer activity and possibly to sensitize tumor cells to anti-cancer modalities. Thus, the levels, subcellular localization, and activation status of PAK1 is likely to be an important determinants of tamoxifen resistance, and that raising the possibility that tamoxifen resistance might be prevented or reversed by PAK1 inhibition. The presentation will summarize the most exciting PAK1 data in the area of cancer biology and provide an up-to-date status of PAK1 as a cancer therapeutic target.
**PL-2**
**SUPRAMOLECULAR AND ADAPTIVE CHEMISTRY BIOORGANIC AND DRUG DISCOVERY ASPECTS – RECENT ADVANCES**
*Jean-Marie Lehn*
*ISIS, Université de Strasbourg, France; E-mail: email@example.com*
*Supramolecular chemistry* aims at constructing and implementing highly complex chemical systems from molecular components held together by non-covalent intermolecular forces. It has relied on the development of preorganized molecular receptors for effecting *molecular recognition*, catalysis and transport processes. The implementation of molecular recognition and transport processes in systems of biological significance will be described, in particular in the development of a bioactive molecule, *myo*-Inositol TrisPyroPhosphate (ITPP) displaying remarkable properties of interest in cardiovascular diseases and cancer.
Supramolecular chemistry is intrinsically a *dynamic chemistry* in view of the lability of the interactions connecting the molecular components of a supramolecular entity and the resulting ability of supramolecular species to exchange their molecular constituents. The same holds for molecular chemistry when the molecular entity contains covalent bonds that may form and break reversibility, so as to allow a continuous change in constitution by reorganization and exchange of building blocks. These features define a *Constitutional Dynamic Chemistry* (CDC) on both the molecular and supramolecular levels.
CDC takes advantage of dynamic constitutional diversity to allow variation and selection so as to achieve *adaptation*, opening the path towards *adaptive chemistry*. Its combinatorial features led to the development of a *dynamic combinatorial chemistry*, as a novel approach to drug discovery.
Supramolecular chemistry and CDC have also opened novel perspectives in materials science, in particular towards the development of supramolecular and dynamic materials for biological and medical applications.
References
[1] Lehn, J.-M., Supramolecular Chemistry: Concepts and Perspectives, VCH Weinheim, 1995.
[2] Lehn, J.-M., Dynamic combinatorial chemistry and virtual combinatorial libraries, Chem. Eur. J., 1999, 5, 2455.
[3] Lehn, J.-M., Toward complex matter: Supramolecular chemistry and self-organization, Proc. Natl. Acad. Sci. USA; 2002, 99, 4763.
[4] Lehn, J.-M., From supramolecular chemistry towards constitutional dynamic chemistry and adaptive chemistry, Chem. Soc. Rev., 2007, 36, 151.
[5] Biolo, A. et al., Enhanced exercise capacity in mice with severe heart failure treated with an allosteric effector of haemoglobin, with inositol tripyrophosphate, Proc. Natl. Acad. Sci. USA, 2009, 106, 1926.
[6] Appiahian, M. et al., Myo-Inositol TriPyroPhosphate treatment leads to HIP-1α suppression and eradication of early hepatoma tumors in rats, ChemBioChem, 2011, 12, 777.
[7] Kieda, Cl., et al., Stable tumor vessel normalization with pO2 increase and endothelial PTEN activation by inositol trispyrophosphate brings novel tumor treatment, J. Mol. Med., 2013, 91, 883.
PL-56
REWRITING NATURAL PRODUCT DRUG DISCOVERY THROUGH SYNTHETIC BIOLOGY
Bradley S. Moore
Scripps Institution of Oceanography and Skaggs School of Pharmacy and Pharmaceutical Sciences, USA
Natural product chemicals have historically been discovered based on their structural and biological properties. With the ease and affordability of genome sequencing today, a new era in natural product discovery is unfolding in which genomics and biosynthesis are together fostering new innovations in compound discovery. This orthogonal discovery approach takes advantage of the biosynthetic potential of a genomesequenced organism to design hypothesis-driven experiments to rapidly find new chemical entities that are desperately needed in the drug discovery and development pipeline. Examples from the author’s laboratory will highlight the myriad of available and evolving genome mining approaches to connect orphan biosynthetic genes to new natural product molecules.
PL-1
APPLICATION OF NITRIC OXIDE RESEARCH TO DRUG DEVELOPMENT AND DISEASE THERAPY
Ferid Murad
GWU Medical Center, Biochemistry & Molecular Biology Department, 2300 Eye Street NW, Suite 530, Washington, DC 20037, USA
The role of nitric oxide in cellular signaling in the past three decades has become one of the most rapidly growing areas in biology. Nitric oxide is a gas and a free radical with an unshared electron that can regulate an ever-growing list of biological processes. Nitric oxide is formed from L-arginine by a family of enzymes called nitric oxide synthases. These enzymes have a complex requirement for a number of cofactors and regulators including NADPH, tetrahydrobiopterin, flavins, calmodulin and heme. The enzymes are present in most cells and tissues. In many instances, nitric oxide mediates its biological effects by activating the soluble isoform of guanyl cyclase and increasing cycling GMP synthesis from GTP. Cyclic GMP, in turn, can activate cyclic GMP-dependent protein kinase (PKG) and can cause smooth muscles and blood vessels to relax, decrease platelet aggregation, alter neuron function, etc. These effects can decrease blood pressure, increase blood flow to tissues, alter memory and behavior, decrease blood clotting, etc. The list of effects of nitric oxide that are independent of cyclic GMP formation is also growing at a rapid rate. For example, nitric oxide can interact with transition metals such as iron, thiol groups, other free radicals, oxygen, superoxide anion, unsaturated fatty acids, and other molecules. Some of these reactions result in the oxidation of nitric oxide to nitrite and nitrate to terminate the effect, while other reactions can lead to altered protein structure function and/or catalytic capacity. These effects probably regulate bacterial infections, inflammation of tissues, tumor growth, and other disorders. These diverse effects of nitric oxide that are cyclic GMP dependent or independent can alter and regulate numerous important physiological events in cell regulation and function. Nitric oxide can function as an intracellular messenger, an antacid, a paracrine substance, a neurotransmitter, or as a hormone that can be carried to distant sites for effects. Thus, it is a unique molecule with an
array of signaling functions. However, with any messenger molecule, there can be too little or too much of the substance, resulting in pathological events. Some of the methods to regulate either nitric oxide formation metabolism, or function have been in clinical use for more than a century, as with the use of organic nitrates and nitroglycerin in angina pectoris that was initiated in the 1870s. Inhalation of low concentrations of nitric oxide can be beneficial in premature infants with pulmonary hypertension and increase survival rates. Ongoing clinical trials with nitric oxide synthase inhibitors and nitric oxide scavengers are examining the effects of these agents in septic shock, hypotension with diabetes, inflammatory disorders, cancer therapy, etc. Recognition of additional molecular targets in the areas of nitric oxide and cyclic GMP research will continue to promote drug discovery and development programs. Current and future research will undoubtedly expand the clinician’s therapeutic armamentarium to manage a number of important diseases by perturbing nitric oxide formulation and metabolism. Such progress and expectations have obviously fueled the interests in nitric oxide research for a growing list of potential therapeutic applications. There have been and will continue to be many opportunities from nitric oxide and cyclic GMP march to develop novel and important therapeutic agents. There are presently more than 80,000 publications in the area of nitric oxide research. The lecture will discuss our discovery of the first biological effects of nitric oxide and how the field has evolved since our original reports in 1977. The possible utility of this signaling pathway to facilitate novel drug development and the creation of numerous projects in the pharmaceutical and biotechnology industrials will also be discussed.
References
[1] Ignarro L and Murad F. (eds) Nitric Oxide: Biochemistry, Molecular Biology and Therapeutic Implications. Advances in Pharmacology, 34, 1-516. Academic Press, 1995.
[2] Murad F. Signal transduction using nitric oxide and cyclic guanosine monophosphate. Lasker Award. Journal of the American Medical Association. 276, 1189-1192, 1996.
[3] Murad F. Discovery of some of the biological effects of nitric oxide and its role in cellular signaling. Nobel Lecture. Bioscience Reports 19: 133-154, 1999 and Les Prix Nobel. 1998 (the Nobel Prizes. 1998) pp. 273-307, 1999.
[4] Murad F. Sheldon Lecture: The Discovery of nitric oxide and cyclic GMP in cell signaling and their role in drug development. New Engl J Med 355, 2003-2011, 2006.
PL-55
TARGETING SOLUBLE GUANYLYL CYCLASE FOR THE TREATMENT OF CARDIOPULMONARY DISEASE
Johannes-Peter Stasch
Cardiovascular Research, Bayer Pharma AG, Aprather Weg 18a, D-42096 Wuppertal, Germany; E-mail: firstname.lastname@example.org
The soluble guanylate cyclase (sGC) is a key signal-transduction enzyme in the cardiovascular system and activated by NO. It became apparent that many cardiovascular diseases are associated with a dysfunction of the NO/sGC system. Importantly, two different forms of sGC exist \textit{in vivo}, the native and heme-free GC. sGC activators, such as cinaciguat (BAY 58-2667) are capable of selectively activating the haem-free enzyme via binding to the enzyme's haem pocket. These new compounds selectively target the dysfunctional sGC that is prevalent under disease conditions. Cinaciguat has demonstrated efficacy in patients with acute decompensated heart failure (ADHF), reducing pre- and afterload and increasing cardiac output. sGC stimulators, such as riociguat (BAY 63-2521), show a dual mode of action: they sensitize sGC to the body's own NO while also directly stimulating sGC independently of NO. They may be beneficial in the treatment of a range of cardiovascular and non-cardiovascular disorders. Riociguat had beneficial effects on pulmonary haemodynamics, right heart hypertrophy, and remodeling of the pulmonary vasculature in different experimental models of pulmonary hypertension (PH). In phase III studies riociguat has demonstrated efficacy in patients with pulmonary arterial hypertension (PAH) and, remarkably, also in patients with chronic thromboembolic pulmonary hypertension (CTEPH). Very recently, the Food and Drug Administration (FDA) has approved Adempas® (riociguat) for use in these two forms of pulmonary hypertension: The treatment of adults with persistent/recurrent CTEPH after surgical treatment or inoperable CTEPH to improve exercise capacity and WHO functional class; and the treatment of adults with PAH to improve exercise capacity, improve WHO functional class and delay clinical worsening.
KEYNOTE LECTURES
TARGETING TAU PROTEIN AGGREGATION IN ALZHEIMER’S DISEASE
Jeff Kuret
Department of Molecular and Cellular Biochemistry, The Ohio State University College of Medicine, 1060 Carmack Rd., Columbus, OH 43210, USA
Alzheimer’s Disease (AD) is a progressive neurodegenerative disorder characterized by neurodegeneration in specific brain regions. Pathological hallmarks that accompany and/or precede neuronal death include neurofibrillary lesions, which develop intracellularly and correlate spatially and temporally with disease severity. The principal components of neurofibrillary pathology are filamentous aggregates composed of the microtubule-associated protein tau. Because of its utility as a surrogate marker for neurodegeneration in AD and other “tauopathic” neurofibrillary degenerative diseases, detection of tau aggregates is of practical importance for disease diagnosis and staging. Abnormalities in tau biology may also directly contribute to neurodegeneration, including synapse loss and cell death. If so, then pharmacological modulation of the aggregation pathway could have therapeutic utility. For these reasons, the search for disease-modifying therapies includes approaches for inhibiting and/or clearing tau aggregates.
Here two aspects of neurofibrillary pathology and pharmacology will be discussed. First, a wealth of animal studies point to size as being a major determinant of aggregate toxicity, but the species involved and their mechanism of action have been elusive. Using kinetic modeling methods, I will present evidence that filament ends are highly interactive and positioned to mediate length-dependent aggregate toxicity.
Second, although small-molecule inhibitors of tau aggregation have been reported, the common characteristics of these ligands and their mechanism of action have not been elucidated. Using biochemical and computational approaches, I will present evidence that planar, highly polarizable molecules inhibit tau fibril formation by interacting with partially folded tau intermediates to form soluble oligomers. The results suggest a route for optimizing the inhibitory potency of tau aggregation inhibitors while maintaining favorable pharmacokinetic properties.
ADVANCES IN DISCOVERY OF NOVEL DRUG TARGETS FOR NEURODEGENERATIVE DISEASES
Debomoy K. Lahiri
Laboratory of Molecular Neurogenetics, Department of Psychiatry, Institute of Psychiatric Research, Indiana University School of Medicine, 791 Union Drive. Indianapolis, Indiana, USA; E-mail: email@example.com
Neurodegeneration is defined as the progressive loss of structure or function of neurons, including neuronal death. Neurodegenerative diseases, such as Alzheimer’s disease (AD) and Parkinson’s disease (PD), occur as a result of neurodegenerative processes. Many similarities exist between these diseases on a sub-cellular level. Discovering these similarities provide optimism for therapeutic advances that could ameliorate both AD and PD. Several recent advances are noteworthy in laying a solid biological foundation for understanding AD (Lahiri, Curr. Alz. Res., 2013). Many parallels exist between various neurodegenerative disorders including atypical protein assemblies as well as induced cell death. AD is the most common form of dementia and characterized by the presence of amyloid-β (Aβ) peptide plaques and is believed to result from the misregulation of the production or clearance of Aβ. The rate-limiting step in the production of Aβ is the processing of amyloid-β precursor protein (APP) by a β-secretase called β-site APP-cleaving enzyme (BACE1). Dysregulation of proteins involved in Aβ production, such as APP and BACE1, may contribute to excess Aβ deposition. Elucidating how expression of these proteins is regulated will ultimately reveal new drug targets. We have utilized the novel approach of studying the regulation of these gene products by microRNAs (miRNAs). MiRNAs are an abundant class of small RNAs that mediate potent inhibitory effects on global gene expression. Recent advances in molecular methods allow us to study the contribution of these miRNAs to gene expression in CNS disorders, such as AD (Long and Lahiri, Exp. Neurol., 2012). Here we present data demonstrating...
miRNA-mediated regulation of APP and BACE1. Using multiple bioinformatic tools and a series of functional studies in neuronal and glial cultures as well as in human brain tissue specimens, we reported specific microRNA species regulate APP levels, such as miR-101 and miR-153 (Long, and Lahiri, BBRC, 2011; Long, Ray and Lahiri, J Biol. Chem., 2012). Furthermore, we examine neuroprotective and neuropreservative effects of pharmacological drugs, such as rivastigmine, and of nutraceuticals, such as nanoscurcumin (Bailey et al., PLoS One, 2012) in neuronal cultures and *in vivo*. Specific compounds obtained from several nutrients have displayed beneficial roles in preserving and protecting neurons from degeneration and can have potential therapeutic efficacy in AD. Taken together, these results from molecular, cellular and pharmacological studies would accelerate further studies with these compounds in larger preclinical and clinical settings.
This work is supported by grants from Alzheimer’s Association and NIH to Dr. D.K. Lahiri.
**KN-84**
**Track:** Innovative Drug Discovery and Nanotechnology
**LIPOTEICHOIC ACIDS OF GRAM-POSITIVE BACTERIA - SYNTHESIS AND SOME BIOLOGICAL PROPERTIES**
**Richard R. Schmidt**
*Fachbereich Chemie, Universität Konstanz, Fach 725, D-78457 Konstanz, Germany; E-mail: firstname.lastname@example.org*
Gram-positive bacteria are causing many infectious diseases; nevertheless, these bacteria are not as well understood as Gram-negative bacteria. It is assumed that amongst the immunoinactive constituents of the cell wall of Gram-positive bacteria are lipoteichoic acids (LTAs). They are amphiphilic, negatively charged, structurally quite different glycolipids that were classified into four types (type I-IV). The most frequently isolated Gram-positive pathogen causing infections is *Staphylococcus aureus* possessing an LTA classified as type I that has been synthesized in our group and biologically evaluated. LTAs that also gained great interest are type II LTAs isolated from *Lactococcus garvieae* and particularly type IV LTA I isolated from *Streptococcus pneumoniae*, respectively [1]. All three LTAs are structurally quite different, but they are believed to interact with the innate immune system in a similar fashion, which is by stimulation of TLR2. Hence, chemical syntheses leading to structurally defined material should have a major impact on these studies. The results will be discussed.
**REFERENCE**
[1] C. M. Pedersen, I. Figueroa-Perez, B. Lindner, A. J. Ulmer, U. Zähringer, R. R. Schmidt. *Angew. Chem. Int. Ed.* **2010**, *49*, 2585-2590; *Tetrahedron* **2012**, *68*, 1052-1061.
INVITED LECTURES
**II-58**
**Track:** Pharmaceutical Research & Development
**POPULATION-BASED STUDIES OF REAL-LIFE COMPARATIVE EFFECTIVENESS AND SAFETY OF DRUGS: ADVANTAGES OF USING FLEXIBLE CUTTING-EDGE STATISTICAL METHODOLOGY**
Michal Abrahamowicz, William G. Dixon, Marie-Eve Beauchamp, Marie-Pierre Sylvestre, Robyn Tamblyn
*Department of Epidemiology, Biostatistics & Occupational Health, McGill University, Montreal, Quebec, Canada; E-mail: email@example.com*
Recent large governmental initiatives e.g. Canadian Drug Safety and Effectiveness Network emphasize the need to assess the real-life effectiveness and safety of drugs in population-based studies. Such studies are typically analyzed with conventional statistical models, adopted from phase III randomized clinical trials (RCT), or epidemiological studies, which use simplistic metrics of drug use, e.g. current dose, or any use in the past 3 months. These metrics ignore important variation in the patterns of drug use in real-life clinical practice, where daily doses, treatment duration, frequency of treatment interruptions, all vary substantially between subjects and within-subject over time. We present both simulation-based and real-life data illustrating how the above limitations of the models used in (comparative) effectiveness studies seriously hamper the ability to detect the important benefits or adverse effects of a new drug. We then demonstrate how our new, flexible statistical methodology, that accounts for variation in drug use patterns and cumulative effects, helps assessing accurately the causal effects of drugs in population-based studies and produces results consistent with the drug pharma-co-dynamics/-kinetics characteristics. The advantages of our new methodology are illustrated with empirical studies of the associations between (1) benzodiazepines and fractures, and (2) oral glucocorticoids and infections.
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**II-85**
**Track:** Nutraceutical Drug Discovery & Therapy
**VITAMIN D REGULATES HIGH CHOLESTEROL HIGH FRUCTOSE-INDUCED CHANGES IN CORONARY ARTERY DISEASE**
Devendra K. Agrawal
*Senior Associate Dean for Clinical & Translational Research, Director, Center for Clinical & Translational Science, The Peekie Nash Carpenter Endowed Chair in Medicine, Professor of Biomedical Sciences, Internal Medicine, and Medical Microbiology & Immunology, Creighton University School of Medicine, CRISS II Room 510, 2500 California Plaza, Omaha, NE 68178, USA; E-mail: firstname.lastname@example.org*
Approximately 1 billion people worldwide are vitamin D insufficient or deficient. In the U.S. and Europe, 40-80% elderly population still living in the community is deficient in vitamin D. Serum 25(OH)D levels have been used as a surrogate measure of an individual’s vitamin D status as it reflects both vitamin D intake from the diet and the intake from skin synthesis of vitamin D. There is a controversy over the cut-off-point values as determinants of ‘deficiency’ or ‘insufficiency’. None-the-less, it is critical to evaluate the relationship between vitamin D deficiency/insufficiency with the pathophysiology and severity of the disease and determine whether supplementation with oral vitamin D would alleviate these problems.
Based on peripheral evidence, there is an association between vitamin D deficiency and cardiovascular disease. Decreased levels of 25(OH)D and calcitriol are independently associated with cardiovascular morbidity and mortality. Vitamin D can regulate endothelial dysfunction, vascular compliance, inflammation, and effects relating to parathyroid hormone, renin-angiotensin system. Indeed, an association between 25(OH)D deficiency and endothelial dysfunction and increased lipid peroxidation has been found in asymptomatic subjects and vitamin D supplementation improved endothelial function. Vitamin D supplementation may help in reducing the adverse cardiac events in patients with coronary artery disease. However, most of the studies which identified an association between lower vitamin D intake or lower 25(OH)D and increased risk of cardiovascular disease are observational or cross-sectional studies and hence their strength is limited. Also, the effect of vitamin D supplementation on blood pressure is still unclear and no effect of vitamin D supplementation on coronary heart disease has been clearly demonstrated. The evidence is inconsistent and
inconclusive as to causality. Therefore, vitamin D supplementation is not recommended in routine treatment for cardiovascular disease.
Although balloon angioplasty with stent implantation has been a successful strategy for the treatment of coronary artery disease (CAD), long-term prognosis has been less promising due to the development of intimal hyperplasia and restenosis. Both balloon angioplasty and stent placement cause injuries in the intima, media and sometimes adventitia. This results in a cicatricial process comprising proliferation and migration of smooth muscle cells (VSMCs) towards the intima and secretion of extracellular matrix forming a neointimal thickening of vessel leading to restenosis. However, introduction of drug eluting stents (DESs) seemed to address the restenosis problem by site-specific delivery of paclitaxel or sirolimus to prevent proliferation and migration of VSMCs. But, DESs are susceptible to another complication known as “late stent thrombosis” due to inhibition of re-endothelialization of stented segment. This condition can occur within a year after the placement of the DES and is characterized by blood clotting inside the stent. Thrombosis is very rare, but, it is extremely dangerous and fatal in almost over one third of cases.
Despite extensive research in the last decade, we are still not sure how to predict or prevent intimal hyperplasia and restenosis.
We have recently made several novel observations: (i) porcine coronary artery smooth muscle cells express VDR and vitamin D metabolizing enzyme machinery. Calcitriol inhibits PDGF-BB-induced proliferation and migration of coronary artery SMCs. Thus, it is possible that the patients prone to develop intimal hyperplasia following coronary intervention are vitamin D-deficient and vitamin D supplementation prior to interventional procedures might be helpful in the prevention of intimal hyperplasia in coronary artery disease patients, (ii) Calcitriol decreases the expression of importin-α3 thereby decreasing the import of NF-κB to the nucleus, (iii) both CYP27B1 (enzyme that converts 25(OH)D into calcitriol) and CYP24A1 (catabolizing enzyme for calcitriol) are present in human white blood cells and vitamin D administration for 1 year in 78 women (59-80 yr old) with vitamin D insufficiency (<20 ng/ml) increased the mRNA transcripts of these enzymes in WBCs, suggesting the presence of the machinery for vitamin D metabolism in human WBCs, and (iv) vitamin D supplementation for one year significant increased VDR and cathelicidin expression and decreased importin-α3 in the WBCs. These *in-vitro* and *in-vivo* data further support the theory that vitamin D administration decreases importin-α3 resulting in decreased import of NF-κB into nucleus. This could be one of the underlying mechanisms for the anti-inflammatory and immunoregulatory effects of vitamin D in inflammatory diseases.
Together, these observations support the anti-inflammatory effects of vitamin D and thus could maintain the immune response following injury due to balloon angioplasty or intravascular stenting. Vitamin D deficiency will exacerbate the immune response leading to increased inflammation and uncontrolled proliferation of the intimal cells towards lumen, resulting in restenosis. Accordingly, vitamin D deficiency might predict CAD patients who develop restenosis following coronary intervention and therefore, vitamin D supplementation will decrease pro-inflammatory markers and increase anti-inflammatory mediators, resulting in significant decrease or no intimal hyperplasia.
In my presentation, I will share recent findings on the effect of high fructose high cholesterol diet on the development of atherosclerotic lesions in coronary arteries and changes in the phenotype of epicardial adipose tissue, and how the vitamin D status affect such changes and the outcome results following interventional procedures in atherosclerotic coronary arteries.
Briefly, Yucatan microswine were fed with high fructose high-cholesterol diet. Atherosclerotic lesions were confirmed by coronary angiography and histology. Immunostaining was performed in the adipose tissue and coronary arteries for macrophage phenotype. Contraction and relaxation of coronary arteries was examined in organ bath studies. In obese swine fed with high-fructose high-cholesterol diet, there was significant infiltration of CD86+ cells (M1 macrophages) with minimal immunostaining to CD206 (M2 macrophages) in adipocytes, which was increased in adipocytes of vitamin D-supplemented swine. Similar pattern was found in coronary arteries. Compared to vitamin D-sufficient high-cholesterol diet, vitamin D-deficient high-cholesterol swine EAT showed dense inflammatory cell infiltrate with significantly decreased expression of SOCS3 protein and marked increase in TNF-α, MCP-1, and IL-6 expression in EAT. The contractile response to serotonin in both carotid and coronary arteries of atherosclerotic swine was much higher in the vitamin D-deficient than in vitamin D-sufficient group. Norepinephrine (NE)-induced contraction in carotid and dilatation in coronary arteries, which was lower in vitamin D-deficient than vitamin D-sufficient swine. We conclude that high-fructose high-cholesterol diet enhances pro-inflammatory macrophages, increases vasoconstriction and decrease vasodilatation. Vitamin D supplementation could be beneficial in preventing metabolic effects in atherosclerosis.
STRUCTURE-BASED DRUG DESIGN OF POTENT BACE1 INHIBITORS: POSSIBLE DRUG LEADS FOR THE TREATMENT OF ALZHEIMER’S DISEASE
Taleb H. Al-Tel
College of Pharmacy, University of Sharjah, P.O. Box 27272, Sharjah, UAE; E-mail: email@example.com
Alzheimer’s disease (AD) is a progressive, neurodegenerative disorder and considered the most common form of irreversible dementia. To date, treatment of AD only partly reduces the symptoms and does not affect the underlying progression of the disease. More than 25 million people are suffering from dementia and the annual socioeconomic worldwide costs have been estimated to exceed US$200 billion. Although, the cause of AD remains unknown, a large body of evidence is beginning to in the pathogenesis of the β accumulate that highlights the central role of A disease. Recently, we have disclosed the discovery of small molecules isophthalic acid and imidazopyridine derivatives as potent BACE1 inhibitors. In early SAR investigations, we quickly learned that the truncation of the benzimidazole portion on isophthalic acid led to the more compact scaffold, possessed a 10-fold enhancement in potency (IC50 = 3.4 nM). Soon afterward we carried out detailed structure-activity relationship studies that ultimately led to 1900-fold improvement of ligand affinity for BACE1 enzyme (Figure 1) [1]. In this presentation, we will disclose our efforts gained over the years in this regard.
[1] Al-Tel, et al., J. Med. Chem. 2011, November 1, 2011; DOI: 10.1021/jm201181f.
NANOSTRUCTURED SUPPORT AND MEMBRANES FOR CHIRAL ENZYMATIC AND ORGANIC SYNTHESSES
Steven S.C. Chuang
Department of Polymer Science, The University of Akron, Akron, OH 44325-3909, USA; E-mail: firstname.lastname@example.org
The reaction and adsorption of bioactive compounds on the supported enzymes/catalysts has been a subject of extensive studies because of its potential applications in lowering the production cost of chiral compounds and allowing efficient screening of the potential candidate materials for the development of the active catalyst. This presentation will discuss (i) the approaches for immobilization of enzymes and preparation of chiral selective catalysts and (ii) the mechanisms of enzyme immobilization and catalyst preparation as
well as associated synthesis reactions. Specific examples to be discussed will include immobilization of oxidase by micro/nanoporous polyvinyl alcohols and chiral modification of supported nanoscale metal catalysts. The kinetics and dynamics of the reactions catalyzed by immobilized enzyme and modified catalysts were studied by the in situ infrared and Raman spectroscopy. The results of the spectroscopic studies showed that the ratio of the hydroxyl and amine function groups and their density on the surface of micro/nanoporous polyvinyl alcohols affects the infrared intensity of amide I and II in the oxidase, an indicative of the conformational changes of the enzymes, which govern their activity. The results also showed the nature of supports and metal particle sizes control the activity and selectivity of the synthesis of chiral β-amino acid, a precursor for the synthesis of biologically active compounds. Emphasis will be placed on how to design in situ experiments, mechanistic studies and for enzymecatalyst screening as well as how to use mechanistic information to develop chiral selective synthesis and separation processes.
**IL-80**
**Track:** Anti-Infectives
**THE FUTURE CHALLENGES FACING ANTIMICROBIAL THERAPY: RESISTANCE AND PERSISTENCE**
**Rehab Mahmoud Abd El-Bakv**
*Lecturer of Microbiology, Faculty of Pharmacy, Minia University, Minia, Egypt; E-mail: email@example.com*
The emergence of resistance to antimicrobial agents is a pressing concern for human health that increases the need for the development of novel antimicrobial drugs. Antimicrobial resistance means that microorganisms keep on growing even in the presence of a drug due to specific defense mechanisms (e.g. efflux-pumps). Many of infectious diseases are difficult to be treated with antimicrobials not due to resistance but persisters (non-multiplying cells). Distinction is important as persistent cells need an entirely design of new antimicrobial agents. Non-multiplying cells, do not cause overt disease but prolong the duration of therapy, increasing the chance of the emergence of resistance (i.e. bacterial or fungal biofilms and latent tuberculosis) resulting in therapy failure. Persisters are phenotypic variants of the wild type that present in all microorganisms which are able to survive antimicrobial treatment without acquiring resistance or conferring genetic changes and upon re-growth they produce a population of sensitive cells and new persisters. Persistence may arise spontaneously regardless to the presence of drug or environmentally induced due to starvation, DNA damage, oxidative stress and quorum sensing. Many approaches targeting non-multipliers would shorten the duration of therapy and decrease the emergence of resistance. Some depends on studying the effectiveness of the existing therapeutics against non-multipliers (i.e. pyrazinamide and gatifloxacin) and others depend on the discovery of new compounds targeting microbial genes that might be essential to non-multipliers viability or specific enzymatic or metabolic pathway (i.e. TG44 targets outer membrane of *Helicobacter pylori* and TMC207 targets proton pump of the ATP synthases in *Mycobacterium tuberculosis*). Clinical trials and studies are needed to produce a marketed antimicrobial agent active against both multiplying and non-multiplying organisms and to know whether the approach of targeting non-multiplying bacteria is clinically relevant and will produce compounds that reduce the rate of emergence of bacterial resistance.
**Keywords:** Antimicrobial resistance, non-multiplying microorganisms, *M. tuberculosis*, persisters.
**IL-114**
**Track:** Recent Advances in Spectroscopy
**SIMULTANEOUS USE OF SEVERAL CHIROPTICAL METHODS IN CONFIDENT STRUCTURE ELUCIDATION OF PHARMACEUTICALLY PROMISING MOLECULES**
**Jadwiga Frelek**
*Institute of Organic Chemistry, Polish Academy of Sciences, Kasprzaka 44/52, 01-224 Warsaw, Poland*
Determination of the molecular structure of isolated natural products or synthesized compounds continues to be an important challenge in the organic and medicinal chemistry. This is undoubtedly
due to the close dependence between the biological activity and the stereostructure of bioactive compounds. Therefore, the access to the methods allowing simple and unequivocal determination of their absolute configuration and/or conformation is of high importance. The circular dichroism spectroscopy is the technique of choice for elucidating chirality, and, in particular, for monitoring and characterizing even smallest changes of a molecule in solution and solid state. It is also commonly well known that the use of more than one chiroptical method considerably increases the reliability of stereoechemical assignment. Therefore, during the present lecture, the most recent results on the combined application of both the electronic (ECD) and the vibrational circular dichroism (VCD) in the structure elucidation of a broad variety of important bioactive compounds will be presented.
The scope of the β-lactam antibiotics, β lecture includes, among others, cis- and trans-enones, DNA bases, vitamins, sugars, etc. (Figure 1). Special emphasis will be placed on the effectiveness of such a combined ECD and VCD approach in solving structural problems, which with other spectroscopic methods, such as e.g. NMR, cannot be unambiguously resolved. The studies are supported by a thorough conformational analysis and TD-DFT calculations.
The scope of the β-lactam antibiotics, β lecture includes, among others, cis- and trans-enones, DNA bases, vitamins, sugars, etc. (Figure 1). Special emphasis will be placed on the effectiveness of such a combined ECD and VCD approach in solving structural problems, which with other spectroscopic methods, such as e.g. NMR, cannot be unambiguously resolved. The studies are supported by a thorough conformational analysis and TD-DFT calculations.
**Figure 1.** Selected structures of the compounds under discussion.
This work is supported by grant of the National Center of Science (Poland) No: UMO-2011/01/B/ST5/06413.
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**II.-129**
**Track:** Diabetes and Obesity Drug Discovery & Therapy
**DIETARY TREATMENT OF TYPE 2 DIABETES**
**Mary C. Gannon** and **Frank Q. Nuttall**
*Professor of Food Science & Nutrition, Associate Professor of Medicine, University of Minnesota, MN 55417, USA; Tel: 612/467/2895; Fax: 612/725/2273; E-mail: firstname.lastname@example.org*
Our research group is interested in the dietary treatment of people with type 2 diabetes. We have developed diets we refer to as Low Biologically Available Glucose Diets, or LoBAG Diets. The general concept is, that of the dietary mono-, di- and polysaccharides, only glucose (or potential glucose) is responsible for the elevated blood glucose in people with type 2 diabetes. The LoBAG diets consist of 30% protein, which is higher than traditionally ingested. In various studies, the carbohydrate content has been 20%, 30% or 40%. The remainder was fat (10% saturated). The carbohydrate content of the diet is indicated by a subscript – thus a LoBAG30 diet is composed of 30% carbohydrate, 30% protein, and 40% fat. The control diet consisted of 55% carbohydrate, 15% protein, 30% fat (10% saturated). The LoBAG30 diet has been studied for the longest period (10 weeks). In addition, more metabolic parameters have been studied using the LoBAG30 diet. In randomized, crossover designed short-term studies of 5-10 weeks the decrease in glycated hemoglobin (HbA1c) is similar to, or greater than that obtained with commonly prescribed oral medications. This occurred without deleterious changes in blood lipid profiles or in kidney function, as determined by creatinine clearance.
**II-112**
**Track:** Medical Imaging
**CONTRAST FREE MAGNETIC RESONANCE IMAGING (MRI) FOR EARLY DETECTION OF HYPOXIA INDUCED ACUTE KIDNEY INJURY (AKI)**
Faikah Gueler, Song Rong, Rongjun Chen, Xiaokun Liu, Marcel Gutberlet, Martin Meier, Detlef Wacker, Hermann Haller, Katja Hueper
*Prof in für Ischämie Reperfusion und Transplantation, Klinik für Nieren- und Hochdruckerkrankungen, Med. Hochschule Hannover, Carl-Neuberg-Str. 1, 30625 Hannover, Germany; E-mail: email@example.com*
**Background:** Acute kidney injury (AKI) is common and often fatal. Severe blood loss during major operations and sepsis are common causes of AKI. Detection of AKI oftentimes is delayed due limited sensitivity of diagnostic methods. Here, we present new magnetic resonance imaging (MRI) techniques to detect and to monitor experimental AKI characterized by decrease of renal perfusion and edema formation. The MRI techniques were validated in patients with AKI after lung transplantation.
**Methods:** Renal ischemia reperfusion injury (IRI) was induced in mice by transient unilateral clamping of the left renal pedicle. MRI was performed prior to surgery and at different time points thereafter (day 1, 7, 14, 21, 28). Renal morphology, glomerular filtration rate, renal blood flow, expression of alpha-SMA and as well as inflammatory cell infiltration was investigated. For further validation, two weeks after lung transplantation patients were investigated by functional MRI.
**Results:** AKI induced renal perfusion impairment was detectable 24h after injury and deteriorated until day 7. Edema formation and changes in apparent diffusion coefficient (ADC) correlated with inflammation and fibrosis. Histological dramatic increase infiltrating cells were observed. Reduction of MRI measured renal perfusion was verified by PAH clearance to investigate systemic renal blood flow (RBF). The MRI techniques also were save in patients after lung transplantation and showed clearly that also in patients AKI can be classified and detected by renal blood flow impairment.
**Conclusion:** Our study proves that contrast free MRI is a new and safe technique for early detection of AKI without contrast media.
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**II-82**
**Track:** Anti-Cancer Drug Discovery & Therapy
**PHYTOCHEMICALS IN COMBINATION WITH TARGETED THERAPY CAN PROVIDE A MEANS TO OVERCOME DRUG RESISTANCE IN OVARIAN CANCER**
Fazlul Huq
*Cancer Research Laboratory, Discipline of Biomedical Science, School of Medical Sciences, Sydney Medical School, The University of Sydney, Rm L233, Cumberland Campus C42 \ 73 East Street, (PO Box 701), Lidcombe NSW 1825, Sydney; Tel: +61 2 9351 9522; Fax: +61 2 9351 9520; M: +61 (0)411 235462; T: + 61 2 9351 9753 (Rms H206, K219, laboratories); E-mail: firstname.lastname@example.org*
Whereas platinum resistance is associated with increased expression of anti-apoptotic factors and pathways such as NF-kb and AKT, a number of phytochemicals serve to dampen their expressions so that they may act synergistically in combination. In this study we investigated synergism from combination of widely used platinum drugs and selected tumour active phytochemicals including curcumin, EGCG, thymoquinone, resveratrol and genistein in human ovarian tumour models. Generally sequenced combinations with 2 to 4 h time gap are found to be synergistic whereas the bolus is often antagonistic. The variation in nature of the combined drug action with change in sequence of administration clearly indicates that the action of one drug modulates that of the other. Proteomic studies have identified over thirty proteins that are believed to be associated with platinum resistance in ovarian cancer. They belong to six major groups including cytoskeletal proteins, molecular chaperone and stress related proteins, proteins involved in detoxification and drug resistance, proteins involved in metabolic processes and mRNA processing proteins. Synergistic outcome from combinations of cisplatin with phytochemicals is found to be associated with down-regulation of mRNA
processing proteins that play a variety of roles in tumour development and progression, and up-regulate molecular chaperones that are needed for constant surveillance to ensure normal protein homeostasis. Detoxification and drug resistance proteins are found to be up-regulated after treatment with synergistic combinations of Cis with other phytochemicals, indicating that the phytochemicals have served to sensitize resistant A2780\textsuperscript{cisR} cancer cells towards platinum action by targeting various cellular pathways.
**II-4**
**Track:** Chemistry
**DEOXYGENATIVE OLEFINATION REACTION AS THE KEY STEP IN THE SYNTHESSES OF DEOXY CARBOHYDRATES**
Jih-Ru Hwu, Hsu-Yung Chang, and Balaji C. Dangeti
*Department of Chemistry, National Tsing Hua University, Hsinchu 300, Taiwan; E-mail: email@example.com*
Our success in the development of a novel benzyne-induced method for the generation of the C=C from β-aminol alcohols is reported in this talk (see Scheme 1). This new method was developed as the key step in the newly developed strategy for the syntheses of deoxy- and imino-carbohydrates.
Carbohydrates with significant biological activities are discovered in profusion; some of which possess special structures of deoxy sugars and iminosugars. In deoxy sugars, one or more carbon atoms have been reduced, thus losing their hydroxyl groups. Iminosugars are analogs of sugars having a nitrogen atom at the position of the endocyclic oxygen atom. Some of these sugars possess immense therapeutic potential in various diseases, such as cancer, diabetes, and viral infection. As shown in Scheme 2, the new synthetic strategies involves deoxygenation, olefination, and cleavage of an endocyclic O–C single bond at the glycosidic carbon center. In this talk, we report new results on approval of the feasibility and generality associated with the deoxygenative olefination by a benzyne-induced method in carbohydrate syntheses.
**REFERENCES**
[1] Hwu, J.R.; Chang, Y.H. *Chem. Eur. J.* **2011**, *17*, 4727 – 4731.
[2] Chang, Y.H.; Hwu, J.R. *Chem. Eur. J.* **2012**, *18*, 7686 – 7690.
**TRENDS IN DIAGNOSTIC BIOCHIP DEVELOPMENT**
**Ichishi E.**
*Department of Internal Medicine, International University of Health and Welfare Hospital, 537 Iguchi, Nasushiobara City, Tochigi Pref. 329-2763, Japan; E-mail: firstname.lastname@example.org*
Technological advancements in biochips for diagnosis and prevention lead to improved healthcare cost containment with a decreasing birth rate and an aging population. Biochips have been attracting attention as a tool for improving healthcare costs. There are technological, standardization-related, ethical and societal problems in biochip development. For biochip market expansion, in addition to technological problems, it is necessary to overcome social, institutional, marketing and economic problems all together. It is expected that the application of biochip technologies will facilitate not only ‘super’ early diagnosis of diseases and disease prevention based on the diagnosis, but also early treatment.
**REFERENCE**
[1] Ichishi E. Expert Rev Mol Diagn 2013; 13(4): 331-7.
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**RIBONUCLEOSIDE CHAIN TERMINATORS: HIV-1 RESERVOIR SPECIFIC ANTI-VIRALES FOR HIV-1 CURE**
**Baek Kim**
*Director, Center for Drug Discovery, Emory University School of Medicine, 201 Dowman Dr, Atlanta, GA 30322, United States; E-mail: email@example.com*
Terminally differentiated/non-dividing macrophages are well known long-lived reservoirs of HIV-1, and blocking HIV-1 replication in these viral reservoir cells is essential for HIV-1 eradication and cure. Unlike activated CD4(+) T cells, this nondividing HIV-1 target cell type contains a very low level of the deoxynucleoside triphosphates (dNTPs) required for proviral DNA synthesis whereas the ribonucleoside triphosphate (rNTP) levels remain in the millimolar range, resulting in an extremely low dNTP/rNTP ratio. Biochemical simulations demonstrate that HIV-1 reverse transcriptase (RT) efficiently incorporates ribonucleoside monophosphates (rNMPs) during DNA synthesis at this ratio, predicting frequent rNMP incorporation by the virus specifically in macrophages. Indeed, HIV-1 RT incorporates rNMPs at a remarkable rate of 1/146 nucleotides during macrophage infection. In contrast, little or no rNMP incorporation is detected in CD4(+) T cells. Repair of these rNMP lesions is also substantially delayed in macrophages compared with CD4(+) T cells. Therefore, the frequent incorporation of rNMPs makes them an ideal candidate for development of a new class of HIV RT inhibitors, specifically targeting non-dividing long-living HIV-1 reservoirs.
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**A UNIQUE MODEL FOR TESTING NANO-MODULAR DNA APTAMERS AS THROMBIN INHIBITORS**
**Alexey M. Koplov, E. Zavyalova, A. Revischin, G. Pavlova**
*Apto-Pharm Ltd, Chemistry Department, Lomonosov Moscow State University, Institute of Gene Biology, Russian Academy of Sciences, Moscow, Russian Federation; E-mail: firstname.lastname@example.org*
Nucleic Acid Aptamers are alternative to antibodies in growing enabling technology - theranostics. Set of DNA aptamers for human thrombin (thrombin binding aptamers, TBAs) was developed by SELEX, but there is no rationale for 'Structure-Function'. All aptamers have pharmacophore - 15-mer G-quadruplex linked to
short duplex: 31-mer TBA31 and 26-mer NU172. We have design novel two-modular DNA aptamer, RA36. RA-36 had been previously characterized with enzymatic and coagulation tests. Here we present unique data on in vivo activity of aptamer. RA-36 in Kusada electric injury model of murine arterial thrombosis has been studied. Transient current electrical injury was induced in common carotid artery of adult mice 1-2 min after bolus injection of substance. Apparent white thrombus was registered with digital video recorder for 30 min after injection. Thrombus area was measured using UTHSCSA ImageTool program at 30 sec intervals. Average area of thrombus was significantly larger in saline versus aptamer-treated group (7 mg/kg) in the time interval 5-14 min after injection, then convergence of thrombus areas was observed. To elucidate effects of DNA aptamers on human coagulation cascade we used thrombin generation assay. In this assay aptamer RA-36 was demonstrated to have high efficiency that was similar to bivalirudin one’s.
**II-79**
**Track:** Regenerative Medicine
**STEM CELL THERAPY AS ONE OF TEMPORARY MEASURES FOR MANAGEMENT OF HEART FAILURE AND PULMONARY HYPERTENSION IN CHILDREN**
**Aris Lacis, Inguna Lubaua, Andis Lacis, Andrejs Erglis**
*Department of Pediatric Cardiology and Cardiac Surgery, University Children Hospital, Latvia; E-mail: email@example.com*
**Objective:** The aim of this report is to assess efficacy and safety of two methods for delivery of autologous bone marrow derived stem cells, considering their potential use in critically ill patients.
**Methods:** We used intrapulmonary delivery of stem cells in children with severe pulmonary hypertension and intramyocardial implantation in children with dilated cardiomyopathy. For assessment we used various visual diagnostics as well as functional and laboratory tests.
**Results:** Two patients (9 and 15 years) with severe pulmonary hypertension due to uncorrected large ventricular septal defects had been admitted for intra-pulmonary bone marrow stem cell implantation. Both patients underwent radionuclide scintigraphy before the procedure, followed by re-examination 6, 12, 24 and 36 months after it. Latest test results show improvement in lungs’ vascularization. Seven patients (4 months – 17 years) with dilated cardiomyopathy had been admitted for transcutaneous intra-myocardial transplantation of bone marrow derived progenitor cells. All the patients underwent repeated clinical examination before and after the procedure. We observed improvement in LVEF, decrease of LVDD on 2D and 3D echocardiography and CTI on chest X-ray, reduction of serum BNP and decrease of the stage of heart failure. No serious periprocedural side effects were observed.
**Conclusions:** The preliminary results are promising. We suggest using transplantation of bone marrow derived stem cells as a safe and effective way for stabilization of critically ill patients with both severe pulmonary hypertension and idiopathic cardiomyopathy. This method provides additional opportunities for symptomatic treatment and serves as a bridge for potential heart or lung transplantation.
**II-59**
**Track:** CNS Drug Discovery & Therapy
**RELEVANCE OF THERAPEUTIC STRATEGIES TARGETING NMDA RECEPTORS AND APP PATHWAY IN CNS DISORDERS**
**Debomoy K. Lahiri and Balmiki Ray**
*Laboratory of Molecular Neurogenetics, Department of Psychiatry, Institute of Psychiatric Research, Indiana University School of Medicine, 791 Union Drive. Indianapolis, Indiana, USA; E-mail: firstname.lastname@example.org*
The predominant features of Alzheimer’s disease (AD) include the amyloid-β peptide (Aβ) deposition, hyperphosphorylated tau, cholinergic deficit, oxidative stress and glutamate excitotoxicity. Aβ is a cleaved proteolytically from the transmembrane amyloid precursor protein (APP) by secretase enzymes. Deposited Aβ causes microglial activation that results in the generation of reactive oxygen species (ROS) and cytochemokines, which
finally lead to widespread neuronal damage. Modulating APP pathway is considered to be a rational strategy in the treatment of AD. We have reported that memantine (Namenda), a partial N-Methyl-D-aspartate (NMDA) receptor antagonist and a FDA-approved AD drug, displayed APP pathway modulatory property (Alley et al. 2009; Ray et al. 2010). We showed that memantine treatment decreased levels of secreted APP and Aβ peptides in human neuronal cell line and primary rat neuronal cultures; however, the exact mechanism remains unclear. Herein, we treated human primary fetal brain (HFB) cultures (Long et al., 2013) with memantine and observed significant decrease in levels of secreted APP (total sAPP-α and sAPP-total) and Aβ peptides (both 1–40 and 1–42 forms) in the drug-treated group vs vehicle group. Contrarily, memantine treatment increased levels of brain-derived neurotrophic factor (BDNF) vs. vehicle group in the HFB culture. To study the mechanism, memantine-mediated effects on APP metabolism were assessed when the HFB cultures were co-treated with anti-BDNF IgG, which indicates that APP modulatory property of memantine is mediated by BDNF. Then we checked this effect of memantine on different protein levels in autopsied human brain tissue specimens. Importantly, BDNF level was significantly increased in brain extracts samples from AD patients who were treated (clinically) with memantine vs. brain extracts samples from AD patients who were treated with no AD medications. A similar APP-modulating property was observed in acamprosate (Campral), a widely used drug to treat alcoholism in the United States. Acamprosate is an NMDA receptor blocker, and our pre- and post-treatment blood biomarker analyses looking at BDNF levels revealed a significant increase in BDNF with treatment in fragile X patients (Erickson et al., 2013). Acamprosate may also affect APP and BDNF proteins in cultured neurons. Taken together, these results suggest that targeting NMDA receptor by multiple therapeutic agents can have potential effects in several neurological disorders.
This work is supported by grants from Alzheimer’s Association and the NIA/NIH. We sincerely thank Jason Bailey, Yokesh Balaraman, Craig Erickson, Nigel Greig, Kumar Sambamurti and Peter Nelson.
II.-124
Track: Diabetes and Obesity Drug Discovery & Therapy
INCRETINS IN THE THERAPY OF DIABETES MELLITUS TYPE 2
Nebojša M. Lalić
Faculty of Medicine, University of Belgrade, Clinic for Endocrinology, Diabetes and Metabolic Diseases, Clinical Center of Serbia, Belgrade, Serbia; E-mail: email@example.com
The treatment of hyperglycemia in type 2 diabetes involves a wide spectrum of different approaches to be used in an attempt to achieve normoglycemia. However, the long-term studies have shown that the sustainable achievement of the persistent normoglycemia with any of those particular agents or their combinations is not yet feasible and that there is a need for new tools enabling the achievement of optimal glycoregulation. In this context, the agents acting on the level incretin effect have been introduced in the treatment of type 2 diabetes, offering new therapeutic advantages.
The incretin effect, defined as the amplification of nutrient-induced insulin secretion, is mediated by the hormones from the gut, among which glucagon-like peptide 1 (GLP-1), secreted by L cells in the distal small intestine and colon, plays a major role. GLP-1 was proven to exhibit a strong and glucose-dependent insulinotropic activity in humans. In addition, it has been shown in animal models that GLP-1 might have a trophic effect on β cells by stimulating the proliferation of preexisting and differentiation of new β cells in the pancreatic duct epithelium, together with an inhibition of apoptosis. However, in human subjects GLP-1 is shown to be able to inhibit the β cell apoptosis in vitro, but the data are not available to confirm its regenerative potential. Moreover, GLP-1 suppresses glucagon release in a glucose-dependent manner, and exhibits a strong effect on gastrointestinal function by inhibiting gastric emptying with powerful subsequent reduction effect on postprandial glucose excursions. Also, GLP-1 has been found to be very rapidly degraded by an enzyme, dipeptidyl-peptidase 4 (DPP-4), and the degradation occurs within minutes, which represents an important determinant both regarding its physiological effects and its pharmacological use.
Type 2 diabetes is characterized by a marked blunting of the incretin effect, associated with defective glucose-stimulated insulin secretion, reduced glucose clearance, increased levels of glucagon, and quicker gastric emptying. The first step towards the use incretin-based treatment in type 2 diabetes were the results showing that intravenous infusion of GLP-1 had dramatic effects on insulin secretion and was able to completely normalize fasting blood glucose level in a glucose-dependent manner. After those initial data, we have seen the development of the two distinct groups of incretin-based pharmacological agents: GLP-1 mimetics and DPP-4 inhibitors. The GLP-1 mimetics represent parental agents, GLP-1 analogs or GLP-1 receptor agonists. The group of DPP-4 inhibitors includes several oral agents being selective
inhibitors of this enzyme isoform. The GLP-1 mimetics are shown to induce a potent stimulation of insulin secretion and consecutive decrease of glycemia, together with an important weight decrease and their implantation is accompanied with differing degree of nausea, which usually in manageable in the course of treatment. The DPP-4 inhibitors also induces a significant decrease in glycemia, although to lesser extent than GLP-1 mimetics, their effect is weight neutral while they do not cause nausea nor other adverse effects. The initial studies have strongly suggested multiple beneficial effects of the use of both groups of agents on other organs and tissues in patients with type 2 diabetes, especially cardiovascular system and brain, but these influences are still under intensive investigations. Although different therapeutic guidelines for type 2 diabetes still disagree in positioning of incretin-based therapy, the prevailing opinion is that they are identified as new classes of efficacious glucose-dependent insulin secretagogues, weight reducing or weight neutral, which are to be used in the second step of the treatment, i.e. after the failure of metformin alone therapy, or in the third step when they might be combined with insulin treatment.
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**II-L-113**
**Track:** Anti-Cancer Drug Discovery & Therapy
**APOPTOSIS INDUCTION THROUGH DOWN REGULATION OF BCL-2 AND AKT SIGNALING OF PYRROLO[1,2-b][1,2,5]BENZOTHIAZIAZEPINES IN MEC1 CELLS**
**Gabriella Marfe**, Giovanna Mirone, Stefania Perna and Carla Di Stefano
*Department of Clinical and Experimental Medicine and Surgery, Second University of Naples School of Medicine, Naples, Italy; E-mail: firstname.lastname@example.org*
B cell chronic lymphocytic leukemia (B-CLL) is a neoplastic disorder characterized by accumulation of B lymphocytes due to uncontrolled growth and resistance to apoptosis, indicating the need for development of new drugs to treat the disease. Pyrrolo[1,2-b][1,2,5]benzothiaziazepine (PBTDs) have been shown to have antitumor activity, but the mechanism of this activity is not fully understood. The effects of PBTDs (RS2778) on the proliferation and apoptotic induction of B-cell leukemia cells using the DNA fragmentation assay were evaluated. In addition, we found RS2778 mediated apoptosis in MEC1 (human chronic B cell leukemia) through the activation of the caspase-9 and -3, and cleavage of poly (ADP-ribose) polymerase (PARP). The bax/bcl-2 ratio was increased as a consequence of down-regulation of bcl-2 and up-regulation of bax proteins in response to treatment with RS2778. Furthermore, such compound impeded hyper phosphorylation of Akt as were determined by Western blot. In this study, we demonstrated that RS2778 induced apoptosis through down-regulation of the expression of antiapoptotic protein Bcl-2, making it a promising candidate for clinical applications in the treatment of B-cell leukemia.
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**II-L-7**
**Track:** Anti-Cancer Drug Discovery & Therapy
**PERSONALIZED PATHWAY- SPECIFIC STRATEGY FOR SOLID TUMORS**
**Aung Naing**
*Investigational Cancer Therapeutics, MD Anderson Cancer Center, Houston, TX 77030, USA; E-mail: email@example.com*
Cancer is public enemy number one for United States and worldwide. With tremendous outpouring of resources into drug development, we have not met expectation of our patients.
While it is often claimed that we need new drugs to treat cancer, a more fundamental problem may be the way we classify cancer. We may have many excellent drugs, but they work poorly because we are not matching the drugs to the mutations that patients have.
We believe:
(1) Treatment is not disease-based but target-based.
(2) Correlative/translational aspects are critical.
(3) Treatment is not conventional. Virtually all patients can be on trial.
Our presentation will focus on personalized pathway-specific treatment for solid tumors. We have previously presented in Moffitt Cancer Center in Tampa and Istanbul, Turkey. We believe your meeting would be a good avenue. Furthermore it can potentially help establish collaboration in the near future.
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**IL-117**
**Track:** Medical Imaging
**THE EVOLVING CLINICAL ROLE OF MEDICAL IMAGING**
**Abdul Jalil Nordin**
*Centre for Diagnostic Nuclear Imaging, University Putra Malaysia, Serdang, 43400 Malaysia; E-mail: firstname.lastname@example.org*
The field of Medical Imaging evolved with many advanced features. The evolution is evident from initial discovery of X-ray in early 1900, adapting new generation of computer system in the 1970s and incorporating digitization technology in the 1990s. The progress of imaging technology then, marked an important milestone achievement in clinical practice placing a major role for medical imaging in routine clinical procedure for diagnostic work up. The fundamental bio-physiology property of each modality is exploited in characterizing normal and diseased tissues. X-ray and sound wave interaction with matters in CT and ultrasound, proton magnetization in MR and *in vivo* tissue uptake of isotopes in SPECTS and PET systems to be named a few. Recent imaging technology advancement is geared towards early detection of anatomical and functional tissue alteration especially in cancer imaging. The Computed Tomography (CT), Magnetic Resonance Imaging (MRI) and Nuclear Imaging systems are most common non invasive modality used in cancer imaging at initial staging and post-treatment monitoring. To increase the clinical value, mono-dality imaging system are now combined, integrating various modalities into a single hybrid system with improved accuracy in cancer imaging. The success story is partly contributed by the discovery of 2-deoxy-2-(¹⁸F)fluoro-D-glucose (¹⁸F-FDG), a potential imaging bio-tracer in Positron Emission Tomography (PET) imaging. Farther to this, the recent nastrotic concept of medical imaging has created a new path in innovating the future role of medical imaging in molecular medicine. Perhaps, the future direction of clinical medical imaging will be directed toward the development of multifunctional nano-medical platforms for targeted imaging or simultaneous diagnosis and therapy including CT and MR where the therapeutic effect of drug delivery can be visualized during personalized therapy.
**Keywords:** Medical Imaging Technology, PET, CT, MRI, cancer imaging, nano particles.
---
**IL-9**
**Track:** Drug Discovery in Preclinical Research
**THE DISCOVERY OF POTENT SMALL MOLECULE GK-GKRP DISRUPTORS FOR THE TREATMENT OF DIABETES**
*Mark H. Norman, Kate S. Ashton, Kristin L. Andrews, Marion C. Bryan, Michael D. Bartberger, Jie Chen, Kui Chen, Michelle Chen, Michael Croghan, Samer Chmait, Rod Cupples, Elizabeth Galbreath, Joan Helmering, Fang-Tsao Hong, Steven R. Jordan, Roxanne K. Kunz, Robert J. M. Kurzela, Longbin Liu, Klaus Michelsen, Nobuko Nishimura, Lewis D. Pennington, Steve F. Poon, Darren Reid, Glenn Sivits, Markian M. Stec, Nuria Tamayo, Seifu Tadesse, Gwyneth Van, Steve L. Vonderfecht, Robert C. Wahl, Kevin Yang, Jiandong Zhang, David J. Lloyd, Clarence Hale, Christopher Fotsch, David J. St. Jean, Jr.*
*Amgen, Inc. One Amgen Center Drive, Thousand Oaks, CA 91320-1799, USA; E-mail: email@example.com*
Glucokinase (GK) is an enzyme that converts glucose to glucose-6-phosphate (G6P) and is predominately expressed in pancreatic β-cells and liver hepatocytes. Its endogenous inhibitor, glucokinase regulatory protein (GKRP), binds to and sequesters GK in the nucleus, preventing glucose phosphorylation at fasting. Thus the GK↔GK-GKRP equilibrium plays an important role in regulating glucose uptake and glycogen synthesis. As a result, modulating blood glucose via the GK pathway presents a promising treatment of type II diabetes mellitus (T2DM). The prevailing approach has
focused on compounds that directly hyperactivate GK via allosteric binding (GK activators – GKA). One potential liability associated with this class of compounds is the development of hypoglycemia upon alteration of the intrinsic enzyme kinetics of GK. To mitigate this risk, we explored an alternative mechanism that increases GK-mediated glucose phosphorylation by disrupting the binding of GKRP to GK. In this presentation, we will describe the identification of a screening hit that led to the discovery of the initial tool compound (AMG-1694) with a suboptimal PK profile. Subsequent metabolic profiling along with structural-based optimization resulted in the discovery of a novel and stable small-molecule GK-GKRP dissociator (AMG-3969). This compound potently induced the dissociation of the GK-GKRP complex as well as promoted GK translocation in both *in vitro* and *in vivo* assays. Furthermore, AMG-3969 reduced blood glucose levels in rodent models of diabetes while showing no effect in euglycemic animals. These results represent the first successful discovery of a small molecule that targets the GK-GKRP complex as a novel pathway for managing blood glucose levels.
**II-111**
**Track:** CNS Drug Discovery & Therapy
**VISUALIZATION OF THE BRAIN STATE USING CALCIUM IMAGING USEFUL FOR THE DRUG SCREENING**
**Makoto Osanai**
*Tohoku University, Graduate School of Medicine, 2-1 Seiryo-machi, Aoba-ku, Sendai 980-8575, Japan; E-mail: firstname.lastname@example.org*
To evaluate the effects of the drugs on diseases in central nervous system, the neuronal activities should be diagnosed. Traditionally, the electrophysiological method with single electrode was widely used for recording the neuronal activities. However, this method can record only single or a few cell activities. For the high-throughput drug screening, the multineuronal activities, or the behavior of the neuronal networks should be diagnosed, with or without a drug. For this aim, the spatio-temporal activities of multiple neurons have to be measured. In this regards, multicellular Ca$^{2+}$ imaging with a fluorescent dye is one of the most promising techniques. Ca$^{2+}$ enters through voltage-dependent Ca$^{2+}$ channels opened by action potentials, thus the changes in the intracellular Ca$^{2+}$ concentration ([Ca$^{2+}$]) indicates the neuronal activities. On the other hand, Ca$^{2+}$ is a universal and versatile signal transduction molecule. Ca$^{2+}$ can modulate the functions of proteins such as enzymes and receptors, gene expression, and morphological changes in cellular processes. Therefore, multicellular recording of [Ca$^{2+}$], provides the information, i.e. the state, concerning the behavior of the neuronal circuit and/or the intracellular signal transduction.
We conduct the Ca$^{2+}$ imaging study in the brain slice preparations. In the cortical slice preparation, we observed the signal propagation in the neuronal network of the visual cortex, and investigated the role of the inhibitory synaptic transmissions in the cortex. The inhibitory synaptic transmissions are known to be involved in the seizure and the depression. In the striatal slices, we found the metabotropic glutamate receptor (mGlur) dependent-spontaneous [Ca$^{2+}$], changes from individual neurons and glial cells. mGlur has been suggested as a therapeutic target for Parkinson’s disease. Recently, we have developed the ultrafine endoscope for Ca$^{2+}$ imaging. This endoscope makes it possible to record the multicellular activities in the deep brain region, allowing functional neuroimaging.
The Ca$^{2+}$ imaging method provides the useful information for drug discovery and can be powerful tool for the high-throughput drug screening.
**II-29**
**Track:** Drug Delivery and Targeting
**A FEW ASPECTS OF MOLECULAR PROGRAMMING DEVOTED TO THE SELECTIVE DELIVERY OF ANTICANCER DRUGS**
**Sébastien Papot**
*Head of the “Programmed Molecular Systems” team, Institut de Chimie des Milieux et des Matériaux de Poitiers, Université de Poitiers, 4 rue Michel Brunet, 86022, Poitiers, France; E-mail: email@example.com*
Despite several years of intensive research devoted to the discovery of novel anticancer agents, chemotherapy is still not entirely effective for the treatment of many solid tumors. Most of the drugs used clinically act by anti-proliferative mechanisms and lack any intrinsic selectivity, leading to severe adverse effects due to the destruction of normal tissues. Therefore, the development of more selective therapeutic approaches has become a major goal in cancer chemotherapy.
In recent years, a wide spectrum of drug carriers have been investigated with the aim to increase drug deposition in tumor while reducing its concentration in healthy tissues. Such compounds were designed to meet two key requirements: (1) the efficient recognition of malignant specificities and (2) the controlled release of anti-neoplastic agents exclusively at the tumor site. Within this framework, Brentuximab Vedotin has reached the market in 2011 for the treatment of lymphomas demonstrating the validity of this targeting strategy.
In this context, we developed a novel drug delivery system composed of four distinct units including a potent anticancer drug, an enzymatic trigger and a targeting moiety articulated around a self-immolative linker. Design as such, the targeting assembly is programmed to (1) transport potent anticancer agents in an innocuous manner toward safe tissues (2) recognize a malignant specificity located either at the surface of cancer cells or in the tumor microenvironment and (3) release the drug in a stringently controlled fashion upon a specific enzymatic stimulus.
The originality of this technology relies on the structure of the central linker that includes three different chemical functionalities suitable for the successive introduction of each part of the device. This allows the on-demand synthesis of a wide variety of drug-trigger-targeting device combinations and permits the custom design of the perfect assemblies for the treatment of particular cancers based on their unique tumor-associated specificities.
**II-10**
**Track:** Chemistry
**THE ANTIPROLIFERATIVE AND CYTOTOXIC ACTIVITIES OF SUBSTITUTED TETRAHYDROISOQUINOLINES ON MDA-MB-231 CELLS**
**Kinfe K. Redda**, Madhavi Gangapuram, Suresh Eyunni, Elizabeth Mazzio and Karam F. Soliman
*College of Pharmacy and Pharmaceutical, Professor and Interim Vice-President for Research, Sciences, Florida A&M University, Tallahassee, FL-32307 USA; E-mail: firstname.lastname@example.org*
Breast cancer is a leading cause of mortality among women, resulting in more than half a million deaths worldwide each year. The taxanes, paclitaxel and docetaxel, a microtubule-stabilizing drug has emerged as an important chemotherapeutic agent in the treatment of breast cancer. This taxane interacts with β-tubulin and arrests cells at G2/M phase, blocking normal spindle assembly and cell division, but long-term treatment is limited due to the toxic side effects. Discovery of new antimicrotubule drugs with novel mechanism of action may be helpful to overcome these challenges. Steroidomimetic tetrahydroisoquinoline moieties were reported recently to be selective estrogen receptor modulators (SERMs) and microtubule disruptors. N-amination of substituted isoquinolines by an aminating agent O-mesitylene sulfonylhy-droxylamine followed by ylide formation and reduction yielded the desired substituted tetrahydroisoquinolines in moderate to good yields. These compounds were also evaluated for *in vitro* antiproliferative activity on MDA-MB-231 cell lines. In particular, 4-Ethyl-*N*-(7-hydroxy-3,4-dihydroisoquinolin-2(1H)-yl)benzamide showed a significantly effective IC$_{50}$ value of 0.51 µg/mL and 4-Ethyl-*N*-(3,4-dihydroisoquinolin-2(1H)-yl)benzamide showed IC$_{50}$ value of 0.64 µg/mL. This research was supported by the National Center for Research Resources and the National Institute of Minority Health and Health Disparities of the National Institutes of Health through Grant Number 8G12MD007582-28.
**II-40**
**Track:** Protein and Peptide Sciences
**DESIGNER PROTEINS FOR TARGETED BIOMEDICAL FUNCTION**
**Max Ryadnov**
*National Physical Laboratory, Teddington, Middlesex, TW11 OLW, UK; Email: email@example.com*
Rational protein design is a powerful tool for elucidating biomolecular phenomena at different time and length scales. Traditionally used in structural biology and for applications in biotechnology and biomaterials industry designer proteins provide an efficient strategy for relating molecular structure with function. Particular attention is being given to novel membrane-active polypeptides with broad spectra of biological activity.
Notable examples are antimicrobial polypeptides which are seen as promising drug candidates in post-antibiotic era. Their clinical potential is largely attributed to that widespread microbial resistance against them has yet to emerge. The peptides are innate immune regulators found in all multicellular organisms. Many of them fold into membrane-bound $\alpha$-helices and function by causing cell wall disruption in microorganisms. Here we highlight novel mechanisms of antimicrobial action and antagonism at the molecular and nano-to-microscales with applications in antimicrobial therapies [1,2], tissue engineering [3] and gene delivery [4].
REFERENCES
[1] Rakowska et al. Nanoscale imaging reveals laterally expanding antimicrobial pores in lipid bilayers. *Proc. Natl. Acad. Sci. USA* (2013), 110, 8918-8923.
[2] Ryan et al. Anti-antimicrobial peptides: coiled-coil-mediated host defense antagonism. *J Biol. Chem.* (2013), 288, 20162-20172.
[3] Bella et al. Arbitrary self-assembly of peptide extracellular microscopic matrices. *Angew. Chem. Int. Ed.* (2012), 51, 428-431.
[4] Lamarrue et al. GeT peptides: a single-domain approach to gene delivery. *Chem. Commun.*, (2011) 47, 9045-9047.
---
**II-26**
**Track:** CNS Drug Discovery & Therapy
**EFFECTS OF CEFTRIAXONE, $\beta$-LACTAM ANTIBIOTIC, IN RELAPSE-LIKE ALCOHOL DRINKING BEHAVIOR: A POSSIBLE ROLE FOR xCT AND GLT-1 ISOFORMS MODULATION OF GLUTAMATE LEVELS IN P RATS**
**Youssef Sari and Hasan Alhaddad**
*University of Toledo, College of Pharmacy and Pharmaceutical Sciences, Department of Pharmacology, Health Science Campus, 3000 Arlington Avenue, Toledo, OH 43614, USA; E-mail: firstname.lastname@example.org*
**Rationale:** We recently demonstrated that ceftriaxone treatment induced upregulation of glutamate transporter 1 (GLT1) levels as well as attenuated ethanol intake. **Objectives:** In this study, we investigated the effect of ceftriaxone on the levels of cystine/glutamate exchanger (xCT), GLT-1 isoforms, and another glial cell protein such as glutamate aspartate transporter (GLAST) in relapse-like ethanol-drinking behavior. **Methods:** P rats were exposed to free choice of 15% and 30% ethanol, and water for five weeks, and then deprived from ethanol for two weeks. Furthermore, P rats treated with ceftriaxone (100 mg/kg, i.p.) or vehicle during the last five days of the two-week deprivation period. **Results:** We found that ceftriaxone treatment significantly attenuated relapse-like ethanol-drinking behavior that persisted for nine days upon re-exposure to ethanol drinking. However, water intake increased significantly in ethanol ceftriaxone-treated rats compared to ethanol vehicle-treated rats. Importantly, ceftriaxone-mediated attenuation in relapse-like ethanol-drinking behavior was associated in part with upregulation of the levels of GLT-1$\alpha$ and GLT-1$\beta$ isoforms, and xCT in the PFC and the NAc. We did not observe any significant differences in GLAST expression among all groups, which indicated the specific action of ceftriaxone on xCT and GLT-1 isoforms expression. **Conclusion:** These findings suggest that xCT and GLT-1 isoforms might be target proteins for the treatment of relapse to alcohol consumption.
**Keywords:** Relapse, glutamate, ethanol intake, GLT-1$\alpha$, GLT-1$\beta$, xCT.
---
**II-20**
**Track:** CNS Drug Discovery & Therapy
**DNA-APTAMER AS NEW TYPE OF DRUGS**
**Vera Alekseevna Spiridonova, Mazurov A.V., Dobrovolsky A.B. and Tupitsyn N.N.**
*Belozersky Institute of Physical-Chemical Biology, Lomonosov Moscow State University, Moscow, Russia; E-mail: email@example.com*
Intravascular clot formation causes serious diseases such as stroke and myocardial infarction, postoperative complications, etc. Today, the basic means for treatment of these pathological states include anticoagulants, or drugs affecting blood coagulation by inhibiting fibrin formation (heparin and its derivatives, indirect anticoagulants, direct thrombin inhibitors); thrombolytics, which activate the fibrinolytic system and clot dissolution (streptokinase, urokinase, etc.); and antiaggregants, or drugs inhibiting blood platelet aggregation (e.g., aspirin).
Thrombin is a protease that plays a key role in the coagulation cascade. Direct thrombin inhibitors are a promising class of antithrombotic agents, and their development and introduction into clinical practice can significantly contribute to treatment and prevention of various thrombotic disorders. Using the SELEX methods there are created fragments DNA (aptamers) a new class of drugs with high affinity to the target molecule. In essence, aptamers are functional equivalents of monoclonal antibodies [1, 2].
DNA aptamers against thrombin, the central enzyme of the blood coagulation system [3-6], inhibit its activity in reactions with fibrinogen and blood platelets. We have studied a single-stranded DNA aptamer RE31 consisting of 31 nucleotides, estimating its inhibitory activity from the activated partial thromboplastin time (APTT) and prothrombin time (PT) in human blood plasma. RE31 proved to inhibit clot formation. In experiments with rats, its effective life span in circulating blood was about 10-15 min. [6]. Aptamers administered in the form of protamine-containing polyelectrolyte complexes remained active *in vivo* for up to 12 hours, compared to the control.
Using the SELEX technique [1, 2], we produced a family of DNA aptamers against interleukin-6 (IL-6). To this end, recombinant IL-6 in active form was produced [7]. This cytokine interacts with the cell-surface receptor complex containing signal-transducing glycoprotein gp130. In particular, IL-6 signaling is responsible for proliferation of precursor blood cells [8], and its increasing concentration in the circulating blood creates the risk of more aggressive cancer development. The affinity of aptamer 120G to IL-6 was estimated by means of surface plasmon resonance, a modern physical method. The apparent dissociation constant of the IL-6-120G complex reached 9 nM, being comparable to those of IL-6 complexes with monoclonal antibodies. The method of flow cytometry was used to evaluate the inhibitory effect of this aptamer on the formation of a complex between IL-6 and gp130.
Prospects for using DNA aptamers for therapeutic purposes are discussed.
The work was supported by RFBR grant no. 11-04-01530.
[1] Tuerk C., Gold L. Science, 1990, 249 (4968), 505-510.
[2] Ellington A.D., Szostak J.W. Nature, 1990, 346 (6287), 818-822
[3] Bock L.C., Griffin J.H., Srinivasan V., Yermanos D.S., Toole J.J. Nature, 1992, 355, 564-566.
[4] Tuzikov M., Klimov M.F., Strelkov V. J Mol Biol, 1997, 272, 688-698.
[5] Macaya R.P., Schulzle P., Smith F.W., Roe J.A., Feigson J. Proc Natl Acad Sci USA, 1993, 90, 3745-3749.
[6] Spiridonova V.A., Biomed Khim (Moscow), 2010, 56, 639-656. Dobrovolsky A.B., Titieva E.V., Khaspekovka S.G., Spiridonova V.A., Kopylov A.M., Mazurov A.V. Bull Exp Biol Med, 2009, 148 (1), 33-36.
[7] Spiridonova V.A., Lyagina A.S., Anokhina M.M., Tupitsyn N.N., Biochemistry (Moscow), 2007, 72 (4), 424-429.
[8] Tupitsyn N., Kadagidze Z., Gaillard J.P. Clin Lab Haematol, 1998, 20, 345-352.
**II-28**
**Track: Innovative Drug Discovery and Nanotechnology**
**NOVEL BRAIN-CHIP TECHNOLOGY PROVIDES BREAKTHROUGH FOR HIGH TO MID-THROUGHPUT DRUG SCREENING OF NEURONAL AND CARDIAC CELLS**
**Naweed I. Syed**
*FRCP (Edin), Department of Cell Biology and Anatomy, Hotchkiss Brain Institute, Faculty of Medicine, University of Calgary, Calgary, Alberta T2N 4N1, Canada; E-mail: firstname.lastname@example.org*
To understand brain function and how best to regain lost nervous system function, we have developed several novel neuron-chip technologies. These chips also offer opportunities for drug discovery at the mid-throughput level. Planar patch-clamp chips have been developed to screen drugs targeted at ion channels embedded in neuronal and cardiac cells. However, the available planar patch-clamp chip approach is limited only to suspended cell lines transfected with ion channels – thus limiting their physiological and pathological utility. We report here for the first time, on the development of planar patch-clamp chips suitable for recording ion channel activity from cultured neurons placed either at single- (silicon: Si chips) or dual-sites (polyimide: PI chip). This approach allows us not only to monitor ion channel activities underlying intrinsic membrane properties but also provides access to synaptic currents between the paired cells. We successfully recorded evoked post-synaptic potentials (EPSPs) and currents (EPSCs), and
synaptic potentiation that form the basis for learning and memory in the nervous system. Simultaneous, dual-site chip recordings were obtained over days from synaptic pairs, and dedicated cytoplasmic perfusion of individual neurons via on-chip subterranean microfluidics was possible without disrupting the whole-cell configuration. Recordings of synaptically connected neurons on a patch-clamp chip have tremendous value as a model to investigate synaptic function, and also as an advance drug development tool for diseases such as Epilepsy, Parkinson, Alzheimer’s and mental disorders.
**IL-60**
**Track:** Biologics
**THERAPEUTIC TARGETING OF INTERLEUKIN-6 RECEPTOR FOR IMMUNE-MEDIATED DISEASES**
*Toshio Tanaka*
*Department of Clinical Application of Biologics, Osaka University Graduate School of Medicine, 2-2 Yamada-oka, Suita City, Osaka 565-0871, Osaka, Japan; E-mail: email@example.com*
Interleukin (IL)-6 is a typical cytokine featuring redundancy and pleiotropic activity. A transient expression of IL-6 contributes to host defense against pathogens and tissue injuries. However, dysregulated continual IL-6 production plays a significant pathological role in various immune-mediated diseases, so that tocilizumab, a humanized anti-IL-6 receptor antibody was developed. Clinical trials have demonstrated the outstanding efficacy of tocilizumab for patients with rheumatoid arthritis, Castleman’s disease or systemic juvenile idiopathic arthritis, resulting in approval of this innovative biologic for the treatment of these diseases. Moreover, various recent favorable results from off-label use of tocilizumab suggest that it can be widely applicable for other chronic inflammatory and autoimmune diseases including systemic sclerosis, polymyositis, relapsing polychondritis, giant cell arteritis, polymyalgia rheumatica, and amyloid A amyloidosis. I will present current evidence as well as future perspectives of IL-6 receptor blockade therapy for immune-mediated diseases.
**IL-88**
**Track:** Anti-Cancer Drug Discovery & Therapy
**SERUM BIOMARKER PANELS FOR TARGET THERAPY IN BRAIN TUMORS**
*Cristiana Tanase, D.I. Popescu, E. Codrici, S. Mihai, A.M. Enciu, M.L. Cruceru, A. Popa, R. Albulescu*
*Victor Babes National Institute of Pathology, Bucharest, Romania; E-mail: firstname.lastname@example.org*
One of the main goals of oncology is the development of biomarkers that have the potential to identify cancer risks, to help with the early detection and target therapy.
Proteomic profiling has recently become one of the most important areas in cancer research, and a majority of currently available methodologies, such as xMAP technology and SELDI-TOF-MS, increasingly gains field in brain tumor research. These technologies may provide a panel of serum biomarkers for early detection and monitoring of disease progression.
Our data were obtained using xMAP technology (cytokine panels, signaling molecules) and SELDI-TOF-MS (protein profile).
By multiplex assay, we have identified a panel of overexpressed cytokine/growth factors and signaling pathways dysregulation.
SELDI-TOF proteomic profiling led to the selection of 110 protein peaks; a panel of 4 molecules has revealed a significant difference between brain tumors and controls.
Biomarker panels can discriminate between tumor types and control groups.
These techniques can be used for a rapid and efficient method in the discovery of serum biomarkers in brain tumors diagnosis. Among the advantages there are: early detection of the biomarkers/screening for molecular biomarkers, identification of potential therapeutic targets.
Study supported by Grant POSCCE-685/2010-2014.
---
**II.-83**
**Track:** Traditional Chinese Medicine
**THE CURRENT RESEARCH AND DEVELOPMENT OF TUJIA ETHNOMEDICINE**
**Wei Wang**
*TCM and Ethnomedicine Innovation & Development Laboratory, School of Pharmacy, Hunan University of Chinese Medicine, Hunan, 410208, China; Email: email@example.com*
Tuija ethnomedicine is one of the gems of Chinese folk medicine. 8 million the Tus live in the rural Wulin mountain area. They have developed their special ethnomedicine for the prevention and treatment of kinds of disease during thousands of years. The Tus trust the effect of the Tuija ethnomedicine and many folk medicines still are used widely in their ghetto so far. For example, typical Tuija “Qi (seven)” herb, which local trivial name includes the Chinese character “qi”, is good at curing the arthritis and inflammatory diseases. There are four major issues existing in the Tuija ethnomedicine. Firstly, how to protect the rare and endangered species? Secondly, many herbs have not been carried out the bio-guided phytochemistry investigations. Thirdly, majority of Tuija ethnomedicine have not established the quality control methods. Fourthly, there are safety concerns on these folk medicines. Anyway, the in-depth research and development of Tuija ethnomedicine will not only benefit the Tus, but also benefit the human beings.
---
**II.-102**
**Track:** Topics in Drug Targets
**ADVANCES IN THE TREATMENT OF SCHIZOPHRENIA IN COMPLIANCE WITH THE CLASSICAL NEUROTRANSMITTERS AND NEUROPEPTIDES INVOLVED**
**Felix-Martin Werner, Covenas, R.**
*Institute of Neuroscience of Castilla and León Max-Steenbeck-Str. 12, 07745 Jena, Germany Jena, Germany; E-mail: firstname.lastname@example.org*
**Introduction:** The paranoid and hallucinatory form of schizophrenia is due to alterations of classical neurotransmitters and neuropeptides in the mesolimbic system, the hippocampus and the prefrontal cortex. A question arises whether it is possible to derive new pharmacotherapies.
**Methods:** The alterations of classical neurotransmitters and neuropeptides and their effects on specific subreceptors are described. In the mesolimbic system, the susceptibility gene GAD 67 leads to GABA hypoactivity, and neuregulin-1 and dysbindin-1 lead to glutamate deficiency via NMDA receptors. The genes monoamine oxidase and COMT are associated with dopamine hyperactivity in the mesolimbic system and the hippocampus. A neural network in the involved brain centers is derived. In the mesolimbic system, GABAergic neurons weakly inhibit via GABAA receptors dopaminergic neurons which exert a high activity via D2 receptors. Tachykinin neurons strongly activate dopaminergic neurons via NK3 receptors. Glutamnergic neurons weakly inhibit via NMDA receptors 5-HT2C serotonergic neurons. But other subreceptors are also of importance. M4 Muscarinic cholinergic neurons antagonize D1 dopaminergic in the prefrontal cortex. Alpha4beta2 and alpha7 nicotinic cholinergic neurons activate GABAergic neurons in the hippocampus. CB1 cannabinoid neurons strongly inhibit cholecystokinin neurons in the prefrontal cortex, while an association between the CCKA gene and persistent auditory hallucinations has been found.
**Results:** A survey of the mechanism of action of the conventional and newer antipsychotic drugs is given. Antipsychotic drugs such as risperidone have a stronger D2 than 5-HT2A antagonistic effect and often cause dyskinesia. The antipsychotic drugs such as olanzapine and quetiapine have a stronger 5-HT2A antagonistic effect and have less extrapyramidal effects. It has to be examined whether OSU-6162 which exerts a partial agonism at the D2 and 5-HT2A receptors has a sufficient antipsychotic effect. Besides, it should be examined the susceptibility genes in a large cohort of
schizophrenic patients in order to answer the question which patients better respond to a pharmacotherapy with antipsychotic drugs: those with a stronger D2 antagonistic or those with a stronger 5-HT2A antagonistic effect. The mechanism of action of antipsychotic drugs to be developed is indicated: an agonism at M4 receptors, an agonism at α4β2 or α7 nAchR’s, an antagonism at CB1 receptors, an antagonism at NK3 receptors and an agonism at CCKA receptors in order to treat persistent auditory hallucinations.
**Conclusion:** It is important to examine neural networks in the brain regions involved in schizophrenia in order to improve the understanding of the coherence between the function of susceptibility genes and the pathophysiology of the disease and to optimize a multimodal antipsychotic treatment.
---
**IL-81**
**Track:** Inflammation & Immunology
**CONTROL OF INFLAMMATION AND TUMORGENESIS BY CYTOGUARDIN A NOVEL TRYPTOPHAN METABOLITE**
**Kenneth K. Wu**
*Metabolomic Research Center, China Medical University, National Health Research Institutes and National Tsing-Hua University, Taiwan; E-mail: email@example.com*
We previously proposed that human fibroblasts produce small molecule soluble factors which suppress Cyclooxygenase-2 (COX-2) and control inflammation. The soluble factors were named cytoguardin. Using comparative metabolomic analysis, we recently identified 5-methoxytryptophan (5-MTP) as cytoguardin (Cheng et al PNAS 2012) and mapped the 5-MTP synthetic pathway in human fibroblasts and endothelial cells. 5-MTP inhibited proinflammatory mediator-induced COX-2, inducible nitric oxide synthase and proinflammatory cytokine expressions by suppressing p300 histone acetyltransferase (HAT) and NF-KB activation. 5-MTP was effective in controlling sepsis via suppression of cytokine storm in murine model. Furthermore, it reduced cancer cell proliferation, migration and invasion *in vitro* and cancer growth and metastasis in a murine xenograft tumor model. Our findings indicate that 5-MTP is a valuable lead compound for new anti-inflammatory drug development and for cancer chemoprevention.
---
**IL-6**
**Track:** Combinatorial Chemistry
**SYNTHESIS AND FUNCTION OF MULTIDOMAIN OLIGOMERS CONTAINING HELICENE**
**Masahiko Yamaguchi**
*Department of Organic Chemistry, Graduate School of Pharmaceutical Sciences, Tohoku University, Sendai 980-8578, Japan; E-mail: firstname.lastname@example.org*
Proteins are multidomain compounds containing different structures and properties at domains, and function emerges as their combination. It is therefore interesting to study how the combination of domains affects the property of multidomain compounds, and use of synthetic multidomain oligomers can promote our understanding of protein function. It was found that, when each domain exhibits different properties under well-designed system, the whole molecule can exhibit property not observed in the single domain oligomer: Such phenomena may be noted as synthesis of properties or function. Using bidomain oligomers containing helicene, synthesis of $\alpha\alpha\beta\beta$ tetermeric aggregates [1] and development of reversible organogel shrinkage were conducted.
**REFERENCE**
[1] Ichinose, W.; Ito, J.; Yamaguchi, M. *Angew. Chem. Int. Ed.*, 2013, 52, 5187.
PREPARATION OF THE ELECTROSPUN PCL BASED ANTI-INFECTION DRUG-LOADED GUIDED TISSUE REGENERATION MEMBRANES AND COMPARISON OF THEIR STRUCTURE AND PERFORMANCE
Liqun Zhang, Jiajia Xue, Rui Shi, Dafu Chen
State Key Laboratory of Organic–Inorganic Composites, Beijing University of Chemical Technology, Beijing 100029, P.R. China; E-mail: email@example.com
Infection is the major reason causing the GTR/GBR membrane failure in clinical. Herein, we developed a localized anti-infection drug delivery system to prevent the occurring of infection by inhibiting the bacterial colonization and reducing the foreign body response. An antibiotic, metronidazole (MNA), was successfully incorporated into different kinds of nanofibers at different concentrations (0, 1, 5, 10, 20, 30 and 40 wt.% polymer), in a single-step electrospinning process.
The physical-chemical and mechanical properties of the electrospun MNA-loaded PCL nanofibrous membranes were systemic investigated in-depth. In vitro drug release studies demonstrated that MNA released in a controlled sustained manner over 2 weeks. The electrospun PCL-MNA nano-fibrous membranes showed antibacterial activity over 30 days which was assessed by in vitro static experiment against Fusobacterium nucleatum bacteria. L929 Cells could adhere to and proliferate on all membranes while cells proliferated best on the membrane with 30% MNA. In vitro results indicated that 30% drug loaded nano-fibrous membrane possessed best comprehensive properties. Analysis of subcutaneous implants demonstrated that the PCL nanofibers encapsulating 30% MNA evoked a less severe inflammatory response than the pure PCL nanofibers examined. To improve the biocompatibility and biodegradation rate of the PCL-MNA membrane, natural material gelatin was introduced into the system. We developed PCL/gelatin-MNA (PCL:gelatin=5:5) electrospun biomimetic nano-fibrous membranes. In vitro and in vivo characterization results of the membranes showed a significant improvement of the biocompatibility and biodegradation rate of the membranes while the sustained drug release profile, mechanical property, antibacterial activity and cells barrier function still maintained. However, phase separation between PCL and gelatin was found during the electrospinning process, which will influence the nanofiber performance and the quality control of the product. A tiny amount (0.1%) of acetic acid was introduced into the electrospinning solution to improve the miscibility and compatibility of PCL and gelatin. Nanofibers thus obtained appeared to be homogeneous with enhanced performance in nanofibers morphology, drug dispersion and mechanical properties of the membranes. Subcutaneous implantation of the PCL/gelatin-MNA and PCL/gelatin/HAc-MNA membranes demonstrated that the drug-loaded membranes evoked a less severe inflammatory response and inhibited the bacterial colonization with a proper biodegradation rate matching the tissue regeneration rate. Through comparison of these three kinds of membranes, the PCL/gelatin/HAc-MNA membranes could be the most suitable material system for anti-infection GTR membrane. This localized drug delivery system may also be broadly applied to more biomedical applications such as wound healing and anti-adhesive membranes.
Keywords: Guided tissue regeneration, electrospinning, PCL, metronidazole, anti-infection, controlled delivery.
SESSION LECTURES
**SL-86**
**Track:** Anti-Infectives
**ANTIMICROBIAL ACTIVITY OF ESSENTIAL OILS ALONE AND IN COMBINATION WITH SOME STANDARD ANTIMICROBIALS AGAINST DIFFERENT PATHOGENS ISOLATED FROM SOME INFECTIOUS DISEASES**
Rehab M. Abd El-Baky, Abo Bakr F. Ahmed, Abo Bakr M. Mahmoud, Gamal F. Mahmoud Gad
*Department of Microbiology, Faculty of Pharmacy, Minia University, El-Minia 61519, Egypt; E-mail: firstname.lastname@example.org*
The clinical effectiveness of most of the marketed antimicrobials is found to be threatened by the rapid emergence of multidrug resistant pathogens which increase the need to find alternatives. Hundred years ago, essential oils have been known for their biologic activities in the folkloric medicine in many countries. The objective of our study was to investigate the antibacterial activity of some essential oils against different microorganisms and to study the possible effects between the tested oils and some standard antimicrobials. The antibacterial activity of 11 essential oils was evaluated against *Staphylococcus aureus*, *E. coli*, *Klebsiella pneumoniae* and *Pseudomonas aeruginosa* and 50 clinical strains isolated from different infections each alone and in combination with some standard antimicrobials using well diffusion method. Minimum inhibitory concentrations were determined using linear regression analysis. Results showed that all tested essential oils have good antimicrobial activity. As Coriander oil showed the highest antimicrobial activity against *Staphylococcus aureus* and *Klebsiella pneumoniae* followed by Origanum and Ivy oil. Cumin oil showed the highest activity against *E. coli* followed by Origanum oil while Chamomille and Onion oil showed the highest activity against *Pseudomonas aeruginosa*. *In-vitro* interaction between the tested antimicrobials and oils showed variable results against the tested bacteria. The results are of significance in health care system and microbial diseases treatment. As our study showed that essential oils possess good antimicrobial activity against the tested strains. Most of essential oils/antimicrobials combinations showed synergistic effects. Essential oils can be used as adjuvant to antibiotic therapy.
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**SL-37**
**Track:** Anti-Cancer Drug Discovery & Therapy
**CATHETER-RELATED BLOODSTREAM INFECTIONS: UPDATE ON MANAGEMENT AND PREVENTION**
Nabil Abouchala
*Consultant, Pulmonary & ICU, Department of Adult Critical Care Medicine, Medical Director, MS ICU-C, MBC 94, P.O. Box 3354, King Faisal Hospital and Research Center, Riyadh, 11211, Saudi Arabia; E-mails: email@example.com or firstname.lastname@example.org*
Central venous catheters (CVCs) are an essential tool in adult intensive care (ICU), providing means to monitor patient hemodynamics and to administer fluids, nutrition, blood products and medications. Because multiple factors contribute to the high risk of catheter related infection, a multi-strategy approach is required to prevent such infections. The incidence of catheter-related blood stream infection (BSI) ranges from 2-5 per 1000 CVC days [1], with attributable mortality rates of 4-20% [2]. It prolongs hospital stay with an average cost of 3,700 to 29,000 dollars per catheter infection [3].
A CVC bundle that incorporates the Center for Disease Control (CDC) Guidelines for Prevention of BSI that incorporates best practices in order to prevent BSI. The central line bundle has five key components: 1. Hand hygiene 2. Maximal barrier precautions 3. Chlorhexidine skin antisepsis 4. Optimal catheter site selection, with subclavian vein as the preferred site for non-tunneled catheters 5. Daily review of line necessity, with prompt removal of unnecessary lines.
This CVC bundle is an effective way to decrease BSI. Prevention of BSI requires concerted efforts on the part of hospital administration, physicians, and ICU personnel. The PI program must be evidence-based, maintained, and accepted by ICU personnel. Continued education and feedback are crucial to maintain a low CRBSI rate.
REFERENCES
[1] National Nosocomial Infections Surveillance (NNIS) System Report, data summary from January 1992 through June 2004. Am J Infect Control. 2004 Dec; 32(8):470-85
[2] O’Grady, NP, Alexander, M, Dellinger, EP, et al., Guidelines for the prevention of intravascular catheter-related infections. Centers for Disease Control and Prevention. MMWR 2002; 51(IRR-10):1
[3] Pittet D, Tarara D, Wenzel RP. Nosocomial bloodstream infection in critically ill patients. Excess length of stay, extra costs, and attributable mortality. JAMA. 1994; 271:1598-1601.
[4] Soufri L, et al. Attributable morbidity and mortality of catheter-related septicemia in critically ill patients: a matched, risk-adjusted cohort study. Infect Control Hosp Epidemiol. 1999; 20(6):396-401.
[5] Gaynes JS, et al. CDC definitions for nosocomial infections, 1988. Am J Infect Control 1988 Jun;16(3):128-40. PMID-2841893
SL-122
Track: Medical Imaging
HOPE AND INNOVATIVE CANCER DIAGNOSTICS BY RAMAN SPECTROSCOPY AND RAMAN IMAGING
Halina Abramczyk
Laboratory of Laser Molecular Spectroscopy, Department of Chemistry, Technical University of Lodz, Poland; E-mail: email@example.com
There is strong interest in the development of highly sensitive optical imaging technologies that would shift medical diagnosis to the next level in pathogen detection, gene identification, gene mapping and DNA sequencing. The optical imaging systems are ideally suited for early detection of intraepithelial diseases, including most cancers, and to assess tumor margins and therapy response. Raman imaging is an emerging field that has generated a lot of interest both for the label free Raman methods, as well as for the unique properties of nanoparticles applied as Raman reporters of proteins and nucleic acid targets. The medical applications of Raman imaging are a rapidly developing area of molecular biospectroscopy that create new possibilities in human cancer diagnostics. Raman imaging provides with remarkable possibilities as a label free method, nanoparticle enhanced for in vivo cancer detection, as well as for monitoring of treatment response. In the presentation, we give an overview of the use of Raman imaging in oncology, with particular focus on the diagnosis of breast cancer. We will present recent progress obtained in our laboratory on understanding a vibrational fingerprint from the biological tissue which can be used to identify, characterize and discriminate structures in breast tissue, both in the normal (noncancerous) and cancerous environment by confocal Raman imaging and IR spectroscopy. The most important differences between the noncancerous and cancerous tissues were found in regions characteristic for vibrations of carotenoids, fatty acids, proteins, and interfacial water. The contribution demonstrates that Raman imaging has reached a clinically relevant level in regard to breast cancer diagnosis applications.
REFERENCES
[1] H. Abramczyk, B. Brozek-Pluska, Raman Imaging in Biochemical and Biomedical Applications. Diagnosis and Treatment of Breast Cancer. Chemical Reviews 2013, 113, 5766-5781.
[2] H. Abramczyk, B. Brozek-Pluska, M. Tomaszewska, A. Freysz, Ultrafast Dynamics of Metal Complexes of Tetrasulfonated Phthalocyanines at Biological Interfaces: Comparison between Photochemistry in Solutions, Films, and Noncancerous and Cancerous Human Breast Tissues. J. Phys. Chem C 2013, 117 (10), 4999-5013.
[3] J. Surmaczki, J. Musial, R. Kordek, H. Abramczyk, Raman imaging at biological interfaces: applications in breast cancer diagnosis. Mol. Cancer 2013, 12, 48.
[4] H. Abramczyk, B. Brozek-Pluska, J. Surmaczki, J. Jablonska-Gajewicz, R. Kordek, Raman ‘optical biopsy’ of human breast cancer. Current Topics in Bioanalysis and Molecular Biology. 2012, 108, 74-81.
[5] H. Abramczyk, B. Brozek-Pluska, J. Surmaczki, J. Jablonska-Gajewicz, R. Kordek, Hydrogen bonds of interfacial water in human breast tissue compared to lipid and DNA interfaces. Journal of Biophysical Chemistry, 2011, 2, 158-169.
[6] A. Jarota, B. Brozek-Pluska, W. Czajkowski, H. Abramczyk, Water confined in films of sulphonated phthalocyanines. J. Phys. Chem. C, 2011, 115 (50), 24920-24930.
[7] B. Brozek-Pluska, J. Jablonska-Gajewicz, R. Kordek, H. Abramczyk Phase transitions in oleic acid and in human breast tissue as studied by Raman spectroscopy and Raman imaging. J. Med. Chem. 2011, 54, 3386-3392.
[8] H. Abramczyk, B. Brozek-Pluska, J. Surmaczki, J. Jablonska, R. Kordek The label-free Raman imaging of human breast cancer. J. Mol. Liq. 2011, 164, 123-131.
[9] H. Abramczyk, J. Surmaczki, B. Brozek-Pluska, Z. Morawiec, M. Tazbir, The Hallmarks of Breast Cancer by Raman Spectroscopy, J. Mol. Struc. 2009, 924-926, 175-182.
**SL-78**
**Track:** Hot topics in Medicinal Chemistry
**NOVEL 1-[4-(AMINOSULFONYL)PHENYL]-1H-1,2,4-TRIAZOLE DERIVATIVES WITH REMARKABLE SELECTIVE COX-2 INHIBITION: DESIGN, SYNTHESIS, MOLECULAR DOCKING, ANTI-INFLAMMATORY AND ULCEROGENICITY STUDIES**
Gamal El-Din A.A. Abuo-Rahma, Mohamed Abdel-Aziz, Nahla A. Hassan and Tamer S. Kaoud
*Department of Medicinal Chemistry, Faculty of Pharmacy, Minia University, 61519-Minia, Egypt; E-mail: firstname.lastname@example.org*
A group of novel 1-[4-(Aminosulfonyl)phenyl]-1H-1,2,4-triazole amide derivatives 6a-j in addition to their corresponding ester 4 and hydrazide 5 were prepared as shown in scheme 1. The target compounds are designed to fulfill the best pharmacophore for selective COX-2 inhibitors using triazole as a bioisostere for the heterocyclic ring. In addition, they contain an amide group, or its bioisosteres, the ester and hydrazide moieties as extra-binding sites towards COX-2 that may enhance the selectivity. The prepared compounds experienced significant anti-inflammatory activity using carrageenan-induced rat paw edema method compared to celecoxib and indomethacin. Calculation of ulcer indices showed minimum gastric ulceration. Moreover, studies of molecular docking and selectivity to COX-1 and COX-2 isozymes showed remarkable COX-2 selectivity.
6a, R = H; 6b, R = Isopropyl; 6c, R = Cyclohexyl; 6d, R = Benzyl; 6e, R = 4-CH$_3$-Phenyl; 6f, R = 4-OCH$_3$-Phenyl; 6g, R = 3,4-Di-OCH$_3$-Phenyl; 6h, R = 4-Cl-Phenyl; 6i, R = 4-CH$_3$CO-Phenyl; 6j, R = 2-Benzothiazolyl.
**SL-67**
**Track:** Hot topics in Medicinal Chemistry
**NITRIC OXIDE DONOR HYBRIDS: RECENT APPROACH IN DRUG DEVELOPMENT**
**Gamal El-Din A.A. Abuo-Rahma**
*Department of Medicinal Chemistry, Faculty of Pharmacy, Minia University, 61519-Minia, Egypt; E-mail: email@example.com*
Nitric oxide (NO) is a magic molecule endogenously discovered as endothelium derived relaxing factor. Besides its vasodilatation effect, NO is involved in many physiological and pathophysiological processes like inhibition of platelets aggregation and immune defense against viruses, bacteria and cancerous cells. A number of disorders are associated with impaired synthesis and/or increased degradation of vascular NO, such as hypertension and hypercholesterolemia. The so called NO donors which are compounds having the ability to produce NO *in vivo* were introduced because of the short half-life of NO in biological systems and somewhat cumbersome nature of delivery of NO gas in controlled manner. One strategy in the development of new drugs is to combine a well-established bioactive molecule with a nitric oxide donor moiety, the produced hybrid molecule will dissociate releasing the bioactive molecule and NO, which may lead to synergistic effect, induce binary biological action and/or abolish detrimental side effects. This strategy was applied in the literature in several fields such as reduction of ulcerogenic liability of NSAIDs, potentiation of anticancer activity of 5-Fluorouracil and increasing the activity of calcium channel blockers. Moreover, this approach was applied with several known drugs like aspirin, corticosteroids, ketoconazole, nicorandil, captopril; or with biologically active chemical moieties like pyrazole, pyrazoline and chalcone or NO-generating materials that show particular promise.
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**SL-120**
**Track:** Drug Delivery and Targeting
**COLON CONTROLLED RELEASE DRUG DELIVERY SYSTEMS OF INDOMETHACIN USING HYDROPHILIC CARRIERS**
**Kadria A. Elkhodairy, Samar A. Afifi and Mahmoud El-Badry**
*Department of Pharmaceutics, College of Pharmacy, King Saud University, Riyadh, Saudi Arabia; E-mail: firstname.lastname@example.org*
This study aimed to investigate the efficacy of both xanthan gum (XG) and guar gum (GG) controlling the release rate of the poorly water soluble drug, indomethacin (IDM) from colon target drug delivery systems. Binary mixtures of the drug and the hydrophilic carrier (XG) in the ratios of 1:1 and 1:2 and tertiary mixture in the ratio of 1:1:1 IDM: XG: GG were prepared using three different approaches namely, physical mixture, co-grinding and solid dispersion. The prepared binary and tertiary systems were compressed into core tablets. The core tablets were evaluated for their drug content, weight variation, hardness, friability and *in-vitro* dissolution rate study. The dissolution profiles in pH 6.8 buffer solutions revealed that increasing the gum content in the core tablet resulted in a decrease in the IDM release rate. The core tablets were then coated with two different type of coat (inner and outer). The inner coat consisted of guar gum solutions of different concentrations (0.2, 0.4, 0.6, 0.8% w/v) to prevent the drug release in pH 7.4. Tablets were then coated with an enteric coat by dipping in 5% Eudragit (ER L100) ethanolic solution to inhibit the drug release in pH 1.2. The coated tablets were then dried using hot air. The prepared coated tablets were subjected to release rate study which indicated that the release of the drug was inhibited in pH 1.2 whereas; a low percentage of the drug was released in pH 7.4. In pH 6.8 the release profiles showed a sustained release of the drug over 18 hours. The coated tablets that showed the promising sustained release profiles were further evaluated in pH 6.8 buffer solution containing rat cecal content to study the effect of bacterial degradation on the polysaccharide gums.
NOVEL TARGETS IN THE IMMUNOMODULATION OF INFLAMMATORY DISEASES
Devendra K. Agrawal
Internal Medicine and Medical Microbiology & Immunology, Creighton University School of Medicine, Omaha, NE 68178, USA; Tel: 402-280-2938; Fax: 402-280-1421; Mob: 402-690-3667; E-mail: email@example.com
Our immune system serves as a surveillance mechanism that is responsible for monitoring invasion by foreign antigens, recognizing them, and protecting the body against their ill effects. The healthy immune system distinguishes between self and non-self antigens and thus protects the body’s healthy cells and tissues permitting normal function. Defense against foreign antigens takes place by activation of both innate (natural) and adaptive (specific or acquired) immune responses. The immune system evolves over time to recognize specific pathogens more efficiently to trigger adaptive immune responses and create immunological memory characterized by the induction of antibodies and memory cells. Disorders in the immune system can result in diseases. Thus, a proper functioning of the immune system has the greatest impact on human health, and it is not surprising that the immunobiology and the modulation of immune response in human diseases is currently receiving the most intense investigation, both on the basic and applied level. The Human genome project has advanced the field of genes responsible for body’s reaction to insults. Indeed, genetic variants between individuals could be one reason why some subjects develop diseases and others do not. These responses could also be significantly influenced by micronutrients, such as folic acid, vitamin D, magnesium, anti-oxidants, in our diet and environment. However, there is an urgent need to increase our knowledge on the underlying cellular and molecular mechanisms of the disease by examining blood and tissue samples from the patients at opposite ends of various disease spectrums to identify specific targets for therapy. This would provide potential target sites for treatment.
Despite tremendous interest in the immunobiology of human diseases, even today we know little about the complex interplay of the functional response of immune cells in regulating defensive and pathophysiological events in the disease process. Immunomodulators have been developed and some of them are currently in the clinics, including monoclonal antibodies against IgE, TNF-α receptor antibody, and others in phase II and III clinical trials. However, in recent years, many new potential sites/molecules for immunomodulation have emerged. These include: (1) Toll-like receptors, (2) Triggering Receptor Expressed on Myeloid Cells (TREM-1 and TREM-2), (3) Receptor for Advanced Glycation End Products (RAGE), (4) High Mobility Group Box 1 (HMGB1), (5) Prohibitin, and (6) Contact sensitizing agents. In addition, potential role of micronutrients, including vitamin D, as potent immunomodulators is recognized. Indeed, Vitamin D is one of the key micronutrients of modern times. The importance of this micronutrient began with elucidating the role of vitamin D in the maintenance of musculoskeletal health by regulating calcium homeostasis, and thus bones formation and resorption. Only recently the role of vitamin D in extraskeletal tissues has been recognized. Vitamin D is a potent regulator of both innate and adaptive immunity as it relates to host defense from infections as well as auto-immunity in which the immune cells turn against self-antigens. There is a fine balance between a protective and pathogenic immune response in a healthy human host. If this balance is altered it can lead to disease induction.
In my presentation, goal is to discuss the underlying pathophysiological mechanisms of cardiovascular and metabolic diseases involving various immune cells and cytokines and point out the role of novel immunomodulators to produce more effective clinical response in pre-clinical studies. New knowledge on the potential target sites in the prevalent cardiothoracic, vascular and metabolic diseases will provide an opportunity to develop novel therapeutic modalities to significantly reduce the health care cost for society and better life.
**SL-104**
**Track:** Anti-Infectives
**ANTIMICROBIAL ACTIVITY OF TWO WOOD DECAYING FUNGI**
**Christian Agyare, Theresa Appiah, Vivian Etsiapa Boamah and Francis Adu**
*Department of Pharmaceutics, Faculty of Pharmacy and Pharmaceutical Sciences, Kwame Nkrumah University of Science and Technology, Kumasi, Ghana; E-mail: firstname.lastname@example.org*
**Introduction:** Treatment failures due to pathogens resistant to antibiotics have been reported all over the world [1]. This has necessitated the need to search for new and effective antimicrobial agents. Fungi have, over the years, been a source of novel compounds with proven antimicrobial efficacy [2].
**Aim:** To investigate the antimicrobial activity of the methanol extracts of two wood decaying fungi; *Trametes gibbosa* (Pers.) Fr. and *Trametes elegans* (Spreng.) Fr.
**Method:** The mushroom species (*Trametes gibbosa* and *Trametes elegans*) were collected from bushes and farms in and around Ayecluse (Kumasi, Ghana). They were separately dried, powdered and extracted using 70% methanol and then filtered and filtrates lyophilized. The antimicrobial activity of the extracts were determined against *Staphylococcus aureus* ATCC 25923, *Bacillus subtilis* NTCC 4853, *Escherichia coli* ATCC 25922, *Pseudomonas aeruginosa* ATCC 4853 and clinical isolates of *Streptococcus pyogenes*, *Klebsiella pneumonia* and clinical isolate of *Candida albicans* using the agar well diffusion method and micro-dilution method [3].
**Results:** Methanol extract of *T. gibbosa* and *T. elegans* had antimicrobial activity against all the test organisms with minimum inhibitory concentration (MIC) ranging of 4 to 20 mg/mL for *T. gibbosa* and *T. elegans* had MIC of 6 to 8 mg/mL against test organisms. For *T. gibbosa* extract, the most susceptible organism was *B. subtilis* and the least active against *C. albicans* with MIC of 4 mg/mL and 20 mg/mL respectively. *T. elegans* demonstrated the least MIC value of 6 mg/mL each against *S. aureus*, *K. pneumonia*, *C. albicans* and *B. subtilis* and the highest MIC value of 8mg/mL each against *E. coli*, *P. aeruginosa* and *S. pyogenes*. The antimicrobial activity of *T. gibbosa* and *T. elegans* extract at the concentration of 30 mg/mL showed mean zone of growth inhibition with standard mean error (SEM) of $21.12 \pm 0.55$ to $18.33 \pm 0.133$ mm against test Gram-positive bacteria, $20.83 \pm 0.83$ to $17.00 \pm 1.03$ mm against test Gram-negative bacteria, $19.50 \pm 0.55$ mm against *C. albicans* and zone of growth inhibition ranging of $22.33 \pm 0.52$ to $18.00 \pm 0.75$ mm against Gram-positive bacteria, $23.50 \pm 0.52$ to $20.33 \pm 0.55$ mm against Gram-negative bacteria, $18.00 \pm 0.75$ mm against *C. albicans* respectively.
**Conclusion:** Methanol extracts of *T. gibbosa* and *T. elegans* exhibited broad spectrum activity against the test organisms.
**REFERENCES**
[1] Zetola et al. (2005). Community-acquired methicillin-resistant *Staphylococcus aureus*: An emerging threat. Lancet Infect Dis., 5(3):275-86.
[2] Knapp et al. (2010). Evidence of increasing antibiotic resistance gene abundances in Archived soils since 1940. J Environ Sci Tech., 44(10):580-587.
[3] Agyare et al. (2013). Antimicrobial and anti-inflammatory properties of *Funtumia elastica*. Pharm Biol., 51(4):418-25.
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**SL-52**
**Track:** Anti-Cancer Drug Discovery & Therapy
**PREFERENTIAL KILLING OF CANCER CELLS USING NANOPARTICLES**
**Maqsood Ahamed**
*King Abdullah Institute for Nanotechnology, King Saud University, Riyadh, Saudi Arabia; E-mail: email@example.com*
Cancer is a leading cause of death globally. The common treatments of cancer are surgery, radiation and chemotherapy. However, chemotherapy agents also show unexpected toxicity to tissues, and the patient can suffer from serious side effects. Consequently, there is an urgent need to develop new classes of anticancer drugs with new modes of action that better target cancer cells while sparing normal cells. In this regard, newly emerged field of nanomedicine can offer unique approaches. Nanomedicine deals with the application of nanotechnology in medicine, aims to overcome problems, related to human diseases, at the nanoscale (1-100 nm) where
most of the biological molecules exist and operate. Particularly, nanotechnology application to cancer aims to bring significant breakthroughs in diagnosis, treatment, and monitoring of cancer. Nanoparticles are increasingly being recognized for their potential applications in biomedicine such as imaging, drug/gene delivery and cancer therapy, due to their unique physicochemical properties. We investigated whether zinc oxide and iron oxide nanoparticles have potential to induce toxicity in a cell-specific and proliferation-dependent manner with rapidly dividing cancer cells being the most susceptible and quiescent cells being the least sensitive. We have utilized different types of cancer cells and normal cells. Results showed that both zinc oxide and iron oxide nanoparticles exert distinct effects on cell viability via killing of cancer cells while having less toxicity on normal cells. Molecular data suggested that nanoparticles selectively induce apoptosis in cancer cells which is likely to be mediated by reactive oxygen species via p53 pathway, through which most of the anticancer drugs trigger apoptosis. This study provides preliminary guidance for the development of nanoparticles as anticancer agents.
**SL-43**
**Track:** Anti-Cancer Drug Discovery & Therapy
**UPDATE ON HEPATOCELLULAR CANCER**
**Furqaan Ahmed**
*Visiting Faculty, The Aga Khan University, 128C KDA Scheme #1, Karachi, Pakistan 75350; E-mail: firstname.lastname@example.org*
Hepatocellular carcinoma (HCC) is annually diagnosed in more than half a million people worldwide. The highest incidence rates are seen in areas where hepatitis B is endemic, primarily in sub-Saharan Africa and Southeast Asia. Hepatitis C related HCC is a rapidly growing group, particularly in the West. The treatment of HCC is complicated by the wide variety of associated underlying liver diseases and by the need to balance efficacy with toxicity in patients with underlying advanced liver disease, including often, decompensated cirrhosis and portal hypertension. The Barcelona Clinic Liver CAncer staging is widely recognized as the standard system for evaluating and determining the prognosis of patients with HCC. There are five accepted therapeutic modalities: resection, transplantation, radiofrequency ablation (RFA), chemoembolization (TACE), and Sorafenib. Surgical resection is an option for a small subset of patients with solitary tumors and no portal hypertension. Otherwise, the best outcomes for patients with early-stage HCC is liver transplantation, with 5 year survival rates of up to 75%. Liver transplantation is resource intensive and although commonly used for HCC in the West, it is not as accessible in developing countries. If liver transplantation is not possible then local ablation is the next best option. TACE and RFA are good options for patients with intermediate-stage HCC. Perhaps the greatest advance in recent years is the introduction of Sorafenib, a small molecule multikinase inhibitor and which has antiproliferative and antiangiogenic properties. It is indicated in patients with advanced HCC and has been associated with a 37% increase in overall survival, apparently 2-3 months life gained. Other small molecules, including brivanib and erlotinib, and the monoclonal antibodies bevacizumab and cetuximab are currently being studied for HCC. Genomic analysis has been used to identify possible prognostic biomarkers, but further study is required for validation but further research is required for validation. Future research must focus on a better understanding of the molecular regulation of HCC which will assist in the identification of new molecular targets. The future of HCC treatment lies in personalized, likely combination, therapy administered by accessible, specialized multidisciplinary teams. Finally, prevention must be emphasized by hepatitis B vaccination, antiviral therapy, and HCC screening. Although many gaps exist in the data supporting such a program, screening for the early detection of HCC is widely endorsed.
**SL-94**
**Track:** Anti-Cancer Drug Discovery & Therapy
**SCREENING FOR NATURAL ANTI-HYPERTENSIVE DRUGS IN S. DISTICHUM**
*R. Albulescu, C. Tanase, A. Motaal, S. Shaker, I. Hassan, S. El-Bahrawy, M. Neagu, A. Grigore, G. Neagu, V. Vulturescu, G. Vassapolo, R. Bauer*
*National Institute Chemistry Pharmacy, R&D. Bucharest, Romania; Email: email@example.com*
Hypertension is one of the most frequent cardiovascular diseases all over the world. In Egypt there is a high incidence of hypertension, and there is a major focus on finding alternatives to classical medication.
Extracts and fractions from *S. distichum* were subject to *in vitro* studies in order to identify the anti-hypertensive fractions, to further assess citotoxicity and to estimate the potential of action. The assessment evaluated the modulation of secretory cytokines, feature that is often present in various polyphenolic extracts, and also the inhibition of serum angiotensin converting enzyme. Cytotoxicity was assessed *in vitro* on Huvec cells and total blood, with MTS assay as end-point. Secretory cytokines were determined in total blood cultures by Luminex-xMAP assay.
Based on ACE inhibition, a first assay classified the primary extracts, followed by a series of tests on fractions. One isolated compounds displayed 50% of the activity of Ramipril, while some of the fractions displayed 12-15% of Ramipril activity. Considering the perspective of long – term administration, the natural extract may prove a viable alternative to synthetic drugs, due to the lack of adverse effects.
The study was supported by the E.U. FP7 Grant PIRSES-GA-2008-230816.
**Keywords:** *In vitro*, anti-hypertensie, *S. distichum*
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**SL-21**
**Track:** Drug Discovery in Preclinical Research
**(IZ)-2-(HYDROXYMETHYL)DODEC-1-ENE-1,3-DIOL ISOLATED FROM INTEGUMENT OF THE RED PALM WEEVIL *RHYNHOPHORUS FERRUGINEUS* FOR TREATMENT OF CALCIUM- INDUCED DYSRRHYTHMIA
**Mona Mohammed Al Dawasry**
*Department of Biology, Salman Bin Abdul Aziz University, Kingdom of Saudi Arabia; E-mail: firstname.lastname@example.org*
The red palm weevil was collected, dried and extracted with different organic solvents such as acetone, chloroform, ether and ethyl acetate. The different organic extracts were evaporated under reduced pressure and low temperature of 40°C to obtain the dry residues. These were suspended in 0.25% aqueous sodium carboxy methyl cellulose. Each residue was investigated in rats and mice via the intraperitoneal administration. The results revealed that the insect extract obtained using acetone that was extracted with ethyl acetate proved to be active as it decreased the heart rate in mice as revealed by the ECC recording. Further ECG studies revealed the ability of this extract to antagonize CaCl$_2$- induced cardiac dysrhythmias. Chemical analysis was performed in the extract to reveal the nature of the active insect substance. Thin layer chromatography (TLC) on silica gel plates followed by column chromatography using sephadex LH20 enabled the isolation of a single compound that was identified using standard physical and chemical methods to be (IZ)-2- (hydroxymethyl) dodec -1- ene-1,3-diol. Studies were performed using this substance in mice. ECG results revealed the ability of this substance to decrease the heart rate and to protect the animals from CaCl$_2$-induced dysrrhythmia in mice.
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**SL-116**
**Track:** Advances in Neuroscience Technique Useful for Drug Discovery and Therapy
**THYMOQUINONE PROTECTS CULTURED HIPPOCAMPAL AND HUMAN INDUCED PLURIPOTENT STEM CELLS-DERIVED NEURONS AGAINST α-SYNUCLEIN-INDUCED SYNAPSE DAMAGE
**Amani. H. Alhebshi and Ikuro Suzuki**
*Department of Biotechnology, Graduate School of Bionics, Tokyo University of Technology, 1404-1 Katakura, Hachioji, Tokyo 192-0982, Japan; E-mail: email@example.com*
Thymoquinone (TQ) is the major active component of the medicinal plant *Nigella sativa* seed’s oil also known as The Black Seed. This natural antioxidant has recently received considerable attention for its potent protective properties and has demonstrated several neuropharmacological attributes. Using cultured rat primary hippocampal and human induced pluripotent stem cell (hiPSC)-derived neurons, the present study aims to investigate whether TQ could provide protective effects against alpha-synuclein (αSN)-induced synaptic toxicity, a
presynaptic protein that is implicated in Parkinson’s disease, dementia with Lewy Body and other neurodegenerative diseases. Cultured hippocampal and hiPSC-derived neurons were treated simultaneously with αSN and TQ for 72 h. The results showed that co-treatment with TQ efficiently attenuated αSN-induced synaptic toxicity, as evidenced by the restored major synaptic protein synaptophysin, using synaptophysin immunostaining for quantification of synapses. In addition TQ restored synaptic vesicle recycling in the presence of αSN as evidenced by the fluorescent dye FM1-43 and therefore, restored synaptic activity. Using a multielectrode array, we further demonstrated that the treatment of hiPSC-derived neurons with αSN induced a reduction in spontaneous firing activity, and the co-treatment with TQ partially reversed this loss. We also demonstrated that the addition of mutant beta-synuclein (P123H-βSN) to hippocampal neurons induced the inhibition of synaptic vesicle recycling and thus inhibited synaptic activity. However, the addition of TQ decreased the inhibitory effect of P123H-βSN on synaptic vesicle recycling and restored synaptic activity. Our findings suggest that TQ has neuroprotective effects, and may be worth looking into further as a potential agent in lowering the risks of Parkinson’s disease and other neurodegenerative disorders.
---
**SL-53**
**Track:** Academic CRO/Industrial Collaborations in Drug Discovery
**OPIOID ANTAGONIST NALOXONE NASAL SPRAY TREATMENT FOR PATIENTS WITH BINGE EATING DISORDER (BED): CONTROLLED RANDOMIZED STUDY**
**Hannu Alho**
*Clinical Medicine, University of Helsinki, Helsinki, Finland; E-mail: firstname.lastname@example.org*
Binge eating disorder (BED), characterized by an addictive behaviour towards food, is one of the major causes of obesity. At least 10 million people in the USA meet the criteria for BED, which is undertreated with no approved pharmacological therapies.
Naloxone, an opioid antagonist, delivered nasally, can block the endorphin mediated opioidergic reinforcement that occurs when foods high in fat, salt, or sugar are consumed.
The efficacy, safety, and tolerability of intranasal naloxone in the treatment of BED was assessed by a phase II randomized, double-blind, placebo-controlled 6 month trial of 127 subjects. Patients were simply instructed to spray naloxone each time they binged.
Whilst on an intention to treat analysis, there was no significant difference between naloxone and placebo, on a per protocol analysis, Naloxone produced a significantly (p=0.024) greater reduction than placebo in time spent binge eating: a decrease of 125 minutes /week with naloxone Vs 84 minutes/ week with placebo.
These findings support a new strategy for BED. Naloxone blocks the opioidergic reinforcement from the consumption of foods high in fat, salt, or sugar, so patients gradually binge less. Intranasal naloxone acts rapidly, selectively targeting the extinction of bingeing behavior without any adverse events observed.
---
**SL-30**
**Track:** Hot Topics in Natural Products
**EFFECT OF THE RESIN OF *DRACAENA CINNABARI* ON THE HEALING OF FULL-THICKNESS SKIN WOUNDS IN MICE**
**Hafidh I. Al-Sadi, Baidaa A. Al- Barwary, Batool H.T. AL- Barwary**
*Department of Oral and Maxillofacial Surgery, College of Dentistry, University of Mosul, Mosul, Iraq; E-Mail: email@example.com*
The resin of *Dracaena cinnabari* (known in Arabia as damalachawin) has been used in traditional medicine for the treatment of diarrhea, dysentery, ulcers of the digestive tract, skin diseases such as eczema, fever, and as hemostatic, anti-ulcer, antispasmodic, analgesic and anti-inflammatory remedy. Wound healing is a complex biological process that involves inflammation, re-epithelialization, angiogenesis, granulation tissue formation, and deposition of interstitial matrix, beside the activities of different types of cells such as keratinocytes, fibroblasts, inflammatory cells, and endothelial cells. The purpose of this study was to investigate the effect of the resin of *Dracaena cinnabari* on the
healing of full-thickness excisional skin wounds induced experimentally in mice. Full-thickness excisional skin wounds were inflicted on the back skin of mice (n=75) and the animals were divided into three equal groups. Group 1 served as negative control (untreated group), group 2 was treated with resin (resin treated group) and group 3 served as positive control (antibiotic treated group). Results indicated that early epithelialization, increased collagen deposition and decreased inflammatory cellular infiltrate at 1st week in the resin treated group. Wounds of the resin treated group also showed earlier remodeling. Angiogenesis was greater at the 1st week but not in the subsequent weeks. It was concluded that the resin of *Dracaena cinnabari* has a beneficial effect on the healing of wounds.
---
**SL-133**
**Track:** Clinical Trials and Regulatory Affairs
**ENSURING PARTICIPANTS SAFETY AND ENHANCING THE CLINICAL TRIAL EFFICIENCY**
**Nabil Al-Tawil**
*Karolinska Trial Alliance (KTA), Karolinska University Hospital, Huddinge, Stockholm, Sweden; E-mail: firstname.lastname@example.org*
How to ensure that it would be safe to give an investigational medicinal product to healthy volunteers (participants) and, later on to patients? The answer to this question is based on ethical principles and on scientific knowledge. Based on the latter two pillars the long process of drug development can be made much more efficient. To reach this goal, a full cooperation between academics, investigators, Pharmaceutical companies, CROs and the regulatory authorities is needed.
An overview of ethical aspects and Good Clinical Practice (GCP) together with some real life examples of clinical study design will be given.
A First in Man clinical trial should be run in a Phase-I unit that complies with GCP standards.
---
**SL-118**
**Track:** Anti-Cancer Discovery & Therapy
**IN VITRO AND IN VIVO VALIDATION OF NANOPARTICLE-BASED DRUG DELIVERY SYSTEMS TO IMPROVE THE CHEMOSENSITIZING EFFICACY OF CURCUMIN IN PACLITAXEL CHEMOTHERAPY**
**Ruby John Anto, Arun Kumar T. Thulasidasan, G.S. Vinod Kumar, K. Lekha Nair and G. Deepa**
*Cancer Research Department, Rajiv Gandhi Centre for Biotechnology, Thiruvananthapuram, Kerala, India; E-mail: email@example.com*
The efficacy of curcumin as a chemosensitizer in paclitaxel chemotherapy has already been reported from our lab. However, poor bioavailability (due to reduced aqueous solubility and retention time) limits their biological effects *in vivo*. Nanoparticle-encapsulated formulations of paclitaxel and curcumin are readily dispersed in aqueous media and exhibit all the biological activities of their free counterparts. The present study evaluates the chemosensitizing efficacy of curcumin in paclitaxel chemotherapy using polymer nanoparticles loaded with paclitaxel and curcumin. Confocal microscopic pictures clearly indicate that cellular uptake of curcumin-loaded PLGA nanoparticles of size 140-200 nm and curcumin-adsorbed poly acrylic nanogels of the size 50-100 nm, when suspended in aqueous medium is equivalent or slightly more effective than that of curcumin dissolved in DMSO. Both nanocurcumin and nanopaclitaxel dissolved in aqueous media induce similar or even better cytotoxicity and apoptosis in cervical cancer cells compared to their free counterparts dissolved in DMSO. From these results we conclude that nanocurcumin and nanopaclitaxel formulations resolve the problem of insolubility of these compounds in aqueous media. Hence it is safe to assume that synergistic combinations of nanocurcumin and nanopaclitaxel formulations can have enhanced chemotherapeutic outcome. *In vitro* and *in vivo* studies are going on in this direction.
**Keywords:** Curcumin, Paclitaxel, Nanoencapsulation.
**SL-128**
**Track:** Anti-Cancer Discovery & Therapy
**MODULATING METABOLIC HOMEOSTASIS IN CANCER CELLS**
*Ramy Raafat Attia, Jaeki Min and Rodney K. Guy*
*Postdoctoral Research Associate, Kip Guy Lab, Dept. Chemical Biology & Therapeutics, St Jude Children’s Research Hospital, 262 Danny Thomas Place, Mailstop 1000, Memphis, TN 38105-3678, United States; E-mail: firstname.lastname@example.org*
Genetic studies in humans and rodents support the notion that alterations in metabolic homeostasis can directly contribute to carcinogenesis and metabolic processes may be targets for therapy. The nuclear hormone receptors (NR) control a wide variety of metabolic processes by regulating the expression of genes encoding key enzymes, transporters, and other mediators. Therefore we explored potential links between cellular metabolic control by NRs and viability of cancer cells. In this study we tested the effect of 127 NR modulators, targeting receptors known to be important in regulating metabolism or known to be viable cancer targets on the growth of different cancer cell lines. Of the compounds tested 8, mainly targeting ER and RAR, induced significant apoptosis in these cell lines. The effects of the 8 active compounds on mitochondrial metabolism were tested in Jurkat cells and 5 compounds significantly reduced lactate levels. However, only the synthetic retinoid (CD437) significantly affected pyruvate dehydrogenase complex activity. CD437 also effected the expression of genes involved in leukemia development and therapeutic responses with the PKC pathway being the primary target. CD437 induced PKC Kinase activity and activated its downstream signals AKT and JNK. CD437 downregulated CPT-1a, and decreased the overall O$_2$ consumption rate. Additional CD437 induced genes included those involved in the mitochondrial respiratory complex I and III and increased the production of ROS. Our results indicate that the apoptotic effect of CD437 can be linked to its regulation of mitochondrial oxidative metabolism.
**Keywords:** Metabolism, leukemia, apoptosis, CD437.
---
**SL-22**
**Track:** Chemistry
**GABA$_B$ AGONISTIC ACTIVITY OF CERTAIN NOVEL AMINO ACIDS STRUCTURALLY RELATED TO BACLOFEN**
*Mohamed I Attia, Claus Herdeis and Hans Bräuner-Osborne*
*Pharmaceutical Chemistry Department, College of Pharmacy, King Saud University, P.O. Box 2457, Riyadh 11451, Kingdom of Saudi Arabia; E-mail: email@example.com*
Baclofen (I) is the prototypic selective agonist for bicuculline-insensitive GABA$_B$ receptors and is used clinically as an antispastic and muscle relaxant agent. In the search for new bioactive chemical entities that bind specifically to GABA$_B$ receptors, we report herein the synthesis and GABA$_B$ receptor agonistic activity of certain novel amino acids 1a-k structurally related to baclofen. Compound 1a emerged as the most active congener among all the synthesized compounds as GABA$_B$ receptor agonist with an EC$_{50}$ value of 32 $\mu$M on tsA201 cells transfected with GABA$_B$1b/GABA$_B$2/ Gqz5.
USE OF ADENOSINE IN DENTISTRY: A NEW INTERESTING TREATMENT
Paul Brunamonti Binello
Galliera Hospital, Department of Specialized Surgeries, Genoa, Italy; E-mail: firstname.lastname@example.org
Adenosine preparation containing the following components:
- Mannuronato of Silanol
- Nucleotides (Adenosine)
- Glycerol
- Nisin
- Lactic Acid
Mannuronato, belonging to the Silanols family, acts directly on the metabolism of the dermis, especially in "liquid" form, composed of collagen and glycosaminoglycans (GAG) and is to a long time an adjuvant to the treatment of dermis disease.
Nucleotides are phosphate esters of nucleosides and are constituted by: a nitrogenous base that can be purine or pyrimidine; a carbohydrate pentose (which together with the nitrogenous base is a nucleoside); a phosphate group (which together with the nucleoside is the nucleotide).
The nucleotides constitute the monomers of DNA and of RNA: the pentose is ribose in RNA and Deoxyribose in DNA.
The presence of one or two other phosphate groups in the chain gives acidity and produces the nucleoside diphosphate and triphosphate (NTP and NDP). Is vital for cellular energy metabolism: the most important of these are are the ADP and ATP.
Glycerol, however, is a trivalent alcohol, which by binding to carboxyl groups of fatty acids, form the Triacylglycerols (TAG) or triglycerides.
This substance have an osmotic action and is able to bind water and favor the tissue hydration. Lactic Acid and Nisin, however, are used for a long time as food additives preservatives stable at acid pH.
Due to its composition, therefore, Adenosine is used with the following information:
- Healing of wounds in general and in particular of those complicated by sepsis
- Adjuvant in the treatment of major dystrophies mucocutaneous
For several years, in fact, galenicals analogues are used in surgery to facilitate and speed restitutio ad integrum of gunshot injuries, cuts and grazes, burns, etc.
Also to these reasons it was decided to use Adenosine as an aid in improving the healing of lesions within Dentistry. And in particular, Oral Pathology in the main directions relate to the treatment of the following diseases:
- Oral ulcers
- Lichen Ruber Planus
- Prosthetic sores
- Oral mycosis
- Degenerative diseases of oral cavity
In Oral Surgery, however, Adenosine is indicated as an additive to the treatment of any surgical wound, including teeth avulsion and also in Periodontal and Implant Surgery.
The aim of the lecture is, therefore, either through a small review of the Literature, both through a case series, illustrate our clinical experience about the use of Adenosine in Dentistry not only as therapy replacement, but rather an alternative to those already fully described in Literature.
**SL-96**
**Track:** Innovative Drug Discovery and Nanotechnology
**SULFONATED ALUMINUM PHTHALOCYANINE AS AN EFFECTIVE DRUG FOR TWO-PHOTON PHOTODYNAMIC CANCER THERAPY**
Ji-Yao Chen and Jing Wang
*State Key Laboratory of Surface Physics and Department of Physics, Fudan University, 220 Handan roadm, Shanghai 200433, China; Tel: +86-21-65643084; Fax: +86-21-651-4949; E-mail: email@example.com*
Sulfonated aluminum phthalocyanine (AlPcS) was a photosensitizer (PS) which was widely used in research and clinical application of the photodynamic therapy (PDT) of cancers. Conventionally, one-photon excitation (OPE) was used. Whether two-photon excitation (TPE) of AlPcS under the near infrared (NIR) wavelength was equally effective was not known. Since the NIR region (700-900 nm) has the best tissue penetration depth, the TPE PDT with the NIR wavelength is promising for solid tumor treatments. In this study, the two-photon absorption cross section (TPACS) of AlPcS at near infrared (NIR) wavelengths were deduced from NIR femto-second (fs) laser-induced fluorescence. We found that TPACS of AlPcS reached a high value of 855 GM at 750 nm. The 750 nm induced fluorescence images of AlPcS in KB and Hela cancer cells were clearly visible. The considerable singlet oxygen ($^1$O$_2$) production was also observed under TPE of 750 nm fs laser. The *in vitro* experiments showed that 750 nm TPE PDT can effectively damage KB and Hela cells with the PTD killing efficiency approaching that of commonly used OPE at visible wavelength. These results demonstrated for the first time that AlPcS had good TPE PDT potential.
---
**SL-13**
**Track:** Anti-Cancer Drug Discovery & Therapy
**IN VIVO DISTRIBUTION OF $^{131}$I AND $^{125}$I DUAL-LABELED GELATIN MICROSPHERES AFTER IMPLANTATION INTO RABBIT LIVER**
Xiao-Li Chen
*Department of Hepato-bilio-pancreatology Surgery, West China, Hospital of Sichuan University, Chengdu 610041, China; E-mail: firstname.lastname@example.org*
After the $^{131}$I and $^{125}$I dual-labeled gelatin microspheres ($^{131}$I and $^{125}$I-GMSs) had been implanted in rabbit liver, radionuclide distribution and metabolism *in vivo* were examined using single photon emission computed tomography (SPECT) and by blood and urine radioactivity counting. $^{131}$I and $^{125}$I were labeled into GMSs in accordance with the mixture ratio of batch feeding. After the GMSs had been implanted in rabbit liver, small amounts of $^{131}$I and $^{125}$I were released into the blood and excreted *via* the urine within 24 days. The radionuclides in the injection site could be detected by SPECT until day 48. The microspheres could be observed by histological methods on day 32. No signs of thyroid damage were observed throughout the entire experimental period. $^{131}$I and $^{125}$I-GMS can be retained long term in the injection site, and $^{131}$I and $^{125}$I-GMS may be a safe and effective choice for cancer brachytherapy.
---
**SL-139**
**Track:** Diabetes and Obesity Drug Discovery & Therapy
**EFFECTS OF CHRONIC (TRAINING) EXERCISE AND ADMINISTRATION OF QUERCETIN ON ENDOTHELIAL DYSFUNCTION IN ANIMALS WITH STREPTOZOTOXIN-INDUCED DIABETES**
Irina Camelia Chis, Doina Baltaru, Monica Maier, Adriana Mureșan
*Department of Physiology, J-3, Clinicior Street, "Iuliu Hatieganu", University of Medicine and Pharmacy, RO 400023, Cluj-Napoca, Romania; Tel: +40-744-707080; Fax: 0040-264-597257; E-mail: email@example.com*
**Introduction.** Diabetes mellitus (DM) is one of the most common endocrine-metabolic disorders. Due to population ageing, urbanization, increased prevalence of obesity and physical inactivity, the number of individuals affected by DM is increasing all over the world. Over the last few years, many experimental and clinical studies suggest that oxidative
stress is involved in the pathogenesis and progression of diabetic tissue damages and diabetic complications. Endothelial dysfunction, characterized by the impairment of endothelium-dependent relaxation, is now recognized as a critical initiating factor in the development of diabetes-induced vascular complications. Quercetin (3,5,7,3',4'-pentahydroxy flavon) is an effective antioxidant that exerts endothelium-independent vasodilator effects, protective effects on the nitric oxide and endothelial function and anti-atherogenic effects in the presence of inflammatory lesions and oxidative stress. This study investigated the endothelial function and measures the levels of vascular oxidative and non-oxidative stress in streptozotocin-induced diabetic rats, in view of mounting evidence for an association between DM and accelerated vascular disease. The aim was to test the possible effects of chronic (training) moderate exercise and Quercetin treatment in restoring nitric oxide-mediated endothelium-dependent relaxation in streptozotocin-induced diabetic rats. In the same time this study investigated the protective effects of Quercetin treatment on oxidative stress and the expression of inducible nitric oxide synthase (iNOS) in streptozotocin-induced diabetic Wistar rats.
**Methods.** Adult male Wistar rats were divided into seven groups; Group I: non-diabetic, sedentary control rats; Group II: non-diabetic, trained control rats; Group III: non-diabetic, trained control rats treated with Quercetin; Group IV: diabetic, sedentary control rats; Group V: diabetic, trained control rats; Group VI: diabetic, sedentary rats treated with Quercetin; Group VII: diabetic, trained rats treated with Quercetin. Quercetin was administered *via* an intragastric tube (0.6 ml/rat), at a dose of 20 mg/kg body weight/day for 4 weeks after the induction of diabetes mellitus. Diabetes was induced by a single *ip.* injection of streptozotocin (40 mg/kg body weight). Animals were sacrificed at the end of a 4-week swimming training program (1 hour/day, 5 days/week, 4 weeks). The glycemic profile, oxidative status (lipid peroxidation and protein oxidation), antioxidant levels (catalase, SOD and glutathione peroxidase) and expression of iNOS in the serum were evaluated.
**Results.** When compared to diabetic sedentary rats, the diabetic trained rats treated with Quercetin rats presented significantly lower glycaemic values accompanied by a remarkable reduction of oxidative markers and endothelial dysfunction.
**Conclusion.** The results suggested that chronic exercise training associated with Quercetin administration could lower blood glucose levels and reduce endothelial dysfunction in diabetic rats.
**Keywords:** Endothelial dysfunction, diabetes, exercise, oxidative stress, Quercetin.
---
**SL-62**
**Track:** Anti-Infectives
**LOCK THERAPY WITH ETHANOL AND MICAFUNGIN TO SAVE CENTRAL VENOUS CATHETER IN VERY SICK NEWBORNS WITH INVASIVE FUNGAL INFECTION**
A. Dotta, C. Auriti, I. Bersani, M. Corsello, F. Piersigilli, I. Savarese, MP Ronchetti, B. Goffredo, T. Corsetti
*Responsabile S.C. Terapia Intensiva Neonatale e Semi-intensiva Neonatale, Dipartimento di Neonatologia Medica e Chirurgica, Ospedale Pediatrico Bambino Gesù – Roma; E-mail: firstname.lastname@example.org*
**Background and Aims:** Fungi are able to adhere to the internal catheters biofilm in case of bloodstream fungal infection. Failure to promptly remove or replace CVC in infants with invasive fungal infections places them at higher risk of prolonged infection, mortality, and long-term neuro-developmental impairment, because, *In vitro* studies support the efficacy of ethanol solutions and echinocandins lock therapy to eliminate fungal biofilms; therefore lock therapy with ethanol can be proposed in life threatening conditions, when catheter removal involves high risks for the instable patient. Systemic echinocandins are increasingly used as antifungal agents due to their property to destroy the biofilm. As micafungin has an enhanced clearance in neonates, especially in preterm infants, the dose to administer to neonates is still uncertain. We therefore developed a micromethod with EDTA for the measurement of plasmatic micafungin levels even in neonates, with the goal of withdrawing only small amounts of blood.
**Methods:** We describe three neonates with fungal catheter associated bloodstream infection successfully treated with systemic micafungin combined with lock therapy for catheter salvage. We also describe the validity of the micromethod to assess plasmatic levels of micafungin. Having the aim to perform a combined lock therapy with micafungin and ethanol to increase LT effectiveness, micafungin stability test in ethanol 70% was performed by serial dosages carried out at the beginning of the test and then after 2, 6, 12, and 24 hours.
Results: Systemic therapy with liposomal amphotericin-B (5 mg/Kg) and micafungin (10 mg/Kg) was started as soon as candidemia was detected. As these neonates were critically ill, catheter removal was strongly contraindicated; therefore lock therapy was performed to save the catheter. A solution containing ethanol 70% and mycamine 5 mg/L was instilled and the catheter was closed for 4 to 12 hours. 2 locks were performed in each patient with a distance varying from 24 to 48 hours. Sterilization was obtained in all patients allowing catheter salvage. Drug concentration, analyzed by high performance liquid chromatography (HPLC), was unchanged at all timepoints.
Conclusions: Neonatologists should attempt to remove a CVC as soon as candidemia is detected unless it cannot be removed or replaced because of severe generalized or unstable critical conditions. Our experience suggests that the ethanol-micafungin lock therapy associated with systemic treatment may allows salvage of the catheter. Nevertheless further experience is needed to determine the appropriate length of duration of the lock and the number of locks necessary for catheter sterilization.
SL-32
Track: CNS Drug Discovery & Therapy
DEVELOPMENT OF NOVEL ANALGESIC AGENTS TARGETING PDZ DOMAINS INVOLVED IN NEUROPATHIC PAIN
Sylvie Ducki
Clermont Université, ENSCCF, Institut de Chimie de Clermont-Ferrand UMR6296, BP 10987, 63000 CLERMONT-FERRAND, France; E-mail: email@example.com
PDZ domains are involved protein–protein interactions and are almost always associated with the cell membrane where they play an essential role in the clustering of proteins and signal transduction [1]. Disrupting interaction between PDZ-containing protein PSD-95, and its natural ligand 5-HT$_{2A}$ receptor, was found to reduce hyperalgesia in a rodent model of neuropathic pain [2]. Thus, inhibiting this interaction could lead to the development of a novel class of analgesic agents.
Starting from a lead indole, previously identified by our laboratory [3-5], we carried out a structure-activity relationship (SAR) study. The analogues were evaluated by NMR for their ability to interact with the PDZ domain and by affinity chromatography as inhibitors of the PSD95 PDZ1/5-HT$_{2A}$ receptor interaction. One compound showed promising results and possessed *in vivo* analgesic activity. We have also determined an NMR structure of this compound bound to the PDZ domain [6].
REFERENCES
[1] Ducki, S.; Bennett, E., Protein-protein interactions: recent progress in the development of selective PDZ inhibitors. *Current Chemical Biology* **2009**, 3, (2), 146-158.
[2] Pichon, X.; Wattiez, A. S.; Becamel, C.; Ehrlich, I.; Beckaert, J.; Eschallier, A.; Marin, P.; Courteix, C., Disrupting 5-HT2A Receptor/PDZ Protein Interactions Reduces Hyperalgesia and Enhances SSR1 Efficacy in Neuropathic Pain. *Molecular Therapy* **2010**, 18, (8), 1462-1470.
[3] Vogrig, A.; Boucherle, B.; Deoakar, H.; Thomas, I.; Ripoche, I.; Lian, L.-Y.; Ducki, S., NMR evaluation of interactions between indoles and the indole-binding PDZ1 domain of PSD-95. *Bioorganic & Medicinal Chemistry Letters* **2011**, 21, 3349-3353.
[4] Boucherle, B.; Vogrig, A.; Deoakar, H.; Bouzidi, N.; Ripoche, I.; Thomas, I.; Marin, P.; Ducki, S., Synthesis and evaluation of bidentate ligands designed to interact with PDZ domains. *Bioorganic & Medicinal Chemistry* **2011**, 19, (14), 4346–4354.
[5] Bouzidi, N.; Deoakar, H.; Vogrig, A.; Boucherle, B.; Ripoche, I.; Abrunhosa-Thomas, I.; Dorr, L.; Wattiez, A.-S.; Lian, L.-Y.; Marin, P.; Courteix, C.; Ducki, S., Identification of PDZ ligands by docking-based virtual screening for the development of novel analgesic agents. *Bioorganic & Medicinal Chemistry Letters* **2013**, 23, 2824–2827.
[6] Vogrig, A.; Dorr, L.; Bouzidi, N.; Boucherle, B.; Wattiez, A.-S.; Castelli, E.; Vallon, G.; Ripoche, I.; Abrunhosa-Thomas, I.; Marin, P.; Nauton, L.; Thery, V.; Courteix, C.; Lian, L.-Y.; Ducki, S., Structure-Based Design of PDZ Ligands as Inhibitors of 5-HT2A Receptor/PSD-95 PDZ1 Domain Interaction Possessing Anti-hyperalgesic Activity. *ACS Chemical Biology* **2013**, 18, (10), 2209-2216.
**SL-130**
**Track:** Academic CRO/Industrial Collaborations in Drug Discovery
**ANALGESIA PARTNERSHIP, A UNIQUE PUBLIC-PRIVATE INITIATIVE DEDICATED TO PAIN INNOVATION**
**Sylvie Ducki**
Clermont Université, ENSCF, Institut de Chimie de Clermont-Ferrand UMR6296, BP 10987, 63000 Clermont-Ferrand, France; E-mail: firstname.lastname@example.org
Analgesia Partnership\(^1\) is a unique integrated platform of discovery, preclinical and clinical services fully dedicated to Research & Development of products in pain’s management. The Cluster involves both Private and Public structures in order to benefit of a scientific and cultural synergism in the field of pain management by analgesics. The main objective of the 13 members is to perform R&D activities focused on methodological aspects (e.g. relevant animal or human models of analgesic effect assessment) and on new concepts for innovative analgesic drugs. This activity benefits of the multidisciplinary organization of the cluster mixing chemists, fundamental and clinical pharmacologists, toxicologists, and pharmaceutical developers. Moreover, the cluster has developed outside collaborations especially with clinical departments at the university hospital.
---
\(^1\)Analgesia-Partnership, http://www.analgesiapartnership.com/. A Cluster powered by Public–Private Synergy pushing the boundaries of Innovation.
---
**SL-49**
**Track:** Hot Topics in Medicinal Chemistry
**RADIATION EFFECTS ON EYE COMPONENTS**
**Helmut Durchschlag**
Institute of Biophysics and Physical Biochemistry, University of Regensburg, Universitaetsstrasse 31, D-93040 Regensburg, Germany; E-mail: email@example.com
The radiation damage of the most important water-soluble components of the vertebrate eye (lens proteins, aqueous humor, vitreous, hyaluronic acid, ascorbic acid) has been investigated by various methods of physical biochemistry. The impact of X-rays and UV light resulted in several significant changes of their structure. The nature of the primary damages is similar, differences depending on the component under analysis and the nature of the radiation used. For example, the main effects of X-irradiation of \(\alpha\)-crystallins are aggregation, whereas \(\beta\)-crystallins, exhibit dissociation and fragmentation; the \(\gamma\)-crystallins turn out to be rather insensitive. UV light seems to cause large aggregates as well as dissociation products and fragments.
UV absorption and fluorescence spectroscopy, in addition to circular dichroism studies, unveiled changes of the chromophores/fluorophores of the constituent biopolymers and low-molecular components, together with alterations of the helix content and the occurrence of aggregation. SEC, analytical ultracentrifugation, densimetry, viscometry and light scattering experiments monitored changes of the global structure of proteins and polysaccharides involved. Electrophoreses allowed conclusions on fragmentation, unfolding and cross-linking. Analytical methods provided information regarding the integrity of groups of special concern (SH, SS).
By means of various measures and additives, manifold modifications of the impact of both ionizing and nonionizing radiation may be achieved. Caused by differences in the primary reactions, eye polymers are protected efficaciously by typical -OH radical scavengers against X-irradiation, whereas compounds which exhibit absorption behavior in the UV range turn out to act as potent protectives (‘chemical filters’) against UV light. A few substances, such as ascorbate, are able to provide protection against both sorts of radiation and are even able to exhibit a slight chemical repair of already damaged particles.
If compared to other proteins, crystallins show an extraordinary stability against different types of noxious effects [1, 2]. The extreme stability of crystallins against radiation is achieved *in vivo* by favorable conditions: extremely high packing density of the crystallins in the lens, suppression of aggregation caused by the chaperone function of the α-crystallins, permanent presence of radioprotectives (thiols, ascorbate and other reductants) in the lens and the defense system in front of the lens (tear film, aqueous humor of the anterior chamber), and UV-absorbing behavior provided by the cornea. The results obtained are of importance for understanding pathological alterations of the eye (loss of transparency, cataractogenesis) and for developing new strategies for protection and repair of eye components.
**Keywords:** Effects of ionizing and nonionizing radiation, reactive oxygen species, damages of biomolecules, protection and repair strategies, antioxidants.
**REFERENCE**
[1] Durchschlag H, *et al.* Radiat. Phys. Chem. 55 (1999) 691-697. [2] Durchschlag, H., Zipper, P.: Abstr. 4th ICDDT 2012 Dubai/UAE (ISSN 0929 8673) p. 27.
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**SL-123**
**Track:** Anti-Cancer Discovery & Therapy
**THE EFFECT OF 5-FLUOROURACIL ON THE LONG TERM SURVIVAL AND PROLIFERATION OF CELLS IN THE RAT HIPPOCAMPUS**
Maha EL-Beltagy, Sarah Mustafa, Jariya Umka, Laura Lyons, Ahmed Salman, Katherine Dormon, Charlotte Alcock, Geoffrey Bennett, Peter Wigmore
*Lecturer of Anatomy and Embryology, Tabuk University, Almasif, Tabuk 47324, KSA; E-mail: firstname.lastname@example.org*
Chemotherapy has been reported to produce cognitive impairments in a significant number of cancer patients. These deficits frequently involve aspects of spatial or declarative memory which can persist for up to several years after completion of the treatment. We have recently shown that 5-fluorouracil (5-FU), a commonly used chemotherapy drug, induces cognitive impairment and a reduction in hippocampal neurogenesis using a rat model of chemotherapy. The present study examines the effects of two weeks of 5-FU treatment on cell proliferation in the sub granular zone (SGZ) of the dentate gyrus and the survival of newly dividing cells over a six week period after the end of treatment. Cell proliferation at each time point was quantified by staining for the cell proliferation marker Ki67 while the survival of cells, dividing at the start of treatment, was determined by quantification of BrdU positive cell numbers after pulse labelling with BrdU at the start of drug treatment. The results show that 2 weeks of 5-FU treatment did not significantly reduce cell proliferation in the SGZ immediately after treatment. However cell proliferation was significantly reduced, compared to saline treated controls, two weeks after the end of treatment and remained significantly reduced at 6 weeks. The survival of cells, dividing at the start of treatment, was significantly reduced when quantified immediately after the end of treatment and continued to decline compared with control animals over the following 2 weeks but no further change occurred at 6 weeks. Quantification of COX-2 positive cell numbers in the hippocampus did not correlate with the reduction in cell proliferation or survival suggesting that inflammation is not responsible for these changes. These results demonstrate that 5-FU has delayed and prolonged effects on hippocampal neurogenesis after the end of chemotherapy treatment. This correlates with patient reports of continued cognitive impairment after treatment and indicates that changes in neurogenesis may underlie these effects.
**SL-33**
**Track:** Drug Discovery in Preclinical Research
**PROTECTION AGAINST LPS-INDUCED INFLAMMATION AND OXIDATIVE STRESS BY L-ARGININE IN EXPERIMENTAL ANIMALS**
**Basiony El-Gamal, Abdullah Assiri, Mohamed Mustaf, Muhammad El-Saadani, Doaa Ghareeb, Eslayed Hafez**
*Department of Clinical Biochemistry, College of Medicine, King Khalid University, Abha, Saudi Arabia; E-mail: email@example.com*
**Objectives:** This study was undertaken to investigate the possible beneficial effects of L-arginine in protection against the inflammation and oxidative stress induced by LPS in rats, and also to explore the mechanism by which L-arginine might exert its actions.
**Materials and Methods:** Thirty two male Sprague-Dawley rats were divided into 5 equal groups. The control group injected i.p. with saline; the induction group injected with LPS (4 mg/kg b.w.); the treatment group injected with LPS (4mg/kg b.w.), followed by 10 mg/kg b.w. L-arginine; the inhibition group injected with the iNOS inhibitor, L-NAME (10 mg/kg b.w.), followed by 10 mg/kg b.w. LPS then with 4 mg/kg b.w. L-arginine; the protection group injected with 10 mg/kg b.w. L-arginine for one week before injection with 4 mg/kg b.w. LPS on the day of sacrifice. All animals were sacrificed after 12 h of the last injection. For all groups, levels of TBARS, GSH, NO, IL-6, IL-1β, TNF-α, creatinine, urea and activity of SOD, ALT and AST was measured in plasma. Expression of TNF-α was performed by RT-PCR.
**Results:** Administration of LPS resulted in increased plasma markers of inflammation (IL-1β, IL-6, and TNF-α levels), oxidative stress (TBARS, NO, and GSH levels; and SOD activity), renal function (creatinine, urea levels), liver function (ALT and AST activity), as well as increased expression of TNF-α in the induction group. However, administration of L-arginine, either before or after LPS, in the protection and treatment groups has significantly decreased all previous parameters, except NO that was significantly increased, compared to the induction group. The inclusion of L-NAME in the inhibition group prevented the effects seen in the treatment group, suggesting the NO-NOS pathway for L-arginine action that results in increased production of NO.
**Conclusions:** This study shows that L-arginine supplementation, either before or after LPS injection into experimental animals, has a protective effect against oxidative damage of tissues and inflammation. This protective effect is most likely to occur through NO-NOS pathway through increased production of NO.
**Keywords:** LPS, Inflammatory cytokines, Oxidative stress, L-arginine, L-NAME.
---
**SL-23**
**Track:** Diabetes and Obesity Drug Discovery & Therapy
**LIPID PATTERN IN SERUM OF PATIENTS WITH TYPE 2 DIABETES MELLITUS**
**Ashour S. Eljamil, Khaled Ammar Elnaka, Salma Elmarradi & Abdulnabi A. Abushita**
*Department of Biochemistry, Faculty of medicine, Tripoli University, Tripoli, Libya; E-mail: firstname.lastname@example.org*
The most common pattern of diabetic dyslipidemia is elevated triglycerides levels and decreased high density lipoprotein cholesterol (HDL-C) levels. Type 2 diabetic patients may have elevated levels of non-high density lipoprotein cholesterol (non-HDL-C). The concentration of low density lipoprotein cholesterol (LDL-C) was reported to be not significantly different from non-diabetic individuals. Recently it has been reported that the measurement of LDL-C as well as triglycerides may not be fully standardized in many clinical laboratories. The present study is designed to compare the serum lipid pattern of type 2 diabetes mellitus patients with non-diabetic individuals and the LDL-C was determined by a direct method. Fasting blood samples were collected from 94 subjects (47 diabetic and 47 non-diabetic). In the presently study diabetic samples showed significantly higher levels of total cholesterol, TC (173.34 mg/dl ± 30.7), LDL-C (112.68 mg/dl ± 27.9), non-HDL-C (136.06 mg/dl ± 28.9) and TG (144.04 mg/dl ± 55.7), than non-diabetic samples, TC (150.26 mg/dl ± 24.7), LDL-C (90.74 mg/dl ± 22.1), non-HDL-C (104.54 mg/dl ± 24.2) and TG (97.6 mg/dl ± 33.8), with p values of p ≤ 0.0004, p ≤ 0.0001, p ≤ 0.00001, p ≤ 0.00001, respectively.
Diabetic serum samples showed significantly lower HDL-C levels, (39.53 mg/dl ± 9.2) than that of non-diabetic samples, (43.94 mg/dl ± 9.8), with p value of $p<0.03$.
**Conclusion:** Diabetic patients had a high TC, TG, LDL-C and non-HDL-C levels than the non-diabetic individuals, which may indicate that diabetic patients are more susceptible to cardiovascular disease than the non-diabetic individuals.
---
**SL-34**
**Track:** Chemistry
**BIOACTIVE NATURAL PRODUCTS OF PLANT ORIGIN IN DRUG DISCOVERY**
**Hesham R. El-Seedi**
*Division of Pharmacognosy, Department of Medicinal Chemistry, Uppsala University, Biomedical Centre, Box 574, SE-75 123, Uppsala, Sweden, Tel: +46-18-4714207; Fax: +46-18-509101; E-mail: email@example.com*
The talk will cover our recent characterization of bioactive naturally occurring compounds from traditional medicinal plants. The traditional uses of 61 species collected from Sinai desert (from 29 families of Egyptian plants) were documented and their biological activity was investigated using a cytotoxicity assay against human lymphoma U-937 GTB. The most potent extracts were those from *Asclepias sinuica*, *U. maritima*, *Nerium oleander* and *Catharanthus roseus*, followed by those from *Cichorium endivia*, *Pulicaria undulate* and *Melia azedarach* (El-Seedi et al., 2013a).
The second topic will reflect our discovery of mescaline (1) from peyote. The isolated compound displayed psychotropic properties and peyote samples appear to be the oldest plant drug ever to yield a major bioactive compound i.e. as long as 5700 years ago (Bruhn et al. 2002).
Then the recent change of chemosystematic significance will be introduced demonstrating the isolation of cyclopentep alkaloid (2) from *Heisteria nitida* (El-Seedi et al., 2005b). It was discovered in the family Olacaceae for the first time (El-Seedi et al., 2007).
Finally we will be closing up by discussing the possible applications including anti-microbial, anti-schistosomiasis and anti-inflammatory activities. For instance, new aryl coumarin glucoside (3) from *Asphodelus microcarpus*, showed potent anti-microbial activity (El-Seedi, 2007). Furthermore, triterpene glycoside (4) from the Egyptian medicinal plant *Asparagus stipularis* was recently evaluated as anti-schistosomiasis agent. It resulted in a retardation of worm growth and inhibition of locomotion at the first day and showed a significant activity of egg-laying suppression at 200 $\mu$g/mL concentration (El-Seedi et al., 2012). Moreover, anti-inflammatory activity of sesterterpene (5) was investigated from *Alphitonia zizyphoides* (El-Seedi et al., 2013a). Subsequently, another bioactive bufadienolide was shown to be proscillaridin A (6) as isolated from *U. Maritime* (El-Seedi et al., 2013a).
**SL-17**
**Track:** Diabetes and Obesity Drug Discovery & Therapy
**NOVEL ORAL VACCINE FOR TYPE 1 DIABETES BASED ON LIVE ATTENUATED SALMONELLA**
*Mohamed I. Husseiny Elsayed, Jeffrey Rawson, Fouad Kandeel and Kevin Ferreri*
*Department of Diabetes and Metabolic Diseases Research, Beckman Research Institute of City of Hope, Duarte, California 91010-3000, USA; E-mail: firstname.lastname@example.org*
Type 1 diabetes (T1D) is a metabolic disease that is initiated by the autoimmune destruction of pancreatic insulin-producing beta cells that is accompanied by the development of antigen-specific antibodies and cytotoxic T lymphocytes (CTLs). Several studies have shown that vaccination with diabetic autoantigens provides some protection against this process. In this report we describe a new oral vaccine that utilizes attenuated *Salmonella* for delivery of autoantigens as well as immunomodulatory cytokine genes to immune cells in the gut mucosa. This novel strategy was tested by fusion of preproinsulin with SseE effector protein of *Salmonella* pathogenicity island-2 (SPI2) for translocation into the host cell cytosol and co-delivery of *Salmonella* carrying the gene for transforming factor beta (TGFβ) for host cell expression. Co-vaccination of non-obese diabetic (NOD) mice significantly reduced the development of diabetes and improved the response to glucose challenge. The combination therapy of autoantigen and TGFβ also resulted in increased circulating levels of tolerance-associated cytokines such as IL10, IL2, IFNγ, and IL4, but without significant effect on proinflammatory cytokines IL6 and IL12, indicating a shift toward a tolerogenic response. In conclusion, *Salmonella*-based oral vaccines expressing autoantigens combined with tolerogenic cytokines appears to be a promising therapy for prevention of T1D.
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**SL-5**
**Track:** Diabetes and Obesity Drug Discovery & Therapy
**A NOVEL OPPORTUNITY FOR DIABETES MELLITUS: TREATMENT BY POLYCLONAL ANTIBODIES IN RELEASE ACTIVE FORM**
*Evgeniy A. Gorbunov, Irina A. Ertuzun, Julia L. Dugina and Sergey A. Tarasov*
*ООО “НПФ “MATERIA MEDICA HOLDING” 3rd Samotochny per., 9 Moscow 127473, Russia; E-mail: email@example.com*
According to WHO estimates (2013) more than 347 million people worldwide suffer from diabetes mellitus. Development of drugs and innovative approaches for its effective and safe treatment remains a topical issue. The use of the release-activity phenomenon (Epstein O.I., 2013) consisting of the modifying action exerted by specifically processed ultrahigh dilutions of the starting substance could lay the foundation for one of those innovative methods. Subetta is a combination drug containing release-active dilutions of antibodies to beta-subunit of insulin receptor and antibodies to endothelial NO synthase. In two animal models of diabetes mellitus, streptozotocin-induced diabetes and Goto Kakizaki rats with spontaneous diabetes type 2, subetta showed antidiabetic activity similar to that of rosiglitazone. The drug improves blood glucose control and prevented the age-related spontaneous deterioration of glucose tolerance. Results of in vitro studies revealed that subetta significantly stimulates adiponectin production by mature human adipocytes in the absence of insulin. Taken together, the above-mentioned results provides much evidence that subetta acts as an insulin-sensitizing agent through modulating the activity of beta-subunit of the insulin receptor.
SL-119
Track: Recent Advances in Spectroscopy
DISTINGUISHING BETWEEN POLYMORPHIC FORMS OF CHIRAL ACTIVE PHARMACEUTICAL INGREDIENTS BY SOLID-STATE CIRCULAR DICHROISM
Marcin Górecki, Wojciech Szczepek, Jadwiga Frelek
Institute of Organic Chemistry, Polish Academy of Sciences; E-mail: firstname.lastname@example.org
Recent progress in equipment enabled the development of reliable measurement methodology of the electronic and vibrational circular dichroism (ECD & VCD) spectra in solid-phase. However, among commonly used methods distinguishing polymorphic forms of APIs the use of chiroptical methods is very limited or even non-existed in the broader sense. To supplement this deficiency we undertook studies on the efficient utilization of chiral spectroscopy for this purpose.
Linezolid (1), finasteride (2), dutasteride (3) and oseltamivir phosphate (4) were selected as model compounds for studying polymorphic phenomena by circular dichroism (CD) spectroscopy (Fig. 1). These substances were chosen due to their different conformational lability, well-known ability to form conformational polymorphs and important uses as therapeutic agents.
In the present work, we wish to demonstrate the potential of combined use of ECD and VCD spectroscopy in solid-state as a tool for distinguishing between polymorphic forms of APIs. To support the experimental results time-dependent density functional theory (TD-DFT) calculations were performed to provide theoretical backgrounds for ECD phenomenon in solid-state.
The results of these studies allow the effective and broad application of CD spectroscopy in exploring other APIs possessing polymorphic forms, providing these APIs are chiral.
Acknowledgement: The authors acknowledge a Grant Preludium no. UMO-2011/03/N/ST4/02426 from National Science Centre, and Grant No. G34-15 for computational time at the Warsaw Supercomputing Centre (ICM).
SL-27
Track: Drug Discovery in Preclinical Research
PROTEINKINASE C ALPHA CONTRIBUTES TO IMPAIRMENT OF RENAL BLOOD FLOW AND INFLAMMATION IN HYPOXIA INDUCED RENAL ISCHEMIA REPERFUSION INJURY (IRI)
Daniel Walacides, Nele Rüskamp, Song Rong, Katja Hueper, Michael Mengel, Martin Meier, Hermann Haller, Mario Schiffer, Faikah Gueler
Dept. of Nephrology, Hannover Medical School, Carl-Neuberg-Str. 1, 30625 Hannover, Germany; E-mail: email@example.com
Background – Renal ischemia reperfusion injury (IRI) leads to acute kidney injury (AKI) after major cardiac surgery and contributes to increased post-operative morbidity and mortality. In this study we analyzed the role of PKC-α in hypoxia induced impairment of renal blood flow (RBF) and inflammation in PKC-α deficient mice compared to wild type littermates.
Methods – Renal IRI was induced in WT or PKC-α knock out mice by transient unilateral clamping of the right renal pedicle for 35 min. Functional contrast free magnetic resonance imaging (MRI) was performed at d1 to measure renal...
blood flow (RBF), edema formation and cell infiltration. Histological, renal morphology and inflammatory cell infiltration were investigated. CTGF expression as profibrotic marker was evaluated by qPCR.
**Results** – PKC-α knock out mice had significantly better survival and less s-creatinine elevation than WT mice. By MRI techniques IRI induced renal perfusion impairment was markedly reduced in PKC-α knock out mice compared to WT. Acute kidney injury (AKI) and inflammatory cell infiltration was significantly reduced in the PKC-α knock out mice and up-regulation of CTGF expression was abolished pointing towards impaired TGF-β signalling in this model.
**Conclusion** – Our study proves that PKC-α deficiency attenuated hypoxia induced renal IRI by blocking TGF-β up-regulation. Thus PKC-α inhibition might be a promising therapeutic option to reduce hypoxia induced IRI in after major surgeries.
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**SL-138**
**Track:** Clinical Trials & Regulatory Affairs
**FUTURE OF CLINICAL TRIALS AND REGULATIONS IN ALGERIA**
**Cellia K. Habita**
*President & CEO, Arianne Corporation, USA; E-mail: firstname.lastname@example.org*
The past few years have witnessed a significant increase toward geographic expansion in conducting clinical trials. It has become routine to target countries in E. Europe, Asia and Africa and very recently the MENA region. Algeria is one of these locations and although very nascent in the field of clinical trials, it has shown an amazing potential for patient recruitment. Additionally, the local regulatory agencies are committed to develop the frame work to conduct these studies within the established good practices and regulations. Algeria is not a country to dismiss as a clinical trial destination. Within the MENA region, it is one of the two largest economies and investors in healthcare with S. Arabia. It has a large population, the advantage of closeness to the West, and will allow the recruitment of significant patient populations that are no longer available elsewhere. For clinical and regulatory research teams, these opportunities require the understanding of the country with its cultural and regulatory environment while adhering to good clinical practice guidelines.
---
**SL-19**
**Track:** Anti-Cancer Drug Discovery & Therapy
**MALIGNANCIES IN PRIMARY IMMUNODEFICIENCY DISORDERS**
**Joud Hajjar**
*Baylor College of Medicine and Texas Children’s Hospital, Baylor College of Medicine, One Baylor Plaza, Suite 672E MS: BCM285, Houston, TX 77030, USA; Email: email@example.com*
Primary immunodeficiencies (PIDs) are inherited disorders of the immune system. These disorders are categorized into defects of the innate immune system, phagocytes and complements, and defects of the adaptive immune system (cellular, humoral and combined cellular and humoral defects).
PIDs predispose the affected individuals to increased risk of infection and immune dysregulation that can present in either increased risk of autoimmunity, malignancy or both. Development of advanced techniques to diagnose infections, immunoglobulin replacement and supportive care led to reduced early morbidity and mortality from infection. However, malignancies continue to be a significant cause of premature death in those patients.
Increased risk of malignancy in PIDs is possibly due to increased susceptibility to infections with oncogenic viruses leading to a severe inflammatory status that promotes cell survival and proliferation. As well, there is an impaired immune surveillance against premalignant and malignant cells allowing those cells to survive and metastatize in the body of patients with PIDs.
The presentation will focus on some of these rare diseases, exposing critical insights into the mechanisms controlling host antiviral and antitumor immunity.
**SL-24**
**Track:** Hot Topics in Natural Products
**NATURAL PRODUCTS FOR JOINT HEALTH: ANCIENT ROOTS TO MODERN MEDICINE**
*Tariq M. Haqqi*
*Department of Anatomy & Neurobiology, Northeast Ohio Medical University, 4209 St Rt 44, PO Box 95, Rootstown, OH 44272, USA; E-mail: firstname.lastname@example.org*
**Objective:** Interleukin-1β (IL-1β) is present in osteoarthritic joints at high levels and causes an increase in many catabolic enzymes and inflammatory mediators through activation of NF-κB pathway. In the present study we investigated the mechanism of NF-κB inhibition by a polyphenol rich Pomegranate extract (PE) by determining its effect on the activation of the kinases upstream of IκB in primary human chondrocytes.
**Research Methods & Procedures:** OA chondrocytes were pretreated with PE followed by stimulation with IL-1β for different time points. Activation of NF-κB p65 was determined by specific ELISA-based DNA binding assay. Total protein levels and phosphorylated forms of different kinases were determined by Western immunoblotting. mRNA levels were determined by real time PCR. Total intracellular ROS was determined by DCF assay.
**Results:** PE inhibited IL-1β induced DNA binding activity of NF-κB p65, degradation of IκB and phosphorylation of NIK. PE also inhibited the phosphorylation of IKKβ as well as down-regulated the expression of IKKβ mRNA and protein. Moreover, PE strongly inhibited IL-1β-induced increase in intracellular ROS concentration in human chondrocytes.
**Conclusions:** Taken together the data presented here suggest a novel mechanism of NF-κB inhibition by PE acting at multiple levels. These results may help to develop pharmacological inhibitors of NF-κB derived from PE for the effective management of osteoarthritis.
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**SL-115**
**Track:** Drug Delivery and Targeting
**IN VITRO AND IN VIVO EVALUATION OF A SELF-MICROEMULSIFYING DRUG DELIVERY SYSTEM (SMEDDS) FOR PEPTIDE DRUGS**
*Sabine Hauptstein, Fabian Hintzen, and Andreas Bernkop-Schnürch*
*Center for Chemistry and Biomedicine, Center for Molecular Biosciences, Department of Pharmaceutical Technology, Institute of Pharmacy, University of Innsbruck, Innrain 80/82, 6020 Innsbruck, Austria; E-mail: email@example.com*
The aim of the study was to investigate a permeation enhancing self-microemulsifying drug delivery system as carrier for the model peptide drug leuprolide (leuprolide acetate) which prevents the sensitive drug from enzymatic degradation in order to achieve improved *in vivo* bioavailability. To enable incorporation of the commercially available acetate salt of the drug into lipophilic SMEDDS the nonapeptide was modified by hydrophobic ion pairing to obtain the more lipophilic leuprolide oleate. To facilitate drug uptake a SMEDDS formulation containing permeation enhancing lipids was chosen (30% Cremophor EL, 30% Capmul MCM, 10% propylenglycol and 30% capteol 355).
It could be shown that the microemulsion prevents the peptide drug from enzymatic degradation by trypsin and α-chymotrypsin. The leuprolide acetate control solution showed complete degradation after 1h. In contrast, leuprolide oleate incorporated in lipid phase of the microemulsion resulted in a significantly lower degree of degradation, after 2h 70 % of initial leuprolide in the formulation was still undegraded after treatment with trypsin. A significant improvement of bioavailability of leuprolide administered as oral SMEDDS formulation compared to the control solution was detected. A more then 10-fold increase of the absolute bioavailability could be demonstrated.
**SL-57**
**Track:** Traditional Chinese Medicine
**THE ESTABLISHMENT OF MATHEMATICAL MODEL AND PARAMETER DETERMINATION OF NETWORK PHARMACODYNAMICS FOR CHINESE MATERIA MEDICA FORMULA**
**Fu-Yuan He, Kai-Wen Deng, Weng-Long Liu, Ji-Lian Shi, Yan-Tao Yang**
*Department of Pharmaceutics, Hunan University of Chinese Medicine, Changsha, 410208, China*
*Supramolecular Theory and Mathematical Characterization Laboratory, Hunan University of Chinese Medicine, Changsha, 410208, China; E-mail: firstname.lastname@example.org*
It had been established a new mathematical model and determination method of network pharmacodynamics for Chinese Materia Medica Formula (CMMF). By network pharmacokinetic principle, combining with the Laplace transform, as well as linear algebra, the general solution for equation of network pharmacodynamics were obtained and their parameters were analyzed. The CMMF network pharmacodynamic model was a polynomial with e power. The equilibrium constants of each nods in network were obtained by solving linear equation established with AUC (equilibrium concentration) and initiate quantum (intravenous drip velocity) for their. The equilibrium constants calculated in oral administration was similar with in injection, only supernumerary of the absorption equilibrium constants. That suggested the network pharmacodynamics for dose-ratios, dose-chrono and dose-effect of the CMMF was carried out; There is network biologic principle of conservation that the initiate value (intravenous drip velocity) for each nods in network is equal to the summation of product equilibrium constant versus AUC (quilibrium concentration).
---
**SL-65**
**Track:** CNS Drug Discovery & Therapy
**REMOTE ISCHEMIC CONDITIONING: WILL IT TRANSLATE INTO A PROMISING TREATMENT FOR ACUTE STROKE**
**Nasrul Hoda, David C. Hess, Susan C. Fagan**
*Georgia Regents University and the University of Georgia, Augusta GA 30912, USA; E-mail: email@example.com*
Approximately 15 million people suffer stroke worldwide. It is the 3rd leading cause of adult morbidity and number one cause of disability. Due to associated risk of hemorrhage, the FDA approves IV-tPA within 3 hrs post-stroke, which benefits only 3 – 5% of sufferers. In >30 years of stroke research, all other pharmacological trials failed except IV-tPA which is quite discouraging for both, clinicians and pharma industries. STAIR recommends development of therapies, which can be used with and without IV-tPA and in pre-hospital settings.
*Our remedies oft in ourselves do lie.* Shakespeare. Therefore, we propose remote ischemic conditioning (RIC), a sub-lethal ischemia using BP instrument and cuff on a remote resistant organ like limb, as a novel and ideal approach for the treatment of acute stroke via modulation of endogenous mechanism. RIC increases cerebral blood flow (CBF) and survival mechanism, and reduces infarction with and without IV-tPA in a partially humanized novel embolic stroke model developed by us. RIC prevented the post-thrombolytic edema, hemorrhage and associated mortality. It improves short- and long-term motor and cognitive deficits in mice. In human subjects within 14 days post-stroke, RIC increased CBF as measured by ASL with a persistent diffusion-perfusion mismatch. We developed a software program and a non-invasive programmable ischemia conditioner for rodents and human. We are in communication with FDA for a possible clinical trial in future. We are also exploring the possible humoral mechanism of increased microvascular perfusion and reduced no-reflow by RIC via AMPK-eNOS-HSP90 pathway, using conditional knock out mouse models and plasma of conditioned animals.
**SL-41**
**Track:** Drug Delivery and Targeting
**OCULAR OFLOXACIN MICROSPHERES LOADED IN SITU GELLING SYSTEMS: PREPARATION, CHARACTERIZATION AND IN VIVO EVALUATION**
*Amal Hussein, Khaled Khaled, Osama Ali and El Shaimaa Shehata*
*Department of Pharmaceutics & Industrial Pharmacy, Faculty of Pharmacy, Minia University, Minia, Egypt; E-mail: amal_k@ yahoo.com*
Topical application of ophthalmic drugs is the method of choice for treatment of ophthalmic disorders. Microparticulate delivery systems and in situ gelling systems were developed to increase the bioavailability of ophthalmic drugs.
The aims of this work were to prepare biodegradable ofloxacin-loaded PLGA microspheres and to evaluate the effects of process parameters on encapsulation efficacy, release, size, and surface morphology were evaluated. In addition the optimized formulation was subjected to *in-vivo* study compared with marketed Ocuflox® eye drops using an animal model.
It was found that by using O/O method and a mixture of acetonitile, methyl alcohol and methylene chloride in ratio 6:4:1 as internal phase, high surfactant and polymer concentrations led to a more appropriate encapsulation efficiency, low burst effect and desirable release pattern. Ocuflox® achieved the therapeutic level of ofloxacin only during the first hour after instillation. While the microspheres incorporated in Gelrite *in situ* gel showed longest duration of action more than 8 hrs after instillation.
In conclusion, ofloxacin microspheres loaded in situ gelling systems could be considered a successful novel controlled release formulation for ocular deliver.
**Keyword:** Ofloxacin, microspheres, *in situ* gel, ocular, bioavailability.
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**SL-107**
**Track:** Pulmonary Drug Discovery & Therapy
**BIODEGRADABLE POLYMER MICRO/NANOPARTICLES AS CARRIER FOR PULMONARY DELIVERY OF DRUGS**
*Nazrul Islam, Rinku A. Tuli, Tim R. Dargaville and Graeme A. George*
*Pharmacy Discipline, Faculty of Health, Queensland University of Technology, 2 George Street, Brisbane, QLD 4000, Australia; Tel: +61 7 3138 1899; Fax: +61 7 3138 1534; E-mail: firstname.lastname@example.org*
Polymers are playing an integral role in the advancement of drug delivery technology and biodegradable polymers have led to the development of various novel drug delivery systems. The controlled surface and bulk physical properties of polymers aid in engineering of polymers for novel controlled drug delivery system. Dry powder inhaler (DPI) formulations, where micronized (<5 µm) drugs mixed with conventional lactose microcarriers are delivered into deep lungs using a suitable device. Currently available lactose carrier is not performing well due to the difficulty associated with lactose carrier particles such as controlling the size, shape and surface roughness. These factors, in turn, affect the dispersion of drugs from DPI formulations. The use of polymer micro/nanoparticles in the pulmonary drug delivery system is in its infancy and their use as carriers in tablets has not been well studied. The aim of our work involved in investigating the engineered biodegradable polymer micro/nanoparticles of polycaprolactone (PCL), polyactic-co-glycolide (PLGA), and chitosan with reproducible surfaces, as an alternative carrier to lactose for deep lung delivery of drugs. We achieved a better understanding on the polymer micro/nanocarriers for the development of DPI formulations for efficient lung delivery of drugs.
**SL-121**
**Track:** Advances in Neuroscience Technique Useful for Drug Discovery and Therapy
**NEUROTOXIN 1-METHYL-4-PHENYL-1,2,3,6-TETRAHYDROPYRIDINE (MPTP)-INDUCED MICE MODEL FOR PARKINSON’S DISEASE**
*Jiro Kasahara*
*Department of Neurobiology and Therapeutics, Graduate School and Faculty of Pharmaceutical Sciences, Institute of Health Bioscience, The University of Tokushima, Tokushima, Japan; E-mail: email@example.com*
Parkinson’s disease (PD) is a common neurodegenerative disorder characterized by a slowly progressive motor dysfunction and loss of dopaminergic neurons located in the substantia nigra innervating to the striatum, causing depletion of dopamine to which leads a hyper-activation of the striatal medial spiny neurons. To understand the pathophysiological details of PD and for developing and screening the novel therapeutic and/or neuroprotective substances, animal models for PD induced by neurotoxins have been developed. Among them, 1-methyl-4-phenyl-1,2,3,6-tetrahydropyridine (MPTP) is the most commonly used as a PD model because it has a lot of merits compared to other models with well satisfying the face, constructive and predictive validities of human PD. As a facial validity, bilateral motor dysfunctions related to extrapyramidal syndrome have been well reproduced, and many behavioral tasks for animal models have been developed. As constructive validities, following characteristics observed in human PD are well reproduced; specific cell death of nigro-striatal dopaminergic neurons, decrease of the striatal dopamine and its metabolites; activation of astrocytes and microglia; oxidative stress caused both by mitochondrial dysfunction and activated glial cells; inflammatory reactions. As a predictive validity, many of the drugs in clinical use for PD are also effective in MPTP model; I have been using MPTP-induced PD model of mice and evaluating some possible compounds for PD. In this symposium, I first overview the characteristics of the MPTP-treated mice with its practical experimental methods including behavioral, biochemical, immunohistochemical and molecular examinations, and then show actual data of some compounds evaluated in this model with discussing its molecular mechanisms of action.
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**SL-16**
**Track:** Chemistry
**TETRACYCLIC HETEROAROMATIC SYSTEMS-SYNTHESIS OF ETHOXYCARBONYL-PHENYL-PYRIDO[3',2':5,6]THIOPYRANOQUINOLINES**
*Muhammad Naeem Khan, Misbahul Ain Khan, Lubna Tahir, Muhammad Khalid Saeed and Salma Rahman*
*Applied Chemistry Research Center, PCSIR Laboratories Complex, Ferozepur Road, Lahore, Pakistan; E-mail: firstname.lastname@example.org*
7-benzylideneamino-5H-thiochromenol[2,3-b]pyridin-5-ones and 9-benzylideneamino-5H-thiochromeno[2,3-b]pyridin-5-ones, on reaction with ethyl pyruvate to afford 1-ethoxycarbonyl-3-phenyl-12H-pyrido[3',2':5,6]thiopyrano[3,2-d]quinoline-12-ones and 4-ethoxycarbonyl-2-phenyl-7H-pyrido[3',2':5,6]thio-pyrano[3,2-d]quinoline-7-ones respectively by the two different methods. These products were precipitated by addition of ethanol, water (1:1), were purified by recrystallizing from appropriate solvents, and were characterized from their IR, 1H-NMR and mass spectral data.
**SL-31**
**Track:** Anti-Cancer Discovery & Therapy
**ECONOMIC BURDEN OF CANCER PATIENTS IN MOLECULAR TARGET THERAPY**
*Nobuo Koinuma*
*Tohoku Pharmaceutical University, 4-6-1, Komatsushima, Aoba-ku, Sendai, 981-8558, Japan; E-mail: email@example.com*
**Purpose:** It is to find the actual situation of cancer patient’s copayment, especially when high-cost molecular target treatment is necessary and to investigate rational measures for reduction of the burden.
**Method:** An investigation was conducted in 42 core institutions in cancer care in Japan. Clinical information was also got from doctors and both data were linked.
**Results:** The average annual out-of-pocket expenses (including indirect expenses) of the whole patients with solid tumor (n=2,114) and those of patients who received the molecular target therapy were US $6,600 and $12,200 respectively. The annual sum of co-payment by molecular target drugs were as follows; $10,000 in rituximab (n=131), $11,000 in trastuzumab (n=158), $11,500 in gefitinib (n=45), $12,000 in imatinib (n=135) and $16,500 in bevacizumab (n=70).
**Conclusion:** It was revealed that the economic burden of the patient who received the molecular target therapy was considerably serious. It is indispensable to reduce the burden in order to send the remarkable technical progress to all patients with cancer.
---
**SL-136**
**Track:** Advances in Neuroscience Technique Useful for Drug Discovery and Therapy
**PREVENTING THE DEVELOPMENT OF EPILEPSY BY INHIBITING NKCC1 TRANSPORTER**
*Ryuta Kovama*
*Laboratory of Chemical Pharmacology, Graduate School of Pharmaceutical Sciences, The University of Tokyo, Japan; E-mail: firstname.lastname@example.org*
Epilepsy is a neurodevelopmental disorder which is often accompanied by the formation of aberrant neural circuits during development. Specifically, in the hippocampus of patients with temporal lobe epilepsy (TLE) and its animal models, it has been suggested that abnormally located dentate granule cells provide aberrant excitatory networks in the dentate gyrus. However, cellular and molecular mechanisms that induce the emergence of ectopic granule cells remained unclear. Using a rat model of complex febrile seizures, which are thought to be a precipitating insult of TLE later in life, we found that aberrant migration of neonatally generated granule cells results in granule cell ectopia that persists into adulthood. Febrile seizures induced an upregulation of GABA\textsubscript{A} receptors (GABA\textsubscript{A}-Rs) in neonatally generated granule cells, and hyperactivation of excitatory GABA\textsubscript{A}-Rs caused a reversal in the direction of granule cell migration. This abnormal migration was prevented by RNAi-mediated knockdown of the Na\textsuperscript{+}K\textsuperscript{+}2Cl\textsuperscript{−} co-transporter (NKCC1), which regulates the excitatory action of GABA. NKCC1 inhibition with a widely used diuretic, bumetanide, after febrile seizures rescued the granule cell ectopia, susceptibility to limbic seizures and development of epilepsy. We further found that the bumetanide application improved memory performances that was adversely affected by early-life febrile seizures, likely through preventing the emergence of ectopic granule cells. Thus, our study identifies a previously unknown pathogenic role of excitatory GABA\textsubscript{A}-R signaling and highlights NKCC1 as a potential therapeutic target for preventing granule cell ectopia and the development of epilepsy after febrile seizures.
**SL-35**
**Track:** Drug Delivery and Targeting
**A NOVEL COLLOIDAL SYSTEM BASED GEL FOR EFFECTIVE DELIVERY OF KETOROLAC TROMETHAMINE**
**Gannu Praveen Kumar and Thallapelli Anusha**
*Department of Industrial Pharmacy, St. Peter’s Institute of Pharmaceutical Sciences, Vidyanager, Hanamkonda, Warangal-506001, India; E-mail: email@example.com*
The gastric ulcerogenic effect of water soluble ketorolac tromethamine renders it a suitable candidate for transdermal delivery. Solubility studies in propylene glycol, PEG 400 and Tween 80 were carried out and solubility was found to be highest in propylene glycol (60 mg/g). The gel formulation was prepared with a colloidal solution of drug and surfactants to which carbopol gel was added. The preparation was completely dispersed within the gel using a high speed homogenizer (Remi, India). Cloud point was determined visually by noting the average temperature at which turbidity is observed and disappeared. Release studies were performed in Franz diffusion cell in phosphate buffer at pH 7.4. The developed formulations were easily washable, smooth to feel and showed no clogging, which indicated superior texture of the system. Formulations prepared with decreasing polysorbate 80 ranged in size from 217.7-293.3 nm with polydispersity index between 0.233-0.360. They showed greater spreadability and high drug diffusion rate when compared to gels made with increasing concentrations of pluronic F 127. Drug content of gel formulations were in the range of 90-94%. The pH of the formulations ranged between 5.0 and 6.5, reflecting less risk of skin irritation. Propylene glycol and TPGS enhanced the spreadability of the gel by increasing viscosity. *Ex vivo* skin permeation studies for the optimized formulation showed 35.34% drug release, which is significantly greater than the release observed with the market preparation (34.37%) over a period of 24 h. The prepared optimized formulation was found to be stable without any significant changes at room temperature.
---
**SL-134**
**Track:** Diabetes and Obesity Drug Discovery & Therapy
**DIABETES TREATMENT DURING RAMADAN FASTING: CAN WE GET IT RIGHT?**
**Nader Lessan**
*Imperial College London Diabetes Centre, Abu Dhabi, UAE; E-mail: firstname.lastname@example.org*
Fasting during the Holy Month of Ramadan is practice by Muslims worldwide. The fast entails abstinence from eating and drinking between dawn and sunset. Traditionally, the fast is broken by some sweet food. The iftar is often rich in carbohydrates. There are no restrictions to eating or drinking between sunset and the dawn.
Although the sick are exempt from this practice, many patients with diabetes opt to fast for cultural, social, personal as well as religious reasons. This may put the patients at risk of hypo- and hyperglycaemia. Indeed, epidemiological studies such as the EPIDIAR, have demonstrated an increased risk of hyperglycaemia (7.5 fold) and hypoglycaemia (4.7 fold). Guidelines, including those published and updated by the American Diabetes Association, have categorized patients to different risk groups.
Our own continuous glucose monitoring study of patients during Ramadan fasting has shed further light on glucose fluctuations among patients with diabetes on various medication groups. A major problem is the post-iftar glucose rise which may be due to the constitution of the food consumed, but inappropriate dosing and timing of medication may be other contributing factors to this excursion which is almost universal to all patients. We have highlighted the effect of prior glycaemic control and medication category on glucose excursions during Ramadan fasting. We have also been able to arrive at a simple predicting index to help the patient and the clinician decide on how safe the Ramadan fast may be for the individual patient.
It is apparent that patients on insulin and sulfonylureas may be at particular risk of deteriorating control, whereas those on no medication, metformin, glitamins, or glitazones are generally at lower risk. Clearly, not all insulin regimens are the same and treatment has to be individualized. Experience and also recent evidence indicates that we are not achieving acceptable control. The lecture will address some of the common and uncommon, but more serious problems encountered by the fasting patients and attempt formulate solutions to help get things right.
**SL-95**
**Track:** Traditional Chinese Medicine
**KAEMPFEROL FROM DRYNARIA FORTUNEI PROMOTES THE PROLIFERATION OF KIDNEY TUBULAR-CELL AND THE SECRETION OF BGF**
**Shun-Xiang Li, Mian Long**
*Pharmacy School, Hunan University of Chinese Medicine, Changsha 410218, China; Tel: 86-731-88458229; Fax: 86-731-88458227; E-mail: email@example.com*
Six compounds were isolated and identified to be naringin, neoeriocitrin, Kaempferol, naringenin-7-O-β-D-glucoside, kaempferol-3-O-β-D-glucopyranoside-7-O-u-L-arabinofuranoside and kaempferol-3-O-a-L-rhamnosyl-7-O-β-D-glucoside were isolated from *Drynaria fortunei*. The activity of the components was examined by studying the proliferation and bio-function of Opossum Kidney (OK), osteoblast (MC3T3 E1) and human fibroblast cells. Kaempferol was found to be active in promoting OK cell growth which increased by 16-30% and 11.6% respectively in the absence or presence of gentamicin. Kaempferol promoted neither MC3T3 E1 nor HF cell proliferation. OK cell-conditioned culture medium (OKM) increased MC3T3 E1 growth by 198%. MC3T3E1 cell growth additionally increased by 12.7% in comparison to control OKM. The results of OKM promoted osteoblast proliferation indicate that the kidney cell secretes BGF. Kaempferol stimulates kidney cells proliferation and increases secretion of BGF. The data suggest that patients with CKD associated with bone deficiency, may have a lower level of BGF. Kaempferol may serve to stimulate kidney repair and up-regulate bone formation and may be useful in treating CKD and osteoporosis.
---
**SL-69**
**Track:** Traditional Chinese Medicine
**RESEARCH ON MECHANISMS AND PRINCIPLES OF WARM-UNBLOCK AND WARM-TONIC EFFECTS ON MOXIBUSTION**
**Mi Liu, Xiao-Rong Chang, Jie Yan, Shou-Xiang Yi, Zeng-Hui Yue, Huan-Gan Wu**
*Hunan University of Chinese Medicine, Changsha 410208, Hunan Province, China; Tel: 86-731-8845-8187; E-mail: firstname.lastname@example.org*
Based on the research of principles and mechanism of warm-unblock and warm-tonic effects induced by moxibustion, the study aims to explore the mechanism of warm-unblock and warm-tonic effects, the relation between these two effects and the characteristics of effects rules. The preliminary results showed that the mechanism of warm-unblock and warm-tonic effects could be modulation the neural-endocrine-immune pathway and also the function of *Zangfu* organs, and promotion the circulation of *Qi* and blood by activating the related acupoints. They also indicated that the relations of effects would be presented as following: warm-effect would promote unblock-effect and generate tonic-effect; unblock-effect would enhance tonic-effect, and *vice versa*. Moreover, they pointed out the characteristics of effect principles might be unblock- and tonic-effect features, particularity, conditionality, extent, diversity and sustainability.
---
**SL-75**
**Track:** Traditional Chinese Medicine
**THE CENTRAL MECHANISM OF PUNCTURING AT ACUPOINTS ALONG SHAOYANG MERIDIANS FOR MIGRAINEURS: AN FMRI STUDY**
**Mai-Lan Liu, Fan-Rong Liang, Xiao-Rong Chang, Fang Zeng**
*Hunan University of Chinese Medicine, Changsha 410208, China; E-mail: email@example.com*
**Objective:** To explore the central mechanism of acupuncture analgesia.
**Method:** Forty-one migraineurs without aura were randomized into acupuncture groups along shao yang meridians group (RA), sham acupoints group (SA) and waiting list group (WL). Migraineurs in the RA and SA were received 20 times acupuncture within 4 weeks and those in WL were observed for 4 weeks without treatment. Clinical evaluation and functional Magnetic Resonance Imaging (fMRI) data were collected pre- and after-treatment.
**Results:** Comparing pre-treatment to after-treatment, cerebral responses of migraineurs mainly located in brain stem, limbic system and PFC, and HD improvement positively correlated with changes of middle brain and OFC in WL; cerebral changes mainly in the right Parahippo and PFC, and HD improvement positively correlated with changes of Parahippo in RA. Related brain areas extensively located in bilateral limbic cortices and PFC in SA.
**Conclusion:** The central mechanism of acupuncture may relate to the targeting modulation of the function of stem-limbic-prefrontal cortices.
---
**SL-127**
**Track:** Cardiovascular Drug Discovery & Therapy
**STUDY ON PHARMACOLOGICAL FUNCTION PROPERTIES, FORMULA PRINCIPLES, CORE BIOACTIVE COMPONENTS, EFFICACY TARGETS AND MECHANISMS OF A TRADITIONAL CHINESE HERBAL FORMULA FOR CARDIOVASCULAR DISEASES COMPOUND XUESHUANTONG CAPSULE (CXC)**
**Hong Liu**, Jin-xu Wang, Shu-jing Sheng, Pei-bo Li, Wei Peng, Yong-gang Wang, Cheng-shi Xie, Chao-feng Long, Wei-wei Su
*School of Life Sciences, Sun Yat-sen University, Guangzhou, 510275, P.R. China*
Compound Xueshuantong Capsule (CXC) is a traditional Chinese herbal formula performing excellent effects on promoting blood circulation. CXC is comprised of *Panax notoginseng*, *Radix astragali*, *Salvia miltiorrhiza*, and *Radix scrophulariae*. Taking CXC as the research carrier, the present study was thus designed to explore pharmacological function properties, illustrate formula principles, identify core bioactive components, improve quality control, and reveal underlying efficacy targets and mechanisms based on the combination of HPLC fingerprint, experimental pharmacology, statistical analysis, and network pharmacology.
The results demonstrated that: CXC can perform multiple effects on hemorheology, oxidative stress, energy metabolism, inflammation, and hepatorenal function; *Panax notoginseng* has the highest efficacy contribution and can significantly regulate red blood cell (RBC) deformability and blood clotting activity to improve microcirculation disturbance, while *Radix astragali*, *Salvia miltiorrhiza*, and *Radix scrophulariae* can significantly reduce RBC aggregation to prevent blood hypercoagulability; Ginsenoside Rb₁ (RBC aggregation), panaxtriol (RBC aggregation), angoroside C (platelet aggregation), protocatechualdehyde (intrinsic clotting activity), ginsenoside Rd (RBC deformability), and calycosin-7-O-β-D-glucoside (extrinsic clotting activity) are core bioactive components in CXC; Among 115 thrombosis disease-related targets, 41 may be affected by CXC, therein, F2, PDE5A, ACE, FDP, FIB, ATⅢ, iNOS, vWF, etc. are further experimentally confirmed to be the key efficacy targets.
The graphic abstract is depicted below.
**SL-34**
**Track:** Innovative Drug Discovery and Nanotechnology
**THE PHOSPHOLIPID ENZYME CTP:PHOSPHOETHANOLAMINE CYTIDYLTRANSFERASE (Pcyt2) IS A NEW TARGET FOR OXIDATIVE STRESS THERAPY AND ISCHEMIA**
**Bakovic Marica, Lin Zhu, Vishal M. Gohil and Vamsi K. Mootha**
*Department of Human Health and Nutritional Sciences, University of Guelph; ANNU Bldg Rm 346, 50 Stone Road East, Guelph, ON, Canada, N1G 2W1; E-mail: firstname.lastname@example.org*
It is well-known that is beneficial to transiently block respiration during ischemia/reperfusion; however there is an unmet clinical need for discovering new compounds and targets that can inhibit the respiration. We established that the ‘over-the-counter’ anti-histaminergic drug Meclizine could inhibit mitochondrial respiration (uncoupling the OXPHOS) by elevating the levels of phosphoethanolamine, an intracellular metabolite in phospholipid biosynthesis and the exclusive substrate of Pcyt2. That phosphoethanolamine was the only elevated intermediate (33-fold) during the inhibition of respiration with Meclizine strongly directed towards Pcyt2 as the drug target. The extensive metabolic studies as well as studies on recombinant Pcyt2 protein provided strong evidence for direct inhibition of Pcyt2 with Meclizine. The impact of our discovery is not only how to expand the future use of Meclizine but also to offer the first inhibitor for the CDP-ethanolamine Kennedy pathway, to continue to investigate the regulation of the membrane phospholipid synthesis and the basic function of Pcyt2. This is the first time to be demonstrated that the membrane biogenesis impacts mitochondrial OXPHOS and that the inhibition of the CDP ethanolamine pathway at the level of Pcyt2 is protective under pathological conditions of oxidative stress and ischemia.
---
**SL-66**
**Track:** Biologics
**NEUROCARDIOVASCULAR DISEASES-NOVEL THERAPEUTICAL ASPECTS OF THE OLD ISSUES**
**Tijana Bojić Milinović**
*Laboratory for Radiobiology and Molecular Genetics -089, Institute of Nuclear Sciences Vinča, University of Belgrade, Belgrade, Serbia; Tel/Fax: +381 112117485; E-mail: email@example.com*
Dynamic environmental changes contrasting basic functional needs of the organism dramatically challenge the neural cardiovascular adaptive mechanisms. Neurocardiovascular diseases are the syndromes where autonomic nervous system (ANS) dysfunction plays a dominant etiological role. Neurocardiovascular disorders can be classified as sympathetic vs. vagally mediated disorders, though in many disorders both systems are dysfunctional. Target molecules for therapeutical intervention can be found all along the signalling pathways of ANS, though due to the plasticity of ANS their relative contribution to the pathological phenotype is different between different populations. When joined parasympathetic and sympathetic nervous system disequilibrium is considered, the focus of research should be on molecules providing the cross-talk between the two systems: on intracellular and intercellular level and on the level of the signalling process integration (1). Proposed therapeutical strategies are gene, pharmacologic and behavioural modulation of ANS.
---
**SL-92**
**Track:** Anti-Infectives
**ON THE ROLE OF GENOMIC ISLANDS IN BACTERIAL PATHOGENICITY AND ANTIMICROBIAL RESISTANCE**
**Doaa Safwat Mohammad**
*Directorate of Health Affairs, Ministry of Health and Population, Minia, Egypt; E-mail firstname.lastname@example.org*
Transfer of virulence and antimicrobial resistance genes among different bacterial strains is one of the main causes of antimicrobials use failure. Genomic islands (GEIs) play a crucial role in this genetic
transfer. They are discrete DNA segments which contain virulence, antimicrobial resistance and other types of genes. They can excise from a host chromosome, transfer to other bacterial strains and integrate into the chromosome of a new host. GEIs transfer horizontally between different species by transformation, conjugation and transduction. This genetic transfer causes virulent strains to be more virulent and the nonpathogenic strains to be pathogenic which contributes in bacterial evolution to great extent. GEIs are originally symbiotic to enable bacteria to adapt their surrounding environment, but after environmental changes and acquisition of different genes they become pathogenic which means that pathogenesis is due to a combination of events. Bacteria can be diagnosed through detection of GEIs as they are species-specific in many cases. The most well-known GEIs include the locus of enterocyte effacement (LEE) PAIs of Enteropathogenic *E. coli* (EPEC), the cytotoxin-associated gene (cap) and tsx4 GEIs of *H. pylori*, *Staphylococcus* PAIs encoding toxic shock syndrome toxin (TSST), Salmonella genomic island 1(SGI1) of *Salmonella typhimurium* and the AbaR and Tn6167 GEIs of *A. baumannii*. Clustered regularly interspaced short palindromic repeats (CRISPRs) and their associated (Cas) proteins are targeting DNA, causing genomic alterations and resulting in bacterial evolution and pathogenicity. Variation in genomic signature from host chromosome is used for GEIs detection.
**Keywords**: Antimicrobials, evolution, horizontally, islands, pathogenicity, resistance, symbiotic.
---
**SL-131**
**Track:** Advances in Neuroscience Technique Useful for Drug Discovery and Therapy
**IN VIVO AUTOMATED INTRACELLULAR RECORDING FROM MULTIPLE NEURONS**
**Masanori Murayama**
*Brain Science Institute, RIKEN, Wako, Japan; E-mail: email@example.com*
Although multiple *in vivo* intracellular recording is a useful technique for understanding how neurons and neural circuits function, this is formidable tasks for researchers. In order to overcome this difficulty, we developed an automated intracellular recording (AIR) system. This AIR system can automatically move an electrode in the brain, find a neuron, activate a brief high frequency current to penetrate the neuron and inject the optimal negative current to recovery from the penetration damage. We evaluated the performance of the AIR system in anesthetized head-restrained mice. The success rate for one electrode was 63% (n=11 electrodes). The average stable recording time was 56 min, and a maximum time was 193 min. After stable intracellular recording from one neuron was finished, this system could continuously find another neuron and achieve the intracellular recording from it without changing the electrode. We could record from up to 4 neurons using 1 electrode. For multiple *in vivo* intracellular recording, we run 6 AIR systems in parallel and succeeded in simultaneous recording from 4 neurons; 2 neurons from the primary somatosensory and 2 neurons from the secondary motor area. This system will enable us to record from neurons that are synaptically connected and help us to understand the mechanism of the synaptic transmission *in vivo*.
---
**SL-72**
**Track:** Translational Medicine
**OLD PROBLEMS, NEW SOLUTIONS: VARIABILITY AND NONLINEARITY IN BIOPHARMACEUTICAL PROCESSES AND MATHEMATICAL MODEL-BASED PROBLEM SOLVING**
**Fahima Nekka**
*Faculté de Pharmacie, Université de Montréal; Email: firstname.lastname@example.org*
In the drug development arena, the rapid accumulation of new quantitative methodologies and tools pushed the emergence of systemic and mechanistic studies of pharmacology that drive the drug R&D. Particularly, tools based on modeling and simulation (M&S) gained a large popularity in the milieu considering the increasing number of success stories involving M&S. The efficient use of these tools heavily relies on advanced mathematical methodologies and their appropriateness to the problem at hand.
Dose-exposure-effect relationship involves physiological and drug related variability as well as nonlinearity in therapeutic outcomes, which are at the centre of our methodological developments. In this talk, I will discuss how these
phenomena can be tackled within a probabilistic framework. To illustrate, I will report on the experience the team has developed in the area of biopharmaceutical research, fully supported by mathematical proof of concepts, with projects ranging from patient compliance, optimal design of drug regimens, limited sampling strategies as well as new insights in drug disposition.
Dr. J. Li is the main collaborator. Other team members contributing to this research program are: O. Barrière, S. Sarem, G. Bonnefois, M. Craig, L. Kheibarshekan and X.T. Wu.
REFERENCES
[1] O. Barrière, J. Li and F. Nekka, A Bayesian approach for the estimation of patient compliance based on the last sampling information, Journal of Pharmacokinetics and Pharmacodynamics, 38, Issue 3, 333-351 (2011).
[2] S. Sarem, J. Li and F. Nekka, Compliance Descriptors: Analysis and Evaluation in terms of Therapeutic Effect, Biopharm. Drug Dispos., 27: 479-488 (2011).
[3] D. Gohore Bi, F. Fenneteau, O. Barrière, J. Li and F. Nekka, Rational Drug Delineation: A Global Sensitivity Approach Based on Therapeutic Tolerability to Deviations in Execution, Pharmacology and Pharmacy, 1, 42-52 (2010).
[4] F. Fenneteau, J. Li, F. Nekka, Assessing Drug Distribution in Tissues Expressing F-glycoprotein Using Physiologically Based Pharmacokinetic Modeling: Quantification of Important Tissue Parameters Using Bayesian Sensitivity Analysis, JPKPD (listed at the top 5 journals in PK/PD), J Pharmacokinet Pharmacodyn, 2009 Dec;36(6):495-522, Epub: 2009 Oct 22.
[5] F. Fenneteau, P. Poulin, F. Nekka, Physiologically Based Predictions of the Impact of Inhibition of Intestinal and Hepatic Metabolism on Human Pharmacokinetics of CYP3A Substrates, Journal of Pharmaceutical Sciences, Vol. 99, 486–514 (2010).
[6] J. Li, F. Nekka, A Probabilistic Approach for the Evaluation of Pharmacological Effect Induced by Patient Irregular Drug Intake, J Pharmacokinet Pharmacodyn, Vol. 36, No. 3, 221-246, (2009).
SL-74
Track: Anti-Infectives
HIDDEN ANTIBIOTICS IN ALLIUM HIRTIFOLIUM
Vasanthakumari Neela
Department of medical Microbiology and Parasitology, Faculty of Medicine and Health Sciences, University Putra Malaysia, Serdang, Selangor, 43400, Malaysia; E-mail: email@example.com
Allium hirtifolium which is known as Persian shallot (locally called Mooser), is used as traditional medicine in Iran for the treatment of rheumatic and inflammatory disorders, gout, arthritis, diarrhea, stomach pain, psoriasis and hemorrhoid. We investigated the antimicrobial activity against clinical important drug resistant pathogen with special focus on methicillin resistant *Staphylococcus aureus* (MRSA). The semi-purified dichloromethane (DCM) fraction of the crude methanol extract was assessed for antibacterial activity by disc diffusion test, minimum inhibitory concentration (MIC) and time kill study. Persian shallot exerted inhibitory activities against MRSA) with different staphylococcal cassette chromosomes mec (SCCmec), methicillin susceptible *Staphylococcus aureus* (MSSA), *Staphylococcus epidermidis*, *Streptococcus pyogenes*, *Proteus vulgaris*, *Escherichia coli*, *Bacillus subtilis*, and *Acinetobacter baumannii*. MICs ranging from 1.6 to 4.0 mg/ml for different MRSA strains. All MRSA strains were killed completely within 20 minutes at the MIC. Gram staining and electron microscopy documented a clear detrimental effect on bacterial cell morphology. All these data gives indication that Persian shallot contain potent antibiotics with clear antibacterial activity. We are currently working on isolation, purification and identification of potential bioactive compounds and the drug targets in bacteria.
SL-126
Track: Advances in Neuroscience Technique Useful for Drug Discovery and Therapy
RHOA/RHO KINASE PATHWAY IS NEW TARGET FOR TREATMENT OF NEUROPATHIC PAIN
Masahiro Ohsawa
Department of Neuropharmacology, Graduate School of Pharmaceutical Sciences, Nagoya City University, Japan; E-mail: firstname.lastname@example.org
Neuropathic pain is a common symptom in several diseases such as nerve-injury, cancer, and diabetes mellitus. The progression of neuropathic pain causes serious problems in daily life and may affect the
prognosis of these diseases. Neuropathic pain is resistant for opioid analgesics, and new curatives are required. Several intracellular signaling molecules have been considered to participate in neuropathic pain. Activation of protein kinase C in the spinal cord has been reported to play a central role in the pathogenesis of neuropathic pain. We recently found that small molecular G-protein RhoA in the spinal cord is also involved in the development and/or maintenance of neuropathic pain. Indeed, pharmacological inhibition of Rho-associated kinase (ROCK), which is activated by RhoA, also attenuates the hyperalgesia. Simvastatin, which inhibits RhoA activation though the inhibition of protein isoprenylation, attenuated the hyperalgesia in diabetic and nerve-injured mice. Since ROCK was co-localized with astroglial marker GFAP in the spinal cord, astrocyte might be involved in neuropathic pain. Interestingly, simvastatin and ROCK inhibitor attenuated the increased expression of GFAP in the dorsal horn of spinal cord of nerve-ligated mice. Moreover, simvastatin treatment attenuated the phosphorylation of myristoylated alanine-rich protein kinase C substrate (MARCKS), which modulates the neurotransmitter release and is suggested to be involved in hyperalgesia, in nerve-ligated mice. Inhibition of ROCK also attenuates the MARCKS protein phosphorylation in the spinal cord, suggesting that increased phosphorylation of spinal MARCKS in nerve-ligated mice is caused by the activation of spinal astroglial ROCK. These results indicated that RhoA/ROCK signaling inhibitors are attractive candidate for the treatment of neuropathic pain. It is also possible that substances that modulate astroglial function ameliorate the symptoms of neuropathic pain.
**SI-47**
**Track:** In Silico Drug Design and In Silico Screening
**CHEMICAL STRUCTURES ACCOUNT FOR HALF OF RHABDOMYOLYSIS CAUSING DRUGS**
*Norihito Ohmori, Hiroshi Horikawa and Takashi Okada*
*Department of Informatics, School of Science and Technology, Kwansei Gakuin University, 2-1-Gakuen-cho, Sanda 669-1323, Japan; Email: email@example.com*
We have extracted 16 basic active structures (BASs) for rhabdomyolysis. The base data was JAPIC2012 database containing labels of 1187 drugs on Japanese market. Chemical structure mining has identified BASs characteristic to 92 drugs with rhabdomyolysis side reaction. The results contain biphenyls, fluorine compounds, and those characteristic to ARBs and statins. They cover nearly half toxic compounds.
We have provided a new database to verify the usability of the BASs. It consists of drugs in JAPIC (2008 to 2013) and DrugBank. Drugs in the categories of *approved* and *withdrawn* were employed from DrugBank. The integrated database contains 2002 drugs, in which 702 drugs appear in both databases. Rhabdomyolysis appeared 74 times in JAPIC labels, while it was only 6 by DrugBank toxicity retrieval. Therefore we employed SIDER2 descriptions (higher than *post-marketing*) to judge the occurrence of the side effect. The application of the BASs to 767 drugs not sold in Japan resulted in the contingency table at the right. The BASs explain more than half of the drugs with the side effect, and the probability of rhabdomyolysis raises more than 5 times when a drug has a BAS. The p-value by Fisher’s exact test is 0.001. The same tendency was observed in the analysis of agranulocytosis.
| DrBk only | BAS | sum |
|-----------|-----|-----|
| | cover | uncover | |
| Rhab | y | 5 | 4 | 9 |
| | n | 76 | 682 | 758 |
| sum | 81 | 686 | 767 |
**EVALUATION OF THE HEALTH/DRUG INFORMATION-SEEKING BEHAVIOR OF THE HEALTH PRACTITIONERS AT THE POINT OF CARE AT A TERTIARY HOSPITAL IN SOUTH WEST NIGERIA**
**Moses Kayode Omole and G.K.A. Adepoju**
*Department of Clinical Pharmacy & Pharmacy Administration, Faculty of Pharmacy, University of Ibadan, Nigeria. E-mail: firstname.lastname@example.org*
This study aimed at evaluating the health/drug information-seeking behaviour of healthcare professionals including physicians, pharmacists and nurses at the point of care at the University College Hospital (UCH), Ibadan, Nigeria. A total number of 594 questionnaires were administered by stratified random sampling; and 445, corresponding to 75% response were returned. Data analysis was carried out using SPSS Version 11.0 for windows; simple percentage was done to describe the information resources used by all the practitioners. Chi-square analysis and ANOVA were used for the responses of the health professionals. Three hundred and eighty three (86.1%) respondents were completely literate while 337 (75.7%) had access to computers. Two hundred and seventy-three (61.4%) used the internet for health/drug information seeking, 84 (18.9%) used internet for e-mail purposes and 26 (5.8%) used internet for other purposes while 62 (13.9%) did not use the internet. Sources of health/drug information used included textbooks 187(40.1%), journals 7(1.6%), other professionals 97(21.8%) and others such as medical representatives 163(36.6%). The frequency of search for information needs differed significantly (p<0.05). The nurse professionals 96(61.0%) were the least in the health/drug information seeking behavior compared with the physician’s 235(100%) and pharmacists 52(100%). Access to the computer was least among the nurses 50(31.7%).
Education and training of health professionals will enhance their clinical practices regarding the use of available internet for the information seeking behavior at the point of care.
**Keywords:** Physicians, pharmacists, nurses, health and drug.
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**SEMI-SYNTHESIS AND BIOLOGICAL EVALUATION OF URSOLIC ACID AND ITS DERIVATIVES**
**Adebola O. Oyedeji, Mngomezulu S.T., Shode O.O.**
*Department of Chemistry and Chemical Technology, Walter Sisulu University of Technology, Mthatha 5099, South Africa; Office: +27 47 502 1951; Fax: (+27) 086 613 9244; E-mails: email@example.com, firstname.lastname@example.org*
*Mimusops caffra* provided sufficient Ursolic acid (UA) (1) which was used as a template for the semi-synthesis of the bioactive compounds. Sequential solvent extraction of the leaves of this plant, it was found that ethyl acetate was the best solvent for the extraction since it gave more extract (3.1% recovery yield) and direct solvent extraction gave 9% recovery yield. Defatting the crude extract by simple pre-purification, semi-pure extract was obtained. This study confirmed the report from literature that UA is always accompanied by its isomer Oleolic acid (OA) (2) which makes it hard to be isolated by simple chromatographic methods since both isomers have the same $R_f$ value 0.49 on the Thin Layer Chromatography(TLC) plate, the closeness on their structures is also confirmed by Nuclear Magnetic Resonance (NMR) methods. The separation of UA from OA by acetylation was achieved to give acetate of UA(0.73;6.2%) and acetate of OA (0.58;18%) respectively followed by UA (RI 0.49; 90%) and OA (RI 0.49; 89%).
This research entails the Structure Activity Relationship (SAR) where three more C3 and C28 modified-analogues of UA were successfully synthesized in good yields; 3-Acetyl-UA-28-methylate (3) (70%), 3-Acetyl-UA-28-benzylate (4) (52%) and 3-Acetyl-UA-28-cinnamate (5) (48%). The biological evaluation of the all these compounds as anticancer, anti-inflammatory and anti-hypertensive agents are hereby discussed.
**SL-91**
**Track:** Nutraceutical Drug Discovery & Therapy
**SYSTEMS MEDICINE, APPLYING SYSTEMS BIOLOGY APPROACHES FOR MULTIPLE SCLEROSIS TREATMENT BY THE USE OF SPECIFIC STRUCTURED MOLECULES AND ANTIOXIDANT VITAMINS: THE PLP10 NOVEL INTERVENTION PARADIGM**
**Ioannis S. Patrikios, George N. Loukaides, Evangelia E. Ntzani, Marios C. Pantzaris**
*School of Medicine, European University Cyprus, Nicosia, Cyprus. Email: email@example.com*
**Background:** For many years, the role of polyunsaturated fatty acids (PUFA) in the pathophysiology and development of neurodegenerative diseases and specifically multiple sclerosis has been a subject of considerable discussion and research but without proof of efficacy. We aimed to assess whether our novel intervention, formulated based on systems medicine concept, comprising specific fatty acids and vitamins within a specific ratio, quantity, quality, and structural form reduce disease activity in patients with relapsing remitting multiple sclerosis who were either treated with disease modifying treatment or untreated.
**Design:** A 30-month randomised, double-blind, placebo-controlled, parallel design, phase II proof-of-concept clinical study.
**Settings:** Cyprus Institute of Neurology and Genetics.
**Participants:** 80 participants were randomised into four groups of 20 each. A total of 41 (51%) patients completed the 30-month trial. The eligibility criteria were an age of 18–65; a diagnosis of relapsing–remitting MS according to the McDonald criteria; a score of 0.0–5.5 on the Expanded Disability Status Scale (EDSS); MRI showing lesions consistent with MS; at least one documented clinical relapse and either receiving or not a disease-modifying treatment within the 24-month period before enrolment in the study. Patients were excluded because of a recent (<30 days) relapse, prior immunosuppressant or monoclonal antibody therapy, pregnancy or nursing, other severe disease compromising organ function, progressive MS, history of recent drug or alcohol abuse, use of any additional food supplements, vitamins or any form of polyunsaturated fatty acids, and a history of severe allergic or anaphylactic reactions or known specific nutritional hypersensitivity.
**Interventions:** The first intervention (A) was composed of Ω-3 and Ω-6 polyunsaturated fatty acids at 1:1 wt/wt. Specifically, the Ω-3 fatty acids were docosahexaenoic acid and eicosapentaenoic acid at 3:1 wt/wt, and the Ω-6 fatty acids were linoleic acid and γ-linolenic acid at 2:1 wt/wt. This intervention also included minor quantities of other specific polyunsaturated, monounsaturated and saturated fatty acids as well as vitamin A and vitamin E (α-tocopherol). The second intervention (B, PLP10) was a combination of A and γ-tocopherol. The third intervention (C) was γ-tocopherol alone. The fourth group of 20 participants received placebo. The interventions were administered per os once daily, 30 min before dinner for 30 months.
**Main outcome measures:** The primary end point was the annualised relapse rate (ARR) of the three interventions versus the placebo at 2 years. The secondary end point was the time to confirmed disability progression at 2 years.
**Results:** A total of 41 (51%) patients completed the 30-month trial. Overall, for the per-protocol analysis of the 2-year primary end point, eight relapses were recorded in the PLP10 group (n=10; 0.40 ARR) versus 25 relapses in the placebo group (n=12; 1.04 ARR), representing a 64% adjusted relative rate reduction for the PLP10 group (RRR 0.36, 95% CI 0.15 to 0.87, p=0.024). In a subgroup analysis that excluded patients on monoclonal antibody (natalizumab) treatment, the observed adjusted RRR became stronger (72%) over the 2 years (RRR 0.28, 95% CI 0.10 to 0.79, p=0.016). The per-protocol analysis for the secondary outcome at 2 years, the time to disability progression, was significantly longer only for PLP10. The cumulative probability of disability progression at 2 years was 10% in the PLP10 group and 58% in the placebo group (unadjusted log-rank p=0.019). In a subgroup analysis that excluded patients on natalizumab, the cumulative probability of progression was 10% for the 10 patients in the PLP10 group and 70% for the 12 patients in the placebo group, representing a relative 86% decrease in the risk of the sustained progression of disability in the PLP10 group (unadjusted log-rank p=0.006; adjusted HR, 0.11; 95% CI 0.01 to 0.97, p=0.047). No adverse events were reported. Interventions A and C showed no significant efficacy.
**Interpretation:** PLP10 treatment significantly reduced the ARR, and the risk of sustained disability progression without any adverse or significant side effects. This is the first clinical study of systems medicine approach medical nutrient formula that holds strong promise as an effective treatment for relapsing remitting multiple sclerosis.
**Trial registration:** International Standard Randomised Controlled Trial, number ISRCTN87818535.
SL-39
Track: Regenerative Medicine
GDNF AND ITS MODIFICATIONS AS STIMULATOR OF NEURAL DIFFERENTIATION OF PROGENITOR CELLS- POSSIBLE APPLICATIONS
Galina Pavlova, Nadezhda Kanaykina, Olga Matveeva, Dmitry Panteleev and Alexander Revischkin
Department of Neurobiology, IBG RAS, Ltd Apto-Pharm, Russia; E-mail: firstname.lastname@example.org
GDNF therapy is effective against disorders associated with the degeneration of dopaminergic neurons, such as Parkinson's disease. This treatment not only increases the dopaminergic synaptic neurotransmission in the corpus striatum but also decelerates the degenerative processes in the nigrostriatal projections. We have created a modified GDNF to stimulate neural differentiation of progenitor cells. Effect of the transgenic cell secreted modified GDNF on the growth of neural sprouts was studied in the spinal ganglia of 14 day rat embryos. Media conditioned by the transgenic cells secreting modified GDNF were used to culture the spinal ganglia attached to the bottom of the plate. The spinal ganglia has demonstrated active growth of neural sprouts which are immunopositive for neuronal marker, beta-3-tubulin, as early as on the fourth day of culturing. The ganglia cultured in control medium without modified GDNF had no neural sprouts even after 10 days of culturing. Thus the modified GDNF is an effective stimulator of neural differentiation. In vivo permanent over-expression of this transgenic factor could induce many disorders, including cancer. Therefore, transplantation of the transgenic cells secreting modified GDNF requires its regulated expression.
We have explored temperature regulated hsp70 promoter of Drosophila for the temporary expression of gdnf inside the cells. Surprisingly that it is possible to activate hsp70 promoter of Drosophila in the mammalian cells. The temperature range of activation has been determined. The copy number of Heat Shock Elements within hsp70 promoter up-stream region effects the activation. The cells transgenic with gdnf under control hsp70 promoter had been transplanted into a local focus of cerebral ischemia of the mice brain, and it has been shown the expression of gdnf during 7-10 days.
Res. is supported by Grants RFBR, MSE
SL-93
Track: Chemistry
SYNTHESIS OF NOVEL 1'-(4-(2H-CHROMEN-3-YL)THIAZOL-2-YL)-3',5-DIMETHYL-2-PHENYL-1'H,2H-3,4'-BIPYRAZOL-5'-OL DERIVATIVES
Santhosh Penta, Gudala Satish, Archi Sharma and Prasenjit Santra
Department of Chemistry, National Institute of Technology, Raipur-492010, C.G. India; E-mail: email@example.com
Heterocycles are widely used in the development of modern pharmaceuticals, this being one of the reasons why continuous efforts are placed towards the design of amenable synthetic approaches for the synthesis of new heterocyclic systems. The pyrazole nucleus represents a very attractive scaffold for obtaining novel molecules endowed with diverse biological activity, including anti-inflammatory, antidepressant, anticonvulsant, anticancer, analgesic, anthelmintic, antioxidant and herbicidal properties. Thiazole ring systems are known to possess various pharmacological properties such as anti-tubercular, antifungal, analgesic and anti-cancer activity. In this work, 1'-(4-(2H-chromen-3-yl)thiazol-2-yl)-3',5-dimethyl-2-phenyl-1'H,2H-3,4'-bipyrazol-5'-ol derivatives have been synthesized by the reaction of 3-(2-bromoacetyl)-2H-chromen-2-one, thiosemicarbazide with 3-acetyl-4-hydroxy-6-methyl-2H-pyran-2-one refluxed in ethanol afforded 3-(2-(2-(1-(4-hydroxy-6-methyl-2-oxo-2H-pyran-3-yl)ethylidene)hydrazino)thiazol-4-yl)-chromen-2-one. To this reaction mixture 2 drops of HCl was added and heated about 2 h afforded 1-(5-Hydroxy-3-methyl-1-[4-(2-oxo-2H-chromen-3-yl)-thiazol-2-yl]-1H-pyrazol-4-yl)-butane-1,3-dione derivatives. This product was isolated and treated with phenyl hydrazine afforded the title products in good to excellent yields. All the synthesized compounds were characterized by their analytical and spectral data. The screening of these compounds for anticancer activity is in progress.
REFERENCES
[1] Szabo, G.; Fischer, J.; Kis-Varga, A.; Gyires, K. J Med Chem. 2008, 51, 142.
[2] Ozdemir, Z.; Kandili, H. B.; Gumusel, B.; Calis, U.; Bilgin, A. A. Eur J Med Chem. 2007, 42, 373.
[3] Ali, M. S.; Pattan, J. S.; Purohit, S. S; Reddy, V. V. K.; Pattan, R. S. Indian J. Chem., 2006, 45B, 1929.
SL-50
Track: Recent Advances in Patient Treatment and Care
ABOUT THE LACK OF EFFICACIOUS DRUG THERAPY TOWARD MEDICAL TREATMENT OF ALCOHOLISM
Árpád Péter
IATRIKA Health Service, Felsőszentiván, Hungary; E-mail: firstname.lastname@example.org
In the very beginning of his profession, the author as a rural doctor did not have the preparedness for alcohol-related health problems. However, within several years, his everyday experiences, together with the results of his own epidemiological studies drew his attention to these problems. In 1978, he made a survey of alcohol infectedness of his district-population in Bácsbokod, and he found that it was 17%. After that he performed a follow-up research on alcohol-related morbidity and mortality until 1986 in Bácsbokod. He conducted similar research in Felsőszentiván from 1987 until now. Currently, his research is focused on the relationship between alcohol-related and cancer mortality. As one of his most important results, he observed that more than half of the cancer mortality was alcohol-related in his practice during the past 25 years. By reason of more decennial own experiences, the author concluded that the alcoholism is one of the most important public health problem. At the same time he refers to statistics data of the international literature that alcoholism is one of the biggest world problem and alcoholism itself is a disease like diabetes mellitus. Because of the lack of efficacious drug therapy the efficacious medical treatment of alcoholism is practically impossible, the author as family physician with special degree in addictology asks the drug-researchers when such drug(s) will be expected.
SL-51
Track: Cardiovascular Drug Discovery & Therapy
THE CHANGING DYNAMICS OF DRUG DISCOVERY: USING BIG DATA TO ACCELERATE THE PATHWAY FROM BENCH TO BEDSIDE
Philip Purnell
Consultant, Thomson Reuters
As industry pressures increasingly force companies to look at the ROI and value of the medicines they produce, the dynamics of successful drug discovery are changing. There is a growing trend to focus on niche markets such as rare diseases and targeted sub-populations of larger cancer indications where the barriers to entry can be lower and value can be easier to demonstrate. Strategies such as repositioning are also being employed to cut development costs and accelerate the pathway to market. With the ever expanding volume of data available in the public domain on the targets and pathways implicated in diseases, big data methods of information interpretation are being employed to accelerate the drug development process. In this presentation we introduce novel strategies being employed by companies to develop a more efficient, cost effective way to conduct pharmaceutical R&D.
**SL-64**
**Track:** Pharmaceutical Research & Development
**ACHIEVEMENTS AND LIMITS ON THE CONTROLLED RELEASE OF A DRUG FROM THE SURFACE OF A TEXTILE FABRIC TO DERMIS**
C.D. Radu, O. Parteni, M. Salariu, E.C. Lupusoru, C. Ghiciuc, L. Foia, A. Chiriac, R.V. Lupusoru, C. Oproiu, E. Ulea
*Textile, Leather and Industrial Management, Technical University Iasi, Romania; E-mail: email@example.com*
The paper presents the overall results of theoretical realizations and experimental details when designing a material for a textile fabric/implant, which releases a drug for a specific pathology. It presents the conclusions of the researches on the development of textile support as an anti-allergic, anti-fungal and anti-psoriasis type, but also on toxicological, biocompatibility and therapeutic issues for establishing the amount of drug needed for the *trans*-dermal diffusion. This paper estimates the possibility of applying on a textile surface of a cyclodextrine polymer/composite which form temporary reservoirs by complexing and subsequent releasing the drug under the action of coetaneous stimuli. One refers to the achievements of authors, and works submitted by other research groups in the area of textile substrates used as implant or underwear worn next to the skin. The results are analyzed both as a scientific communication, and the potential application for a potential current industrial processing.
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**SL-30**
**Track:** Hot Topics in Natural Products
**PROTECTIVE ROLE OF THYMOQUINONE AGAINST CYCLOPHOSPHAMIDE TOXICITY ON SPERM ATTACHMENT TO OOCYTE AND FERTILIZATION IN MICE**
Suzanah Abdul Rahman, Nur Syahrain Raja Salim, Azantee Yazmie Abdul Wahab and Saheera Kamarzaman
*Department of Biomedical Sciences, Faculty of Allied Health Sciences, Kulliyyah of Allied Health Sciences, IUM Kuantan Campus, International Islamic University, Malaysia; E-mail: firstname.lastname@example.org*
Thymoquinone is one of the major active ingredients of *Nigella sativa*, a medicinal herb known as ‘Habatus-sawdah’, that has been found to be capable of reducing the adverse effects of conventional chemotherapy. Cyclophosphamide is an anti-cancer drug clinically used to treat a variety of cancers. The aim of this study was to investigate the possible chemoprotective effects of thymoquinone on possible cyclophosphamide-induced reproductive toxicity affecting attachment of sperm to oocyte and fertilization rates. Experiments were performed using BALB/c mice, 12-14 weeks of age weighing 25-30 g each. The animals were divided into four groups and all treatments were administered by intraperitoneal injections. The control group was administered normal saline solution while mice in the cyclophosphamide group received a single dose of the alkylating agent at a dose of 200 mg/kg. In the thymoquinone group, mice were injected with 10 mg/kg of thymoquinone on alternate days for 38 days. Similarly, in the combination treatment, 10 mg/kg of thymoquinone was administered on alternate days up until day 38 following a single injection of 200 mg/kg cyclophosphamide. At the end of the study period, epididymis was excised and sperm was obtained for sperm analysis, sperm attachment and *in-vitro* fertilization observations. Inverted phase contrast microscopy revealed a decreased number of sperm attachment to oocytes and non-fertilization for the group treated with cyclophosphamide alone. The combination of thymoquinone and cyclophosphamide resulted in an increment in sperm motility, sperm count, sperm attachment to oocyte and fertilization rates. Similarly, thymoquinone on its own significantly increased sperm attachment to oocyte and the rates of fertilization as compared to that following treatment by cyclophosphamide alone. A reduction in the number of sperm produced was however observed following the treatment with thymoquinone alone but overall sperm quality and sperm parameters appeared to be improved and the process of sperm attachment to oocyte including fertilization rates seemed to be protected against effects of the anticancer drug.
**SL-98**
**Track:** Anti-Infectives
**DISCOVERY OF NOVEL DRUG-LIKE COMPOUNDS FOR CONTROLLING AMPLIFIED INFLAMMATORY RESPONSES MEDIATING THROUGH TOLL-LIKE RECEPTOR/MYEOID DIFFERENTIATION PROTEIN2 HYPER ACTIVATION**
*Pichika Mallikarjuna Rao, Chun Wai Mai, Yew Beng Kang, Robin Plevin and Ahmad Sazali Hamzah*
*Pharmaceutical Chemistry, School of Pharmacy, International Medical University, Malaysia; E-mail: email@example.com*
Toll-like receptor 4 (TLR4) recognises endotoxic lipopolysaccharide (LPS) present in the outer membrane of Gram-negative bacteria and triggers innate immune responses. Upon recognition of LPS, TLR4/myeloid differentiation protein 2 (MD2) complex undergoes homodimerisation leading to inflammatory responses, mediated through either Myd88-dependent and MyD-88 independent pathways. Hyper activation of TLR4/MD2 in response to LPS causes uncontrolled amplification of inflammatory responses, leading to fatal septicemia. Therefore, identification of selective modulators of TLR4/MD2 activity inhibiting only one pathway such that some activation remains to stimulate protective immunity would be an ideal strategy to control the amplified inflammatory responses.
In our research, we have utilised various computational modelling techniques such as docking, pharmacophore, molecular dynamics *etc.*, to identify and design the potential compounds that selectively inhibit TLR4/MD2 activation. Identified compounds were obtained from commercial vendors and designed compounds were synthesised in our laboratory. We have tested the activity and efficacy of the compounds in various experimental models, *viz.*, LPS induced TLR-4 activation in HEK-Blue™hTLR4 cells to identify TLR4 agonists, partial agonists and antagonists; Griess assay for nitric oxide production in RAW 264.7 cells, and the results were confirmed through western blotting of TLR4/MD2 downstream signaling proteins in RAW 264.7 and HEK-Blue™hTLR4 cells.
We have discovered few novel compounds that are selectively modulating the TLR4/MD2 activity.
---
**SL-100**
**Track:** Anti-Cancer Drug Discovery & Therapy
**HPMA-BASED COPOLYMER CONJUGATES OF DOXORUBICIN BOUND THROUGH AN AMIDE OR HYDRAZON BOND: SYNERGISTIC ACTION IN TREATMENT OF SOLID TUMORS**
*B. Rihova, T. Etrych, V. Subr, K. Ulbrich, M. Sirova*
*Czech Immunological Society, Division of Immunology and Gnotobiology, Institute of Microbiology AS CR, v.v.i., Videnska 1083, 142 20, Prague 4, Tel: +420 2 4106 2345; E-mail: firstname.lastname@example.org*
The cytostatic effects of polymeric conjugates based on *N*-2-hydroxypropyl)methacrylamide copolymers (HPMA) and containing doxorubicin bound through amide (DOX\textsuperscript{AM}) and hydrazone (DOX\textsuperscript{HYD}) bonds (mixed conjugates) were compared with the cytostatic effects of monoconjugates containing drug bound through an amide or hydrazone bond only. One group of mixed conjugates was formed from two (DOX\textsuperscript{AM} and DOX\textsuperscript{HYD}) monomers. A second group was formed from two different interconnected HPMA copolymers, one containing DOX\textsuperscript{AM} and the other DOX\textsuperscript{HYD}, forming a highly molecular-weight branched structure. The third system was a simple mixture of monoconjugates DOX\textsuperscript{AM}-HPMA and DOX\textsuperscript{HYD}-HPMA. *In vivo* antitumor activity proved a significant synergism between DOX\textsuperscript{AM} and DOX\textsuperscript{HYD} derivatives. Remarkably, old mice (56-week-old) respond to the treatment better than young ones (8-week-old).
Recently, concept of immunogenic cancer cell death (ICD) characterized by stimulation of the anti-cancer immune response is considered as important factor significantly contributing to the chemotherapy. We have seen repeatedly that primary treatment with HPMA-based polymeric doxorubicin stimulates therapy-dependent cancer resistance which follows a basic rule: the more effective therapy induces the lower cancer resistance and *vice versa*. The explanation may lie in availability of immune response stimulating antigen, i.e. cancer cells. More aggressive treatment which facilitates
very rapid elimination of tumor cells induces low tumor resistance whereas a slower eradication of tumor mass induces tumor resistance that is strong enough and could protect up to 100% of cancer-bearing animals against a second tumor attack. This confirms a significant contribution of anti-cancer immune response to the final outcome of the therapy.
**SL-36**
**Track:** Anti-Infectives
**DEVELOPMENT OF NEW TREATMENT FOR CUTANEOUS LEISHMANIASIS BASED ON PHOTODYNAMIC THERAPY WITH HYPERICIN: STUDIES IN VITRO AND IN VIVO**
*Sara Maria Robledo, Edwin Andres Montoya, Adriana Maria Restrepo, David L Cedeño, Diana Lorena Muñoz, Ivan Dario Velez, Luis Fernando Echeverri*
*School of Medicine, Coordinator Biological Assay, PECET - Programa de Estudio y Control de Enfermedades Tropicales- Universidad de Antioquia, Calle 62 No 52-59 SIU Laboratorio 632, Medellin-Colombia; E-mail: email@example.com*
Very few drugs are available for treatment of leishmaniasis and all of them are highly toxic, costly, and their efficacy is becoming lower. Therefore, new drugs are needed. Hypericin is the main component of Hypericum perforatum and it has traditionally been used throughout the history of folk medicine. Studies report several biological activities. Hypericin is also considered one of the most powerful type II photosensitizer found in nature, which is useful to photodynamic therapy as an alternative treatment for cutaneous leishmaniasis (CL). Here, Hypericin was evaluated for its antileishmanial properties. *In vitro* studies showed that hypericin is highly active against Leishmania amastigotes with EC values of $0.9 \pm 0.14$ μM. On the other hand, topical treatment of hamsters with CL after experimental infection with *L. amazonensis* in the dorsal skin (6 applications of hypericin in presence of light, twice a week) produced complete cure in 4 of 5 animals. The last hamster showed a decrease in the lesion size of 79.8%. In absence of light cure was observed only in 2 of 5 animals. No toxicity associated to dose was observed with Hypericin. These results suggest that hypericin has a great potential as drug candidate against CL.
**SL-68**
**Track:** Anti-Infectives
**EXPERIMENTAL CUTANEOUS LEISHMANIASIS IN HAMSTERS INFECTED IN THE DORSAL SKIN: AN USEFUL MODEL FOR IN VIVO SCREENING OF ANTILEISHMANIAL DRUGS**
*Sara Maria Robledo, Adriana M Restrepo, Alejandro Daza, Lina Maria Carrillo, Diana L. Muñoz, Javier D. Murillo, Ivan Dario Velez*
*School of Medicine, Coordinator Biological Assay, PECET - Programa de Estudio y Control de Enfermedades Tropicales- Universidad de Antioquia, Calle 62 No 52-59 SIU Laboratorio 632, Medellin-Colombia; E-mail: firstname.lastname@example.org*
New a better drugs to treat cutaneous leishmaniasis (CL) are needed. Here, the hamster model for CL was optimized by inoculation in the dorsal skin. In this model of infection the therapeutic response of the lesion is easily determined by comparing the size of the lesion before and after the treatment and the clinical response in terms of cure is followed according to the re-epithelialization of the lesion site. Previous anesthesia, golden hamsters (male and females) was inoculated intradermally at the dorsal skin with 10 to 50 million promastigotes of different Leishmania species. Animals were treated after development of typical skin lesions. Compounds were applied topically or orally daily during 10 to 20 days. The effectiveness of each treatment was assessed comparing the lesion sizes prior to and after treatments every 2 weeks during 3 months. This approach has proven its versatility and easiness but also its correlation with therapeutic potential of new alternatives to treat CL. By using this method the quality of animal life regarding locomotion, search for food and water, play and social activities is also preserved.
**SL-92**
**Track:** Inflammation and Immunology
**SIGNALING OF INNATE-IMMUNE RECEPTOR DECTIN-1 AND ITS MOLECULAR MODELING AND DOCKING WITH PKCα: A NOVEL GATEWAY IN DRUG DISCOVERY TO CONTROL INFLAMMATORY AND IMMUNE DISEASES**
*Talat Roome, Yasmeen Rashid, Deena H. Elsori, Valentin Yakubenko, Ashish Bhattacharjee and Martha K. Cathcart*
*Department of Pathology, Dow International Medical College, Dow Diagnostic Reference and Research Laboratory, Dow University of Health Sciences, Karachi-Pakistan; E-mail: email@example.com; firstname.lastname@example.org*
Human Dectin-1 receptor, a type of Pattern Recognition Receptor (PRR), express in dendritic cells, monocytes, macrophages and a subset of T-Cells. It comprises of an extracellular C-type lectin domain (CTLD), transmembrane region and ITAM motif containing cytoplasmic domain. Stimulation of CTLD by fungal β-glucans initiates various cellular pro-inflammatory responses and host defense that are controlled by downstream signaling components (Syk and Src kinases and PKCδ) of Dectin-1 receptor. Syk and Src association with Cytopalsmic Domain of Dectin-1 Receptor (CDDR) is dependent on PKCδ expression and activity that directly bind with the Tyr-15 of ITAM motif, this molecular complex is a unique target for drug design.
In the present study, homology modeling of human cytoplasmic domain of Dectin-1 receptor (CDDR), transmembrane region and CTLD was carried out separately. pGentHEADER, a fold recognition method, identified *Pseudomonas sp.* L-aspartate beta-decarboxylase (pdb id: 2ZY2) as a structural homologue of human CDDR. The templates for transmembrane and CTLD of human Dectin1 were recognized typically using Psi-BLAST tool as rat membrane protein-2 (pdb id: 3HD7) and murine Dectin 1 receptor (pdb id: 2CL8), respectively. All the constructed models were reliable and very close to their respective templates. The overall fold of CDDR homology model was found to consist of three beta strands stacked together as mixed beta-sheet and the location of Immunoreceptor Tyrosine-based Activation Motif (ITAM) was observed between first two beta-strands of CDDR homology model. Whereas, CTLD fold comprises of two antiparallel beta sheets flanked by two α-helices and transmembrane region folds into a single α-helix. However, CDDR and PKCδ interaction analysis through protein-protein docking strategy using HADDOCK web-server delineates the protein-protein interface to be comparatively more hydrophobic with only few ionic bonds. The availability of the 3D structure of CTLD can be implicated in structure-based drug designing in order to discover its potential inhibitors. On the other hand, interaction analysis of CDDR and PKCδ will be a milestone in drug discovery programs for introducing various protein inhibitors that can either interfere with various inflammatory responses or can augment the host defense regulating intracellular production of NADPH oxidase-dependent superoxide anion and phagocytosis during fungal and bacterial infections. Additionally, CDDR structure based drugs will provide new insight in the intervention of atherosclerosis and chronic granulomatous disease.
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**SL-137**
**Track:** Cardiovascular Drug Discovery & Therapy
**PREVENTIVE ROLE OF GREEN TEA CATECHINS AGAINST OBESITY AND RELATED DISORDERS ESPECIALLY HYPERCHOLESTEROLEMIA AND HYPERGLYCEMIA**
*Farhan Saeed, Rabia Shabir Ahmed, Muhammad Umair Arshad, Azmat Ullah*
*Department of Food Science, Nutrition & Home Economics, Government College University, Faisalabad-Pakistan*
The core objective of current research is to explore nutraceutical worth of locally grown green tea variety (Qt-Men) against lifestyle related disorders. For the purpose, green tea catechins and epigallocatechin gallate (EGCG) were isolated, characterized and the functional drinks containing these active components were assessed in experimental rats modeling. Based on diets, four studies were conducted i.e. study I (normal diet), study II (high cholesterol diet), study III (high sucrose diet) and study IV (high cholesterol + high sucrose diet). Functional drinks caused significant reduction in body weight and maximum lowering effect was observed in study II and III i.e. 10.73 to 8.49 % and 10.12 to 10.49%, respectively. Likewise, cholesterol and LDL were substantially reduced by 14.42% and 30.43% in study IV and study II, respectively. The serum glucose and insulin levels were also lowered considerably. It is concluded that drinks supplemented with catechins and EGCG are effective against obesity, hypercholesterolemia and hyperglycemia.
**Keywords:** Epigallocatechin, gallate (EGCG); catechins; hypercholesterolemia; obesity; hyperglycemia.
**SL-87**
**Track:** Inflammation & Immunology
**THE IMMUNOMODULATORY EFFECT OF COMBRETUM HEREROENSE AND CANTHIUM MUNDIANUM ON INTERLEUKIN 6 PRODUCTION AND EXPRESSION**
**Amidou Samie, Davhana N.C. and Bessong P.O.**
*Center for Global Health, Division of Infectious Diseases and International Health, University of Virginia, MR4, Lane Road, Room 3148, Charlottesville, VA 22908, USA; E-mail: email@example.com*
Interleukin 6 (IL-6) is a multifunctional cytokine that plays important roles in host defense, acute phase reactions, immune responses, and hematopoiesis. Interleukin 6 performs a prominent role during disease and has been described as both a pro- and anti-inflammatory cytokine. Therefore, the modulation of IL6 could be useful in the control of infections particularly at this era of HIV and AIDS. Medicinal plants have been used for years by different cultures throughout the world and many of them have been used to modulate immune response.
In the present study, peripheral blood mononuclear cells were isolated by centrifugation gradient method from different volunteers donors based selected based on gender and health status and were maintained in culture for three days at 37°C under 5% CO₂. The effects of Combretum Hereroense and Cathium mundianum water extracts on the production and expression of interleukin 6 was also evaluated form cell culture supernatant by solid-phase sandwich ELISA kit. RNAeasy mini kit from Qiagen was used to extract total RNA from cultured. Reverse transcriptase real time polymerase chain reaction was used for the evaluation of PHA inducible gene mRNA expression levels.
IL6 production and expression was determined in HIV negative and HIV positive donors. Activity index of interleukin 6 in dose dependent manner from HIV negative donors was inhibited in four different concentrations (C1=300µg/ml, C2=50µg/ml, C3=20µg/ml and C4= 1µg/ml) of Combretum hereroense and Cathium mundianum extracts. The production of interleukin 6 from HIV negative donors was also increased in one concentration (300µg/ml) of Combretum hereroense and in four difference concentration of Cathium mundianum. The higher concentration yield low production and the lower concentration produce high cytokine expression.
Overall our study indicates that donors that had no diseases showed no production of interleukin 6, while those that were HIV positive and have other diseases showed high levels of interleukin 6. This study will help traditional healers and department of health with information on the evaluation of immunomodulatory system with regards the use of Combretum Hereroense and Cathium mundianum in traditional medicine. This also provides information for further studies on both plants.
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**SL-76**
**Track:** Pharmaceutical Research & Development
**ANTIBACTERIAL, WOUND HEALING ACTIVITY AND MECHANISMS OF ACTION OF PROTEIN FROM THE EASTERN DIAMONDBACK RATTLE SNAKE**
**Ramar Perumal Samy, Gautam Sethi, P. Gopalakrishnakone, Vincent T.K. Chow**
*Venom and Toxin Research Programme, Department of Anatomy, Infectious Diseases Programme, Department of Microbiology, Yong Loo Lin School of Medicine, National University of Singapore, Singapore -117597; E-mail: firstname.lastname@example.org*
The skin diseases caused by the pathogenic bacterium *Staphylococcus aureus*, is a major health concern. *S. aureus* becomes multi-drug resistant (MDR) due to the over use of antibiotics. In order to overcome these challenging clinical issues, we need to search for new agents that combat to pathogens and are free from side-effects to human. In this study, we identify and characterize new classes of small molecules from the venom of the eastern diamondback rattlesnake, *The Crotalus adamanteus* toxin-II (CaTx-II) induced bactericidal effects (7.8 µg/ml) on *S. aureus*, while on *B. pseudomallei* and *E. aerogenes* were killed at 15.6 µg/ml. The molecules target the key regulator of membrane damage and pore formation on the bacterial wall. CaTx-II was not cytotoxic on lung (MRC-5), skin fibroblast (HEPK) cells and in mice. CaTx-II-treated mice showed significant wound closure and complete healing by 16 days compared to untreated controls (P<0.01). Histological examination revealed enhanced collagen synthesis and neovascularization after treatment with CaTx-II versus 2% Fusidic Acid Ointment treated controls. Measurement of tissue cytokines revealed that IL-1β
expression in CaTx-II treated mice was significantly suppressed versus untreated controls. In contrast, cytokines involved in wound healing and cell migration (i.e., MCP-1, FGF-basic, KC, GM-CSF) were significantly enhanced in CaTx-II treated mice, but not in the controls. CaTx-II modulates nuclear factor-kappa B (NF-κB) activation during skin wound healing. The CaTx-II protein highlights distinct snake proteins as a potential source of novel antimicrobial agents with significant therapeutic application for bacterial skin infections.
**SL-71**
**Track:** Drug Delivery and Targeting
**DESIGN AND CHARACTERIZATION OF DIOSMIN-CYCLODEXTRIN COMPLEX AS A NOVEL TRANSDERMAL GEL**
**Hatem Sarhan, Amal Hussein, Amal Abu El-Enin**
*Department of Pharmaceutics & Industrial Pharmacy, Faculty of Pharmacy, Minia University, Minia, Egypt; E-mail: email@example.com*
Diosmin (DSN), a naturally occurring flavonoid, has been used for its phlebotonic properties as a vascular protector for the treatment of hemorrhoids, varicose vein, and venous leg ulcers. Unfortunately, DSN suffers poor oral absorption and high inter-subject variation due to its scanty solubility and poor permeability. Topical administration of flavonoid has met with considerable interest due to their good high vasoprotective activity and anti-inflammatory activity. The most important problem for topical application of DSN is its low penetration through the skin, due to its unfavorable physicochemical properties.
Cyclodextrins (CyDs) have attracted interest for topical use as penetration enhancers due to their ability to affect absorption by influencing physicochemical properties of the drugs and/or the biomembrane permeability. Nevertheless, impact of complexation with CYD on enhancing dissolution and permeation characteristics of DSN has not so far been investigated.
Therefore, this work investigated the potential of DSN-HP-β-CyD complex to improve topical delivery characteristics of diosmin. Differential scanning colorimetry (DSC), infrared spectroscopy (IR), and X-ray diffractometry studies indicate successful complex formation. Prepared gels were subjected to physical evaluation for its viscosity, pH and drug content. *In vitro* drug release and *in vitro* drug permeation experiments were carried out on Franz diffusion cell using cellophane membrane and animal skin respectively. The release rates when compared were found to be highest with gel containing inclusion complex than the gels containing pure drug and physical mixture.
In conclusion, transdermal gel of DSN-CyD complex could be used as a novel topical delivery system to improve DSN dissolution and permeation.
**Keyword:** Transdermal gel, cyclodextrin, diosmin, preamcation.
**SL-15**
**Track:** Drug Discovery in Preclinical Research
**PROTECTIVE EFFECT OF CAESALPINIA BONDUCELLA (LINN.) SEED KERNEL EXTRACT IN STZ-INDUCED DYSLIPIDAEMIA AND β-CELL DAMAGE IN RATS**
**Manju Sharma, Mohammad Ahmad, K.K. Pillai, Deeba S. Jairajpuri, Vidhu Aerl and Zeeba S. Jairajpuri**
*Department of Pharmacology, Faculty of Pharmacy, Hamdard University, New Delhi- 110062, India; E-mail: firstname.lastname@example.org, email@example.com*
India continues to be the ‘Diabetic Capital’ of the world with 50.8 million diabetics. Diabetes is associated with markedly increased risk of atherosclerosis and cardiovascular diseases. Cardiovascular disease is the leading cause of mortality in patients with diabetes. Herbal treatments are becoming increasingly popular, as the herbal preparations have no or least side effects than synthetic hypoglycemic drugs. In Ayurveda, *Caesalpinia bonducella* has been acknowledged to treat various diseases and disorders, including diabetes. Present study was undertaken to evaluate the effect of *Caesalpinia bonducella* seed kernel extract, on hyperglycemia, dyslipidaemia and oxidative damage in streptozotocin
diabetic rats. Experimental diabetes was induced by single i.v. injection of streptozotocin (40mg/kg). *Caesalpinia bonducuella* extract (200, 400 and 600 mg/kg) was administered orally to diabetic rats for 21 days. Blood glucose, lipid profile, tissue glutathione and TBARS levels in pancreas were estimated. The microscopic structure of pancreas and cardiac muscles were examined in both controlled and treated animals.
A significant (p<0.05) increase in glucose level, total cholesterol, VLDL and LDL cholesterol level, with reduction in HDL cholesterol level was observed in STZ diabetic rats. *C. bonducuella* produced a significant (p<0.001) hypoglycaemic effect in a dose dependent manner. Administration of *C. bonducuella* reduced the levels of these cholesterol and increased the HDL cholesterol level in diabetic animals. Marked improvement in the morphology of pancreas and heart of animals treated with extract of *C. bonducuella* was revealed by histopathological examination. Further studies are warranted to isolate active principle and to find out its exact mechanism of action.
**SL-11**
**Track:** Diabetes and Obesity Drug Discovery & Therapy
**ANTHRAQUINONE DERIVATIVES FROM THE FUNGUS ALTERNARIA SP. (XZSBG-1) ISOLATED FROM SALT LAKE SEDIMENTS AS A BIOLOGICAL EQUIVALENT OF THE MARINE ENVIRONMENT**
**Qiong Shen, Bin Chen, Yong-Cheng Lin**
*School of Pharmacy and Centre for Biomolecular Science, University of Nottingham, University Park, Nottingham NG7 2RD, U.K.; E-mail: firstname.lastname@example.org*
Seven secondary metabolites including three new anthraquinone and tetrahy-droanthraquinone derivatives (1-3) along with four known compounds (4, 5, 6, 7) were obtained from extracts of fungus strain Alternaria sp. XZSBG-1 from sediments of the Salt Lake, Tibet, as an equivalent of the marine environment. Their structures were established on the basis of one- and two-dimensional NMR spectroscopy, UV, CD, and mass spectrometry. Compound 2 is a new tetrahydroanthraquinone with a rare epoxy ether bond between C-4a and C-9a, exhibiting a considerable cytotoxicity against human MCF-7/ADR breast cancer cells with an IC50 value of 18.48 μM. Compound 3 is the first macrosporin dimer with a C-5, 5' linkage. The known 4 showed strong inhibitory effect against α-glucosidase with an IC50 value of 7.2 μM, displaying a stronger inhibition than genistein, used as positive control; it may be a promising lead for the development of potent α-glucosidase inhibitors.
**SL-38**
**Track:** CNS Drug Discovery & Therapy
**TREATMENT AND SOCIAL IMPACT OF CEPHALIC HYPERSENSITIVITY SYNDROME RELATING TO MIGRAINE**
*Toshihiko Shimizu, Koichi Hirata, Shinya Manaka, Ichiro Arakawa*
*Department of Neurosurgery, Tokyo Women’s Medical University, 162-8666, Japan; E-mail: email@example.com*
**Objectives:** In this cohort study, we will report that pertinent use of triptan agents reduce risk of incidence of Cephalic Hypersensitivity (Supersensitivity) Syndrome (CHS or CSS), which has been disseminated concept of CHS in Japan lately.
**Methods:** In this study, observation items are: 1) demographics of subjects, 2) medical magnificence by electroencephalogram and laboratory test for detection of reactivation of varicella-zoster virus, 3) treatment status. The ethic committee at Tokyo Women’s Medical University was performed for approval of the study beforehand.
**Results:** Of 1000 subjects, the proportion of female in analyzable subjects (n=964) whose mean age are 46.3±16.0 yrs, were approximately 73.3%.
To identify factors relating to migraine onset, we performed multivariate analysis. Gender, age pre-photophobia and tinnitus were suggested onset of migraine attack. Anti-epileptics are effective in 80% of patient with this condition.
Conclusions: Our study suggested that mistaken methods of treatment of migraine from childhood may exacerbate hypersensitivity of the brain and cause the development of dizziness, tinnitus, or cephalic ringing, and that prophylactic agents against migraine such as anti-epileptics are effective for treating this condition. An appropriate triptan use during the past migraine attacks was expected to reduce risk of onset of CHS.
SL-77
Track: Proteomics & Bioinformatics
FLUOROQUINOLONES: THE ANTI HCV DRUGS OF THE FUTURE?
Summer Siddiqui, Muhammad F. Anwar, Sadaf Naeem, Shamshad Zarina and Syed H. Ali
Department of Biological and Biomedical Sciences, Aga Khan University, Karachi, Pakistan; E-mail: firstname.lastname@example.org
HCV is responsible for about 200 million infections worldwide. The current therapy against HCV has adverse effects, and is too costly for patients in developing countries. Hence, there is a need to develop new therapeutic agents against HCV. Recent studies have identified NS3 as a potential inhibitory target for fluoroquinolone drugs. In the present study, we assessed the efficacy of two-fluoroquinolone combinations against NS3 in an *in vitro* helicase assay. Computational analysis was also performed on fluorquinolone-NS3 complexes to explore the functional groups of fluoroquinolones and NS3 amino acids involved in their mutual interactions. For the combinatorial assay, the reaction was prepared by mixing the double-stranded substrate with NS3 helicase, buffer, ATP, SYBR Green I and two fluoroquinolones in different concentrations. The FlexX docking software was used to dock the drugs onto the NS3 protein, and the interactions between the drug and helicase were analyzed. *In vitro* experiments showed that the combinations of Balofloxacin with Enrofloxacin; Balofloxacin with Sparfloxacin; and Balofloxacin with Lomefloxacin exhibited greater inhibition of helicase activity than the individual drugs. Docking analysis established that each of these drugs interacted strongly with different amino acids in the active site of NS3. These docking results were independently confirmed by two different software tools. This study shows that the combinations of fluoroquinolone drugs may have enhanced inhibitory action on NS3 than the individual drugs. This study will provide the basis for designing new fluoroquinolones derivatives that have the combined properties of pre-existing drugs, and hence a higher potency against HCV.
SL-135
Track: CNS Drug Discovery & Therapy
ANTIGEN-SPECIFIC THERAPY OF MULTIPLE SCLEROSIS VIA MYELIN IMMUNODOMINANT EPITOPE
Beka Solomon
Department of Molecular Microbiology and Biotechnology, George S. Wise Faculty of Life Sciences, Tel Aviv University, Ramat Aviv, Tel Aviv 69978, Israel Email: email@example.com
The presence of anti-myelin antibodies in patients with early multiple sclerosis (MS) and in MS animal models led to renewed interest in a role for B cells, plasma cells and their products in the pathogenesis of the disease. Here we propose a novel strategy based on engineered filamentous phage in which its major coat protein was fused to the immunodominant epitope derived from the myelin oligodendrocyte glycoprotein (MOG 37-44). Filamentous phages are well-studied, both structurally and genetically. Their shape as a long fiber, 1000nm long and 6nm wide, enables penetration to the central nervous system via nasal administration. Experimental autoimmune encephalomyelitis (EAE) diseased mice (as a model of MS) intranasally treated with phage-MOG showed: improved clinical scores; reduction of antibodies against MOG; reduced proinflammatory cytokines, in particular monocyte chemoattractant protein 1 (MCP-1) interferon γ (IFN-γ) and IL-6; and prevented demyelination, compared to untreated animals. Brain delivery of MOG via filamentous phages suggests that the improved clinical effects obtained in EAE mice may be due to depletion of MOG autoantibodies *in situ* and/or stimulation of immune mechanisms towards induced tolerance in the periphery, indicating that the humoral immune system in MS would be a reasonable therapeutic option.
**SL-106**
**Track:** Anti-Cancer Discovery & Therapy
**NOVEL IN SILICO-DESIGNED SPINDLE DISRUPTORS EXHIBIT ANTI-CANCER PROPERTIES IN VITRO AND IN VIVO**
A.E. Theron, L. Lafanechère, R. Prudent, J. Viallet, and A.M. Joubert
*Physiology, Faculty of Health Sciences, University of Pretoria, Private Bag X323, Arcadia, 0007, Gauteng, Pretoria, South Africa; E-mail: firstname.lastname@example.org*
In the design of anti-cancer therapeutics, it is not merely a matter of demonstrating that the proposed compounds kill cells. Required is information on the mode, mechanism and signalling pathways of the cell death(s) induced, the molecule’s anti-proliferative effects, reduction in malignant cell migratory capacity, inhibition of neoplastic cell invasion and anti-angiogenic effects. 2-Ethyl-3-O-sulphamoyl-estr-1,3,5(10)15-tetraene-3-ol-17-one (ESE-15-one) and 2-ethyl-3-O-sulphamoyl-estr-1,3,5(10)16-tetraene (ESE-16) are novel, sulphamoylated 2-methoxyestriadiol analogues designed and synthesized by our research team with the aim of improving the potency and pharmacokinetic constraints of the parent compound’s anti-cancer properties [1]. After synthesis of the compounds they were assessed for effectively on five cell lines, including a multidrug resistant Pgp overexpressing line. Microscopic and flow cytometric techniques demonstrated that the compounds induce apoptosis and autophagy in exposed cells [2]. The hypothesis that ESE-15-one and ESE-16 disrupt microtubule dynamics thereby causing metaphase block was confirmed by flow cytometric quantification of cyclin B1 and various fluorescent microscopic evaluations, the latter to gain insight into the temporal and mechanical mechanisms of the microtubule disruption and the cellular reaction. Signalling pathways were elucidated using Western blotting. Synergistic/antagonistic interactions with clinically approved chemotherapeutic agents were performed. Analysis of ESE-15-one and ESE-16 effects on motility, migration and invasion was conducted using wound healing and MADRIGELTM transwell assays. Chorioallantoic membrane assay with engrafted MDA-MB-231 breast cancer cells was used to determine the compounds *in vivo* anti-tumoural, anti-angiogenic and anti-metastatic properties. Mice xenograft studies are envisaged as the next step to continue the evaluation of novel compounds on the effect on tumour progression and metastatic dissemination.
**Keywords:** Microtubules, apoptosis, autophagy, 2-methoxyestriadiol analogues, anti-cancer, anti-angiogenic, mitotic block.
**REFERENCES**
[1] Stander, A., Joubert, F. and Joubert, A. (2011). Chem Biol Drug Des. 77(3), 173.
[2] Theron AE, Notte EM, Lafanechère L & A Joubert. Molecular crosstalk between apoptosis and autophagy induced by a novel 2-methoxyestriadiol analogue in HeLa cells. Cancer Cell International. 2013; 13: 87.
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**SL-18**
**Track:** Hot Topics in Natural Products
**PROTECTIVE EFFECT OF ACAI BERRY EXTRACT ON GLYCEROL INDUCED ACUTE RENAL FAILURE IN RATS**
Amina Unis, Marwa abdel Haq, Maha Elbeltagy
*Department of Pharmacology, Faculty of Medicine, Tabuk University, Tabuk, 71461, Saudi Arabia; E-mail: email@example.com*
*Mimusops caffra* provided sufficient Ursolic acid (UA) (1) which was used as a template for the semi-Acute renal failure (ARF) is one of the most common problems encountered in hospitalized critically ill patients. In recent years great effort has been focused on the introduction of herbal medicine as a novel therapeutic agent for prevention of ARF. Hence, the current study was designed to investigate the effect of Acai Berry Extract (ABE) on glycerol induced ARF in rats. Results of the present study showed that rat groups that received oral ABE in a dose of 100mg/kg/day and 200mg/kg/day for 7days before induction of ARF by a single i.m. glycerol injection reported a significant improvement in kidney functions tests (decrease in serum urea, serum creatinine, and blood urea nitrogen) when compared to the ARF model group. Moreover, there was significant amelioration in renal oxidative stress markers (renal catalase, renal reduced glutathione) and renal histopathological changes in the ABE treated groups when compared to ARF model group. The most significant improvement was reported in the group where ABE was
administered in a dose 200/mg/kg/day for 7 days before induction of ARF. These results indicate that ABE has a potential role in ameliorating renal damage involved in ARF.
**SL-42**
**Track:** Anti-Infectives
**ANFOLEISH (3% AMPHOTERICIN B CREAM), A NEW TOPICAL TREATMENT IN DEVELOPMENT FOR CUTANEOUS LEISHMANIASIS: REPORT OF CASES**
**Ivan Velez, Jimenez A., Lopez L., Robledo S.M.**
*PECET, Medical Research Institute, University of Antioquia, Medellin – Colombia; E-mail: firstname.lastname@example.org*
Looking for new therapies for cutaneous leishmaniasis (CL), the PECET, University of Antioquia has established a Public Private Partnership leading to the discovery, preclinical studies (*in vitro* and using the hamster as animal model) and clinical trials. In collaboration with Humax pharmaceutical (Medellin-Colombia) PECET have developed Anfoleish a cream with 3% amphotericin B. In preclinical evaluations this formulation showed to be safe and effective therefore, it was selected by DNDi as a leader product to determine safety and efficacy in randomized clinical trials. In a non-randomized, open label clinical observation this formulation was used in 19 patients from 3 to 69 years old. All had parasitological diagnosis of CL. Three patients presented comorbidities in which standard treatment with antimonials was not indicated: preeclampsia, hypertension and cardiomyopathy. The number of lesions ranged between 1 and 9. Patients received the cream 3 times per day during 20 or 28 days and were followed-up for 6-24 months. Cure was observed in all lesions, except for one located in the right ear. Complete cure was observed between the end of treatment and 6 weeks after. No relapses or severe adverse events were found. The studies encourage the development of clinical trials.
**SL-132**
**Track:** Cardiovascular Drug Discovery
**HEME CATABOLIC PATHWAY AS A POTENTIAL THERAPEUTIC TARGET FOR CARDIOVASCULAR DISEASES**
**Libor Vítek**
*1st Faculty of Medicine, Charles University in Prague, Prague, Czech Republic*
Serum bilirubin has been consistently demonstrated to be negatively related to cardiovascular diseases (CVD) with similar prognostic value as HDL cholesterol. Each micromolar decrease of serum bilirubin is associated with marked increase in CVD risk. Additionally, recent studies also proved serum bilirubin to be associated with CVD-related diseases and risk factors, such as arterial hypertension, diabetes, metabolic syndrome, and body mass index.
Bilirubin is the major product of heme catabolism in the intravascular compartment originating predominantly from hemoglobin of senescent erythrocytes. Its production is dependent on several key metabolic steps. The first one is the heme breakdown catalyzed by heme oxygenase (HMOX), HMOX1 isoform being the most inducible enzyme in the human body. The other clinically important step is the conjugation of bilirubin with glucuronic acid in the liver by bilirubin UDP-glucuronosyl transferase (UGT1A1). UGT1A1 is partially deficient in subjects with Gilbert syndrome known to have substantially lower prevalence and incidence of CVD.
Based on this data, pharmacologic, non-pharmacologic, and genetic interventions have been attempted to increase serum bilirubin levels to protect from CVD development. These attempts have included drugs or nutraceuticals to induce HMOX1 and/or partially inhibit UGT1A1, or use the molecules resembling in their structure that of bilirubin including plant and algal tetrapyrrolic compounds, such as phycocyanobilin or even chlorophyll. It is worthy to note, that pulverized bovine gallstones containing substantial amounts of bilirubin have been used for centuries in China to treat a large number of diseases including CVD.
**SL-101**
**Track:** Traditional Chinese Medicine
**CHARACTERISTICS OF TRADITIONAL CHINESE MEDICINE (TCM) IN THE PREVENTION AND TREATING OF HIV/AIDS INFECTION**
Jun-Wen Wang, Cai-Hua Li, Lou Fang
*Hunan University of Chinese Medicine, Changsha, Hunan 410208, China; Tel: 86-731-8845-8068; E-mail: email@example.com*
This paper mainly discusses the characteristics and advantages of Traditional Chinese Medicine (TCM) in preventing and treating HIV/AIDS. The latest research developments and literatures study about TCM treating HIV/AIDS infection were collected to be summarized in this lecture. The main features of TCM for HIV/AIDS prevention and treatment includes three phases. The first phase is that Chinese medicine early interferes with virus replication when the patients suffered from HIV/AIDS with no significant symptoms, which is known as asymptomatic period called “preventive treatment of disease” in TCM term. The second phase is that TCM can cope with varied clinical features in HIV/AIDS period to alleviate the systemic symptom, reduce opportunistic infections and improve patients’ life qualities. The third phase is that TCM can combine the complex clinical signs and symptoms in the complications period, and also can regulate holism that reflects the “holism” theory of TCM. Prevention and treatment of HIV/AIDS by TCM plays an irreplaceable role right now in China and has a great development potential in the future.
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**SL-73**
**Track:** Hot Topics in Medicinal Chemistry
**NOVEL PLATINUM COMPOSITES WITH THERANOSTIC POTENTIAL FOR CANCER TREATMENT**
Xiaoyong Wang
*State Key Laboratory of Pharmaceutical Biotechnology, School of Life Sciences, State Key Laboratory of Analytical Chemistry for Life Science, Nanjing University, Nanjing 210093, P. R. China; E-mail: firstname.lastname@example.org*
Platinum anticancer drugs such as cisplatin are vital for the chemotherapy of various cancers. However, indiscriminate body distribution or poor cellular uptake of these drugs has resulted in some severe side effects and drug resistance. Therefore, to improve the tumor selectivity or cellular accumulation of the drugs has become a major task in the development of platinum anticancer agents. On the other hand, the distribution and accumulation of platinum drugs *in vivo* are largely unknown. Lack of such information would badly hinder the rational design of new platinum drugs and retard the revelation about the tumor resistance mechanism. Theranostic agents are newly emerging multifunctional compounds capable of simultaneous diagnosis and therapy for diseases. These agents allow a large degree of real-time control over the therapeutic efficacy during the clinical treatment. Magnetic nanoparticles (MNPs) have attracted much attention as targeted drug carriers because they could guide drugs to the biological target through external magnetic field and hence reduce the damage to normal tissues. The intrinsic properties of MNPs also endow them with diagnostic ability as magnetic resonance imaging (MRI) contrast agents. Recently, we developed a series of theranostic platinum agents through combining platinum pharmacophore with MNPs. In these nanocomposites, surface-modified superparamagnetic magnetite or maghemite nanoparticles perform the diagnostic and/or targeted transporting functions, while platinum moieties play the therapeutic role. In addition, gadolinium contrast agents were also chosen to accomplish a similar purpose. Our attempts have produced some interesting results. For example, rhodamine-embedded maghemite nanoparticles can convey and trace platinum anticancer drugs *in vitro* and *in vivo*; they are highly cytotoxic against cisplatin-resistant cells, thus show a potential for overcoming the resistance to cisplatin. On the whole, these multifunctional composites have successfully fulfilled the basic mission of a “theranostic agent” and may provide an alternative approach to the “see and treat” ideal for cancer treatment in the future.
**SL-25**
**Track:** Anti-Cancer Drug Discovery & Therapy
**USING RADIATION AS SYSTEMIC THERAPY**
*James W. Welsh*
*Division of Radiation Oncology, The University of Texas MD Anderson Cancer Center, 1515 Holcombe Blvd, Unit 97, Houston, Texas 77030, United States; E-mail: email@example.com*
With the recent success of checkpoint inhibitors and other immune-stimulating agents, there has been renewed interest in the combination of such agents with radiation. The biological premise behind such a strategy is that the tumor antigen release achieved by localized radiation will promote specific adaptive immune system targeting, which can be augmented further by systemic immune-stimulating agents. In this manner, clinicians hope to induce a phenomenon known as the abscopal effect, where localized radiation results in immune-mediated tumor regression in disease sites well outside of the radiation field. We present a critical review of the early clinical and pre-clinical evidence behind this approach, with special attention to the treatment of non-small cell lung cancer.
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**SL-63**
**Track:** Traditional Chinese Medicine
**STUDIES ON PREPARATION AND EVALUATION OF ALUM-BORNEOL NANOEMULSION**
*Xinhua Xia, Lifang Liu, Ping Yang*
*School of Pharmacy, Hunan University of Chinese Medicine, Hunan, 410208, China; Tel: 86-139-7313-1320; Fax: 86-731-8845-8227; E-mail: firstname.lastname@example.org*
It had been established a new mathematical model and determination method of network pharmacodynamics for Chinese Materia Medica Formula (CMMF). By network pharmacokinetic principle, combining with the Laplace transform, as well as linear algebra, the general solution for equation of network pharmacodynamics were obtained and their parameters were analyzed. The CMMF network pharmacodynamic model was a polynomial with e power. The equilibrium constants of each nodals in network were obtained by solving linear equation established with AUC (equilibrium concentration) and initiate quantum (intravenous drip velocity) for their. The equilibrium constants calculated in oral administration was similar with in injection, only supernumerary of the absorption equilibrium constants. That suggested the network pharmacodynamics for dose-ratios, dose-chromo and dose-effect of the CMMF was carried out; There is network biologic principle of conservation that the initiate value (intravenous drip velocity) for each nodals in network is equal to the summation of product equilibrium constant versus AUC (quilibrium concentration).
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**SL-89**
**Track:** Traditional Chinese Medicine
**A NOVEL STRATEGY FOR SCREENING BIOACTIVE EQUIVALENT COMBINATORIAL COMPONENTS FROM CARDIOTONIC PILL**
*Hua Yang, Peng Liu, Fang Long, Lian-Wen Qi, Ping Li*
*State Key Laboratory of Natural Medicines (China Pharmaceutical University), No. 24 Tongjia Lane, Nanjing 210009, China*
Cardiotonic Pill (CP) is a widely used Chinese herbal formulation for cardiac diseases prepared from Radix Salviae Miltiorrhizae and Radix Notoginseng. Clinical observations and pharmacological effects on CP have been well investigated. The exact composition of effective components, however, is often elusive due to the complexity of the chemical constituents and the lack of adequate screening methodology. In this work, we developed a bioactive equivalence oriented stepwise screening strategy consisting of (1) chemical profiling of CP by high performance liquid chromatography (HPLC) combined with quadrupole time-of-flight mass spectrometry (QTOP MS); (2) determining candidate bioactive equivalent combinatorial components (BECCs) from CP; (3) preparing candidate BECCs by realtime components trapping and combining system, and (4) assessment of bioactive equivalence between candidate BECCs and original CP. Using this strategy, we have identified a combination BECCs of 18 compounds as BECCs, which could represent the therapeutic efficacy of original CP against myocardial infarction (MI). This work provides a universal approach for discovering BECCs from herbal medicines and answers “which are real bioactive components for the Chinese herbal medicines that have been used in clinic for long years”.
**SL-45**
**Track:** Regenerative Medicine
**SYNTHESIS, CHARACTERIZATION AND CYTOCOMPATIBILITY OF POLY (DIOL-CO-TRICARBALLYLATE) BIODEGRADABLE MATRICES FOR USE IN TISSUE ENGINEERING AND OTHER BIOMEDICAL APPLICATIONS**
*Youmna Hassouna, Somayeh Zamani, Wael Kafienah, Husam M. Younes*
*Pharmaceutics & Polymeric Drug Delivery Research Laboratory, College of Pharmacy, Qatar University; E-mail: email@example.com*
**Purpose:** To investigate the synthesis and *in vitro* characterization of a novel family of thermoset biodegradable poly (diol-co-tricarballylate) (PDT) elastomeric polymers for the purpose of their use in implantable drug delivery and tissue engineering applications.
**Methods:** PDT prepolymers were first synthesized via polycondensation reaction of tricarballylic acid with alkylene diols of varying chain lengths at 140 °C for two hours under vacuum. After purification, the formed prepolymer were further crosslinked under vacuum at 120 °C for 18 hours to form PDT elastomers. The prepared prepolymer were characterized using Proton Nuclear Magnetic Resonance (¹H-NMR), Fourier Transform Infrared analysis (FT-IR) and Differential Scanning Calorimetry (DSC). PDT elastomeric films were subjected to cytocompatibility studies to assess the potential of elastomer films to support the adhesion and growth of human mesenchymal stem cells (MSCs). Cell Viability Assay was used to assess cell viability & proliferation.
**Results:** ¹H-NMR and FT-IR analysis confirmed the chemical structure and the purity of the PDT prepolymer. The obtained elastomers were stretchable and rubbery and swell rather than dissolve in most of organic solvents. Mechanical properties were found to be dependent on the number of methylene groups in the chain of precursor diol and the crosslinking density of the elastomeric matrices. Adhesion studies showed that MSCs extensively attached to films sterilized with ethanol and coated with fibronectin. Cells were healthy and expanded by day 7 as indicated by cell viability assay as indication of the cytocompatibility of these elastomers.
**Conclusions:** Biodegradable, polyester elastomeric matrices were successfully prepared and characterized. The family of thermally crosslinked PDT biodegradable polyesters has promising use in drug delivery and other biomedical applications including tissue engineering.
**Acknowledgements:** This work was made possible by a NPRP award [NPRP 09 - 969 - 3 - 251] to HM Younes from the Qatar National Research Fund (a member of Qatar Foundation). The statements made herein are solely the responsibility of the authors.
**SL-70**
**Track:** Pharmaceutical Research & Development
**SYNERGISTIC EFFECT OF VALPROIC ACID CO-ADMINISTRATION WITH CURCUMIN IN HEPATIC REGENERATION OF CCL₄-INDUCED FIBROSIS**
*A. Zaky, B.M. Saied and A.R. Bassiouny*
*Department of Biochemistry, Faculty of Science, Alexandria University, Alexandria, Moharram Bake, P.O. Box 21511, Egypt; Tel: (+20)1223584529; Fax: +203-3911794; E-mail: firstname.lastname@example.org*
**Background:** Liver regeneration is a complex process regulated by group of genetic and epigenetic factors. Histone deacetylases (HDACs) are exciting compounds with altering gene expression properties that induce...
chromatin remodeling, cell survival, proliferation, differentiation and apoptosis by deacetylating histones as well as many non-histone proteins. Safety evaluation studies indicated that curcumin (cur) is well tolerated at very high dose without producing any toxic effect. Recent studies have highlighted the anti-fibrotic properties of valproic acid (VPA) in nephropathy and liver fibrosis models. This study investigated whether treatment with valproic acid co-administration with curcumin would prevent and/or reverse hepatic fibrosis.
**Methods:** We explored the anti-fibrotic effects of curcumin at a dose of 450mg/kg in combination with 200mg/kg valproic acid on liver regeneration using histological analysis and alterations in pro- versus antifibrotic genes expression represented by CTGF, MMP-2 by qRT-PCR and NF-κB complex dissociation level by western blotting. It also addresses the possible involvement of the multifunctional protein APE1 and Sirt-2 expressions in this mechanism.
**Results:** Our results indicate that using curcumin-valproic acid combination inhibited NF-κB p105 complex dissociation when added either for protection or treatment. Curcumin administration with valproic acid for 4 weeks reverted hepatic fibrosis by 50% and induced hepatic regeneration, with marked induction of APE1 (1.6 fold) and p53 expressions. Moreover, this treatment combination exerted hepatoprotective effect against CCl₄ by modulating levels of pro-versus anti-fibrogenic markers represented by 0.2 fold reduction in CTGF level and inducing 3 folds increase in MMP-2 expression, reducing oxidative stress by increasing total antioxidant capacity and GSH levels as well as maintaining high level of APE1 expression compared to fibrosis-induced group. In addition to, total acetylated proteins were increased significantly (120 fold) in the rats treated with VPA and cur compared to cur-alone treated rats (60 fold). Results indicated also significant elevation of Sirt-2 expression during fibrogenesis that is inhibited by cur and/or VPA treatment.
**Conclusions:** The HDAC inhibitor, VPA in combination with Cur, attenuated the hepatic fibrosis and improved hepatic structure and function, possibly by suppressing inflammation. Control of hepatic histone or non-histone protein acetylation is a potential therapeutic approach for preventing hepatic remodeling.
**Keywords:** Valproic acid (VPA), Curcumin (Cur), Apurinic/Apyrimidinic endonuclease1 (APE1).
POSTERS
**PO-31**
**Track:** Regenerative Medicine
**PREPARATION AND CHARACTERIZATION OF 3D ELECTROSPUN BIODEGRADABLE NANOFIBERS FOR WOUND DRESSING AND OTHER TISSUE ENGINEERING APPLICATIONS**
*Oraib Abdallah, Fatemeh Jalali, Somayeh Zamani, Husam Younes*
*Pharmaceutics & Polymeric Drug Delivery Research Laboratory, College of Pharmacy, Qatar University, Doha, Qatar; Email: email@example.com; firstname.lastname@example.org*
**Background:** The use of electrospinning technology (ET) in fabrication of three-dimensional biodegradable electrospun nanofibers scaffolds (BENS) has recently gained considerable attention in tissue engineering. BENS are superior to other existing scaffolds in tissue regeneration as they provide high surface area-to-volume ratio, possess high porosity, and offer a biomimetic environment in a nanometer scale.
**Objectives:** To fabricate & characterize BENS using polyethylene glycol 35000 (PEG35000) as a biodegradable polymer loaded with Amoxicillin Trihydrate (AT) for use as a wound dressing.
**Method:** Solutions of PEG35000 in chloroform of varying concentrations were used to fabricate BENS using ET. Blank & 10% w/v AT loaded BENS was fabricated & further characterized. Morphology, size and diameter of BENS were assessed using Scanning electron microscopy (SEM). Fourier Transform Infrared (FTIR) Spectroscopy was used to identify the interaction between PEG35000 and AT. Differential Scanning Calorimetry (DSC) was used to access the crystallinity and thermal behavior of the prepared BENS.
**Results:** Blank & AT loaded 35% w/v PEG3500 solutions produced the most homogenous and intact nanofibers. Major bands of AT in FTIR were clearly observed in the spectrum of AT with PEG3500 post electrospinning. Moreover, DSC thermograms indicated that AT existed in its amorphous dissolved state within PEG supported by the disappearance of its melting peak at 133 °C and confirmed by absence of AT crystals under SEM.
**Conclusion:** BENS using PEG35000 loaded with AT were successfully fabricated and characterized. Our findings show that this dressing has features that make it a promising product for wound healing applications.
---
**PO-108**
**ROLE OF BIOTECHNOLOGY IN DIAGNOSIS OF BRUCELLOSIS**
*Azza S. Abdelkafe*
*Department of Food Technology, Faculty of Agriculture, Omar Al-Mukhtar University, Al-Baida, Libya; E-mail: email@example.com*
Brucellosis is a true zoonotic disease caused by either one of the 4 types of *Brucella* namely *B. abortus*, *B. melitensis*, *B. Sui* and *B. canis*, transmittable to humans that shows a high degree of morbidity, both for animals and humans. This disease is not only of veterinary importance but also have a major impact on the health and economic prosperity of the developing world. An appropriate diagnosis is the key for eradication and control of this disease.
Recent advances in our understanding of brucellosis and new development provide new opportunities for biotechnical companies in developing countries to make an essential contribution to the control of this disease.
---
**PO-104**
**Track:** Pharmaceutical Research & Development
**SELF-NANOEMULSIFYING DRUG-DELIVERY SYSTEM FOR IMPROVED ORAL BIOAVAILABILITY OF ROSUVASTATIN USING NATURAL OIL HAS ANTHYPERLIPIDEMIC EFFECT**
*Hadel A. Abo Enin*
Pharmaceutics Department, National Organization of Drug Control and Research (NODCAR), Giza, Egypt; E-mail: firstname.lastname@example.org
Rosuvastatin Calcium (Rs) is the most effective statin drug has antihyperlipidemic effect. It has relatively low absolute oral bioavailability attributed to its low solubility.
**Aim:** The aim of the present study is to improve the bioavailability of Rs through improving its solubility using self nanoemulsifying drug delivery system (SNEDDS) containing natural oil full of unsaturated fatty acid and omega 3.
**Methods:** A $7^{\circ} \times 32$ full factorial design was adopted for the optimization of oil ratio, Surfactant: Cosurfactant (S: CoS) ratio and oil: S/CoS ratio. Ternary phase diagrams were constructed for optimizing the system with different drug loading. The optimized SNEDDS systems were evaluated according to their droplet size, zeta potential (ZP), physical robustness to dilution in different media and ratio, cloud-point measurement and transmission electron microscopy evaluation. Percent drug dissolved at first 10 min was determined. Furthermore, anti-hyperlipidemic efficacy of SNEDDS was compared with commercially marketed product and the pure drug suspension.
**The results:** The system containing (Tween 80 : PEG 400) 3:1 and olive oil : garlic oil (1:1) as an oily phase has droplet size less than 100 nm, ZP (+ 13.43 ± 2.58 mV), PDI (< 0.02), and cloud point (>90°C). *In vitro* drug release studies showed remarkable enhancement of the Rs release from Rs-SNEDDS compared to a drug suspension (>80% within 10 minutes). The anti-hyperlipidemic effect of Rs-SNEDDS is greater than that of the commercial tablets and pure drug.
**Conclusion:** Rs-SNEDDS is a promising drug delivery system for improving the drug solubility, bioavailability and antihyperlipidemic effect using natural oil like (olive oil and garlic oil).
**Keywords:** Rosuvastatin calcium, Self nanoemulsifying drug delivery system, natural oil, antihyperlipidemia.
---
**PO-5**
**Track:** Anti-Cancer Drug Discovery & Therapy
**SYNTHESIS OF NOVEL PYRAZOLONE NUCLEOSIDES AS ANTIMICROBIAL AGENTS**
**Heba A. Abou-Khousa, Ibrahim M. Abdou**
Department of Chemistry, College of Science, UAE University, Al-Ain, UAE; E-mails: email@example.com; firstname.lastname@example.org
Nucleosides and their analogues are known to be one of the most important classes of compounds due to their interesting properties and wide applications in pharmacological and medicinal fields. A new series of pyrazolone nucleosides 3-5 was designed and synthesized as potential biologically active agents. The silyl method was used to produce two isomeric products 3, 4. Isomer 3 was characterized as O-nucleoside while isomer 4 was found to be N-nucleoside. Both of the two isolated stereoisomers were found to be as $\beta$-configuration.
Ammonolysis of selected isomeric product 4f furnished the free nucleoside 5f in a quantitative yield. Compounds 3a, 4a, 4f were evaluated for their antibacterial activity. The newly synthesized nucleosides showed higher *in-vitro* growth inhibition compared to the known antibiotic Ceftriaxone CEF.
Scheme 1. Synthetic scheme of compounds 3-5.
**PO-57**
**Track:** CNS Treatment
**LEUKAPHARESIS-DERIVED MSCs CAN BE INDUCED INTO DOPAMINERGIC NEURONS, USING 2 STEPS LIQUID CULTURE WITH ASCORBIC ACID**
Zeinab Mohamed Kamal, Menna Mohamed A.Dayem, Nagla Mohamed Salama, Hala Gaber Metwally, Reham Abdel Aleem Afify, Dalia Ibrahim Ismail
Clinical Pathology Department, Faculty of Medicine, Cairo University, Doha, Qatar; E-mail: email@example.com
**Introduction:** Parkinson disease (PD) is the most common neurodegenerative movement disorder, and is accused as the most common cause of chronic progressive parkinsonism; it is also called (primary parkinsonism) or (idiopathic parkinsonism). Many interrelated hypothesis have been postulated about the death of dopaminergic neurons. Dopamine replacement with levodopa is standard and initial therapy for PD associated with great improvement in motor function; however, long term use of levodopa causes excessive spasmodic movement. Cell replacement showed limited ability for differentiation to DA neurons.
Embryonic stem cells (ESC's) and autologous embryonic stem cells (generated through therapeutic cloning) have been proposed as promising candidates for future. Adult Mesenchymal stem cells (MSC's) are another important source of cell preparation for compensatory therapy. However, the use of BM as a source for MSCs is limited because of the invasive collection procedure as well as the decrease in cell number, proliferation, and differentiation capacity in vitro with the age of the culture and alternatively, the autologous peripheral blood can be an important source of MSCs for cell based therapy, since they have been proven to be mobilized along with hemopoietic stem cells in standard mobilization regimens.
**Objective:** The aim of this study was to explore the *in-vitro* ability of leukapharesis-derived human adult mesenchymal stem cells to differentiate into dopaminergic neurons using ascorbic acid (AA).
**Subjects and Method:** Peripheral blood mononuclear (MNCs) were obtained from 10 leukapharesis-derived samples from donors undergoing stem cell mobilization by apheresis, MSCs separated, and culture in humid CO₂ incubator. Differentiation of MSCs into dopaminergic neurons was done using combined ascorbic Acid (AA) and nerve growth factor in polyornithine coated tissue culture plates. Evaluation of transdifferentiation was done using morphological, immunophenotypic and immunohistochemical patterns. Immunohistochemical staining was done using neurofilament (NF) and antityrosine hydroxylase (TH) antibodies.
**Results:** MSCs were verified by: morphology, culture characters, immunophenotyping, and trilineage differentiation capacity to adipocytes, osteoblasts, chondrocytes. Cytospin preparations from culture specimen’s immunostained with antineurofilament (NF) and antityrosine hydroxylase (TH) antibodies showed scattered immunopositive cells (brown Deposit). The percentage of cells stained for NF was 15.38 ± 3.84, the percentage of cells stained for TH was 5.94 ± 0.65.
**Conclusion:** Leukapharesis-derived MSCs can be isolated, expanded and transdifferentiated to dopamine-producing nerve cells.
**Keywords:** Mesenchymal stem cells, Stem cell mobilization, Ascorbic Acid, Nerve growth factor, DA neurons.
---
**PO-33**
**Track:** Anti-Infectives
**GENOTYPING OF BACTERIA ISOLATED FROM POULTRY FARMS IN GHANA USING ERIC-2 PCR**
Christian Agyare
Department of Pharmaceutics, Faculty of Pharmacy and Pharmaceutical Sciences, Kwame Nkrumah University of Science and Technology, Kumasi, Ghana; E-mail: firstname.lastname@example.org
Enterobacterial repetitive intergenic consensus sequence polymerase chain reaction (ERIC-PCR) arose out of a number of studies which show that bacteria belonging to the enterobacteriaceae family have highly conserved non-coding regions. These regions, usually 126 base pairs in length, are often repetitive. A number of primers have been designed
for these non-coding regions and when a PCR is performed, a unique pattern is obtained depending on the orientation, location and frequency of these regions in any bacteria [1]. Identical bacteria species produce identical band patterns when subjected to the same reaction conditions. Transmission of genetic material from one organism to another and transfer of bacteria from animals to farm hands, especially in the area of antibiotic resistance, has received considerable interest [2].
**Aim:** To determine the genotypic patterns of *Escherichia coli* and *Staphylococcus aureus* isolated from poultry litter and farm hands in the Ashanti region of Ghana.
**Method:** ERIC-PCR was performed on a total of 179 *E. coli* and 189 *S. aureus* isolates. Stored suspensions of the isolates were streaked on LB agar and incubated at 37°C for 18-24 h, pure colonies were suspended into 50µL Tris EDTA buffer. DNA was prepared by lysing the cells at 95°C for 10 min on cooling ice. The suspension was then centrifuged at 8000 rpm for 1 min. Two microliters of the supernatant was used as the DNA template for the PCR amplification. PCR amplification made at 94°C for 1 min, denatured at 94°C for 30 s, annealed at 50°C for 1 min, elongated at 65°C for 8 min and after 35 cycles, a final extension at 65°C for 10 min. The amplified PCR products were run on a 2% agarose gel-containing gel red stain and normalized with 1 kb plus ladder. Gels were run at 75V for 4 h.
**Results:** Isolates with 80–100% identical band patterns or sharing more than 4 identical bands were considered identical. Two percent of *E. coli* isolates from the same farm had identical band patterns between poultry and farm hand while *S. aureus* was 7%. Both human-litter and litter-litter identical patterns from different farms were higher among *E. coli* isolates (28 and 21%) than were among *S. aureus* isolates (14 and 11%, respectively). Humans from different farms shared identical band patterns among *S. aureus* isolates (11%) than among *E. coli* (6%). With non-matching band patterns, over half of the *S. aureus* isolates (59%) had their own unique patterns while 43% of the *E. coli* isolates had non-matching patterns.
**Conclusion:** The above findings indicate that there is possibility of sharing of bacterial genetic materials from isolates of *E. coli* and *S. aureus* between poultry birds and farm hands.
**REFERENCES**
[1] Di Giovanni *et al.* (1999), Curr Microbiol., 38 (4): 217-23.
[2] Van den Bogaard & Stobberingh (2000), Int J Antimicrob Agents 14 (4): 327-35.
---
**PO-34**
**Track:** Anti-Infectives
**ANTIMICROBIAL AND WOUND HEALING PROPERTIES OF MYRIANTHUS ARBOREUS AND ALCHORNEA CORDIFOLIA**
**Christian Agyare**
*Department of Pharmaceutics, Faculty of Pharmacy and Pharmaceutical Sciences, Kwame Nkrumah University of Science and Technology, Kumasi, Ghana; E-mail: email@example.com*
**Introduction:** *Myrianthus arboreus* P. Beauv. (Cecropiaceae) and *Alchornea cordifolia* Schumach & Thonn. (Euphorbiaceae) are tropical plants used for the treatment of ailments such as diarrhoea, malaria, boils, dysentery, wounds and skin infections [1, 2]. There are no scientific reports to support the above medicinal uses of these plants.
**Aims:** To investigate the antimicrobial, antioxidant and wound healing properties of methanol leaf extract of *M. arboreus* (MLMA), aqueous (ALAC) and ethanol leaf extracts (ELAC) of *A. cordifolia*.
**Methods:** The antimicrobial activity of the extracts was examined using the agar diffusion and micro-dilution methods [3] against *Escherichia coli* ATCC 25922, *Pseudomonas aeruginosa* ATCC 4853, *Staphylococcus aureus* ATCC 25923, *Bacillus subtilis* NTCC 10073 and clinical strains of *Streptococcus pyogenes* and *Candida albicans*. Antioxidant property of the extracts was determined by DPPH method [4] and wound healing property of the extracts determined using excision wound model [5].
**Results:** MLMA showed exhibited activity against *S. aureus*, *B. subtilis*, *S. pyogenes*, *E. coli*, *P. aeruginosa*, *C. albicans* with MIC values of 8, 6, 8, 8, 6 and 6mg/mL respectively. ELAC showed a good antimicrobial activity against *S. aureus*, *B. subtilis*, *E. coli*, *P. aeruginosa*, *C. albicans* with MICs of 3, 4, 6, 4 and 4mg/mL respectively; and ALAC had MICs of 2.5, 3, 10, 4 and 3mg/mL respectively. The IC$_{50}$ of MLMA, ELAC and ALAC were 2.68, 0.79, 0.78µg/mL respectively. The extracts (5% w/w extract aqueous creams) showed potent wound healing capacity with better wound closure (p<0.05), and tensile strength (p<0.01), improved wound tissue regeneration compared to untreated wounds at
day 9. Phytochemical screening of extracts revealed the presence of tannins, alkaloids, sterols, saponins, glycosides, terpenoids and flavonoids.
**Conclusion:** The biological activities of the extracts of the two plants may justify their uses in treatment for microbial infections and wounds.
**REFERENCES**
[1] Burkill (2005), Useful plants of west tropical Africa, Royal Botanical Garden, KEW.
[2] Agyare *et al.* (2009), J Ethnopharmacol., 125(3): 393-403.
[3] Elsayed (1998), Planta Med., (8):711-3.
[4] Mensah *et al.* (2006), J Sci Tech., 26(3): 83-89
[5] Agyare *et al.* (2013), eCAM, Article ID 632927, 10 pages.
---
**PO-30**
**Track:** Drug Delivery Systems
**ENHANCEMENT OF DISSOLUTION PROPERTIES OF TADALAFIL IN ORALLY DISINTEGRATING TABLET FORMULATIONS: PREPARATION AND IN VITRO EVALUATION**
**A.R. Ahmed**, M.S. Sokar, F.A. Ismail, N.A. Boraei
*Pharmaceutics Department, Faculty of pharmacy, Alexandria University, Alexandria, Egypt; E-mail: firstname.lastname@example.org*
Tadalafil is a phosphodiesterase-5 inhibitor indicated in the treatment of erectile dysfunction. However, it has very low aqueous solubility, leading to its poor dissolution in the gastrointestinal tract, resulting in variable bioavailability and delayed onset of action.
The aim of the present study was to enhance the dissolution behavior of tadalafil via solid dispersion technique, using polyvinylpyrrolidone (PVP) as a hydrophilic carrier, to be further compressed into orally disintegrating tablets which would expectedly increase its bioavailability & hasten its onset of action.
Tadalafil/PVP binary solid dispersions were prepared in different ratios; 1:1; SD1, 1:2; SD2, 1:3; SD3 and 1:4; SD4, respectively using solvent evaporation -co precipitation technique. Tertiary solid dispersion of tadalafil/PVP/Avicel® (1:2:2, respectively; SDS) was also prepared.
Orally disintegrating tablets (ODTs) were prepared by direct compression of a homogenous mixture of SDS (25 mg) & different concentrations of mannitol, croscarmellose & avicel® forming five different ODT formulations.
The prepared solid dispersions, in different ratios, were evaluated for dissolution properties in 0.1 N HCl containing 0.2% sodium lauryl sulphate (SLS) compared to those of pure tadalafil. The % yield of the prepared solid dispersions was also determined.
Fourier transform infrared spectroscopy (FTIR), X-ray powder diffractometry (XRPD), scanning electron microscopy (SEM) & differential scanning calorimetry (DSC) were used to characterize the solid state properties of the selected binary solid dispersion system.
SD2 exhibited the highest improvement in dissolution rate of tadalafil; Q10 = 71% ±1.3, corresponding to 34% ±1.8 in case of pure drug. XRPD & DSC showed the loss of the crystalline properties of tadalafil, in the prepared SD2, that has been verified through the SE micrographs. FTIR spectrum showed hydrogen bonding between N-H group of the drug and C=O group of PVP.
Percentage yield of the binary SDs decreased by the increase of PVP concentration may be due to the high water absorbing ability of PVP thus decreasing the flow properties. So to improve % yield of the selected SD2 (70.14%), it was mixed with avicel® (SD5) which offers good flow properties. SDS showed a % yield value of 94.22%. There was no significant difference in % tadalafil released in case of SD2&SD5 (student t-test, p>0.05). Therefore, SD5 was used for preparation of different ODT formulations (DC1-DC5).
The prepared tablets were characterized with respect to their drug content uniformity, weight variation, tablet breaking strength, % friability, wetting behavior & oral disintegration time. Dissolution behavior was tested for the selected ODT formulation.
The selected tadalafil ODT (DC3), containing 37% mannitol, 16% avicel® and 16% croscarmellose, showed superior wetting time; 36 secs along with an excellent oral disintegration time; 20 secs with an accepted value of hardness; 3.6
Kg &% friability; 0.7. DC3 exhibited an improvement in the dissolution profile of tadalafil compared to that of pure drug.
In conclusion, ODT containing solid dispersion can be successfully used for enhancement of the dissolution of tadalafil, with a rapid onset of action.
**Keywords:** Tadalafil, PVP, oral disintegrating tablets, solid dispersions, solvent method, direct compression.
---
**PO-48**
**Track:** Chemistry
**STABILITY OF ACONITINE IN ALCOHOLIC EXTRACTS**
**Mai Ahmed**, Ian S. Blagbrough, Michael G. Rowan
*Department of Pharmacy and Pharmacology, University of Bath, Bath, U.K.; E-mail: email@example.com*
Aconitine is a highly toxic nonditerpenoid alkaloid isolated from different *Aconitum* species. Traditional Chinese Medicine (TCM) uses *Aconitum* in several formulations as an anti-inflammatory, cardio-tonic and in treatment of skin abscesses caused by *Staphylococcus aureus* infection, but only after processing, usually boiling and steaming in order to hydrolyse ester groups i.e. acetate and/or benzoate yielding a less toxic compounds. HPLC and HRMS with electrospray ionisation (ESI) were used to separate and identify some of the aconitine degradation products obtained on treatment with different alcohols. Phenomenex Luna 5µ PFP 15 x 4.5 mm column; mobile phase: 0.1% formic acid: acetonitrile [65:35 v/v], 1 mL/min; sample 20 µL, detection UV λ = 232 nm. Pyranoaconitine (586 Da), 14-O-benzoylaconine (604 Da) and aconitine (646 Da) and 8-O-alkylated-14-O-benzoylaconine derivatives were characterised. The alkylated derivatives eluted at Rt = 5.3 min in the case of MeOH and $d_7$-MeOH, and at Rt = 3.8 min in the case of EtOH and $d_7$-EtOH. Alcoholic solvents displace the C-8 acetyl group. Therefore such solvents should be avoided in any extraction procedure for the analysis of aconitine and other diester diterpenoid alkaloids (DDA).
**ACKNOWLEDGEMENTS**
We thank the Egyptian Government for fully-funding a Scholarship to MA.
---
**PO-6**
**Track:** Anti-Cancer Drug Discovery and Therapy
**POTENTIAL CANCER CHEMO-PREVENTIVE PROPERTY OF MUCUNA PRURIENS (MP) LEAVES**
**Oke-Oghene Philomena Akpoveso**, G.W.J. Olivier and P.K. Charttejee, J.G. Mabley
*Pharmacy and Biomolecular Sciences, University of Brighton, Brighton, UK; E-mail: firstname.lastname@example.org*
**Background:** Most medicinal plants contain antioxidants: compounds that scavenge Reactive Oxygen Species (ROS). Some natural antioxidants in medicinal plants could be useful as anti-cancer agents because they induce D.N.A damage in the presence of transition metals. *Mucuna pruriens* (MP) leaves, are widely used as medicinal herbs, but have not been tested for potential anti-cancer effects.
**AIM:** To test for antioxidant effect of MP leaf extract (MPLE) against biological related ROS- superoxide ion ($\text{O}_2^-$); To test for potential anti-cancer effect of MPLE.
**Methods:** Superoxide ion scavenging activity (SSA) was assessed in vitro using enzymatic and non enzymatic $\text{O}_2^-$ generating systems. Anti-cancer potential was assessed as influence of copper ions (Cu$^{2+}$), on toxicity of MPLE in Human (EA.Hy926) endothelial cell lines.
**Results and Conclusion:** MPLE showed comparable SSA to Tempol (a synthetic superoxide ion dismutase mimetic). Safe concentrations of Cu$^{2+}$ significantly enhanced toxicity of MPLE in EA.Hy926 cells. Resveratrol a polyphenol and a natural antioxidant, causes D.N.A damage in the presence of Cu$^{2+}$ and MPLE displayed similar effects. Therefore, our findings suggest, MPLE may contain resveratrol-like compound that may be useful for cancer chemo-preventive therapy.
STUDIES ON COMBINATION OF PHYTOCHEMICALS IN THE HUMAN OVARIAN TUMOUR MODELS
Abir Alamro, Huq F., Yu J.Q., Beale Beale P. and Chan C.
School of Medical Sciences, Sydney Medical School, The University of Sydney, Cumberland Campus C42, Sydney, Australia; E-mail: email@example.com
Background: Traditional chemotherapeutic agents act by killing cells that divide rapidly, one of the main properties of most cancer cells. And developing drug resistance is the major hurdles in cancer chemotherapy in all cancer types include ovarian cancer. One way of overcoming drug resistance is to employ combination of phytochemicals with different mechanism of action.
Aim of the Study: To use combination of phytochemicals with different mode of action (Paclitaxel and Colchicine are mitotic inhibitor) with (Curcumin, Epigallocatechin gallate (EGCG) and Resveratrol are antioxidant) using different sequence of administration.
Methods: Three ovarian cancer cell lines, parent (A2780) and resistance lines (A2780\textsuperscript{cisR}) and (A2780\textsuperscript{DD4173R}) are treated with phytochemicals, individual and in binary combination using three sequences of administration. Individual treatment is done to determine the IC\textsubscript{50} values (drug concentration required for 50% cell kill) of each compound. Cell viability is quantified using the MTT reduction assay. The analysis of combination results is based on the equation derived by Chou and Talalay (1984), the actual calculations are done using CalcuSyn software.
Results: All of the selected phytochemicals are found to inhibit growth of both parent and resistant ovarian cell lines. And combination of phytochemicals showed sequence-dependent synergism.
Conclusion: Appropriate sequenced combination of phytochemical may provide a means of overcoming drug resistance.
MICROWAVE-ASSISTED SYNTHESIS OF CHALCONES, FLAVANONES AND 2-PYRAZOLINES: THEORETICAL AND EXPERIMENTAL STUDY
Abdullah Saad Al-Bogami
Department of Chemistry, King Abdulaziz University, Jeddah, Saudi Arabia; E-mail: firstname.lastname@example.org
Condensation of 2-acetyl-1-naphthol and 1-acetyl-2-naphthol with benzaldehydes under microwave irradiation gave chalcones or flavanones depending on the type of ketone. Also, 2-pyrazolines were synthesized by the condensation of chalcones with phenyl hydrazine under microwave irradiation in presence of dry acetic acid as a cyclizing agent. The results obtained indicated that, unlike classical heating, microwave irradiation resulted in higher yields, shorter reaction times and cleaner reactions. Chalcones, either natural or synthetic, are known to exhibit various biological activities [1] such as antioxidant [2], anti-inflammatory. Also, they are of high interest due to their usage as starting materials in synthesis of a series of heterocyclic compounds. 2-hydroxychalcones are considered as precursors in the synthesis and biosynthesis of several flavonoids, such as flavanones, The members of the flavanoid family are attracting increased attention due to their anticancer, antiinflammatory, antimalarial and anti-AIDS [3] pharmacological activities.
Keywords: 2-Acetyl-1-naphthol, 1-Acetyl-2-naphthol, Chalcones, Flavanones, 2-Pyrazolines.
**PO-105**
**Track:** Pharmaceutical Research & Development
**EFFECT OF LITHIUM SALTS ON SELECTED PARAMETERS TO STUDY ITS ANTOPSYCHOTIC ACTIVITY IN ALBINO MICE**
**Madhiha Taisser Al-Gadamsy, Syed Saleem Ahmed, Suheramehemmed Aburawi**
*Department of Pharmacology & Clinical Pharmacy, Faculty of Pharmacy, Tripoli University, Tripoli, Libya; E-mail: email@example.com*
An experimental study was undertaken to study the possible antipsychotic action of the three lithium salts in albino mice using Skinner box; the mice are trained to avoid electric shock in response to auditory cue alone. The selected doses were lithium carbonate 250 mg/Kg, lithium chloride 500 mg/Kg, and lithium sulphate 500 mg/K (doses which did not produce any lethality and without obvious toxicity). The results showed that chlorpromazine hydrochloride in the small dose (1.5 mg/Kg) blocked the conditioned avoidance response in 38% of the mice but without statistical significance (P>0.05), while the higher dose (3 mg/Kg) produced block of the response in 88% of mice with a highly statistically significant effect (P≤0.0001). Lithium (carbonate, chloride and sulphate) alone did not inhibit conditioned avoidance response significantly. The combination of lithium salts with the lower dose of chlorpromazine hydrochloride produced a highly statistically significant (P≤0.0001) potentiation, in case of lithium carbonate combination (88%), and lithium chloride combination (63%) of the mice. However, the chlorpromazine combination with lithium sulphate did not produce any statistically significant effect in this response (P>0.05).
**Keywords:** Antipsychotic, lithium salts, Skinner box.
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**PO-132**
**CRYPTOSPORIDIUM INFECTION IN HOUSE HOLD DOGS**
**Seyed Javid Aldavood, Hamid-Reza Haddadzade and Hessamoddin Akbarein**
*DVM, DVSc Islamic Azad University, Science and Research Branch, Poonak, Tehran, Iran; E-mail: firstname.lastname@example.org*
Cryptosporidium, an enteric coccidian, is a common enteropathogen in birds and mammals including human particularly in immunocompromised individual. In this study rectal swabs from 191 dogs (101 househould & 90 stray dogs) were collected from three aged groups (0-6 months, 6 months to 4 years and over 4 years). They selected from clinically normal dogs that referred to Small Animal Teaching Hospital of Veterinary Faculty in Tehran. The samples were collected during winter and spring. Two smears were prepared from each swab sample. One smear underwent Fluorescent Auramine and the other Modified Zeihl-Neelsen technique. Oocysts were detected by both staining methods in one male househould dog with clinical signs of diarrhea (aged 4 months). Diarhea was recorded in 5 househould dogs. There was no significant difference between the househould and the stray dogs.
**Keywords:** Cryptosporidium, Dog, Auramine, Modified Zeihl-Neelsen.
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**PO-78**
**TRANSFER WITH CLASSICAL APPROACH - BASED VALIDATION OF STABILITY INDICATING METHOD FOR ORIGINAL AND GENERIC OF DICLOFENAC SODIUM RELEASE AND ITS IMPURITIES IN ACID STAGE CONDITION**
**M. A mood Al-Kamarany, M. EL Karbane, F. Alanazi, H.O. Kadi, Y. Cherrah, A. Bouklouze**
*Department of Pharmaceutical and Biomedical Sciences, College of Clinical Pharmacy, Hodeidah University, Hodeidah, Yemen; E-mail: email@example.com; firstname.lastname@example.org*
The study aims to support the life cycle of analytical methods development for pharmaceutical quality control namely, validation and transfer of analytical method based on classical approaches for release determination and impurities profile of diclofenac sodium in gastric resistance condition (dissolution test) based on different approaches. The current study was performed in accredited laboratory as sending site. RP – HPLC method for impurities profile of diclofenac sodium in gastric resistance condition were validated based on classical approach namely Society French of
Pharmaceutical and Technical Sciences 1992 (SFPTS) at sending site. The validated method was transferred into receiver site. The classical approach and USP concept (1010) were used as tools to accept the transfer of analytical method. The results showed that the method was developed using classical approaches with procedure of transfer, as a decision tool which is better than the classical approach only. Receiving site guarantees that each of future results will be within the acceptance limits and it can implement the transfer of the method of analytical procedure and more important be able to obtain reliable results.
**Keywords:** Validation, transfer, analytical method, quality control, pharmaceutical product, statistical approaches.
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**PO-79**
**DEVELOPMENT OF METHODS FOR THE DETERMINATION OF BISPHENOL A AT TRACE CONCENTRATIONS IN BABY BOTTLES INCLUDING EXPERIMENTAL DESIGN FOR ITS EXTRACTION**
M. EL Karbane, **M. Aamood Al-Kamarany**, M. Azougagh, H. Bouchafra, B. Benaji, H. Ibrahimabdullah, M. Mahli
*Department of Pharmaceutical and Biomedical Sciences, College of Clinical Pharmacy, Hodeidah University, Hodeidah, Yemen; E-mail: email@example.com; firstname.lastname@example.org*
Different analytical methods for the determination of Bisphenol a (BPA) in baby bottles have been compared. In addition, the optimization of the BPA extraction based on experimental design namely *Box-Behnken design* that was carried out. A High performance liquid chromatography with fluorescent detector (HPLC – FD) for the direct measurement of BPA in baby bottles was validated. On the other hand, the HPLC – FD method was transferred into Ultra high performance liquid chromatography with tandem mass (UHPLC - MS/MS) and validated for the same purpose. Sensitivity of UHPLC MS/MS detector over HPLC – FD was evaluated by comparison of LOQ values of BPA for both methods. The results showed that HPLC- FD can significantly increase throughput with quality results for determination of BPA in baby bottles due to the BPA is sensible for FD more than MS/MS detector associated with extraction method by 4% acetic acid at 35 °C for 36 hr. Therefore, the HPLC – FD was applied for quality control of BPA in baby bottles of parallel market that contained this compound.
**Keywords:** Bisphenol A, experimental design, UHPLC - MS/MS, HPLC – FD, extraction, baby bottles.
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**PO-58**
**Track: Chemistry**
**DETERMINATION OF SELENIUM CONTENT IN SULFATED SELENINOPOLYSACCHARIDE: A NEW CLASS OF CHEMICAL COMPOUND**
Mohamed El-Attug, Omeran N. Fhid, Anal Ammar, Ruwida Kamour, Anisa Elhamili, Fitak B. Suchocki P., and **Tariq Almog**
*Department of Pharmaceutical Chemistry, Faculty of Pharmacy, Tripoli University, Tripoli, Libya; E-mail: email@example.com*
Polysaccharides, including sulfated polysaccharides, are the important polymers having very wide applications and roles in living organisms. Similarly, selenium is an essential element, showing the activities as an antioxidant and free radicals scavenger.
In this work a compounds belonging to class of seleninoorganic compounds, namely sulfated seleninopolysaccharides, have been synthesized and analyzed.
Polysaccharides involved in the synthesis, were obtained from the cress seeds (*Lepidium sativum L.*).
The synthesis of sulfated seleninopolysaccharides were performed by introducing the sulfate groups using chlorosulfonic acid and selenite groups using selenious acid in *N,N*-dimethylformamide into polysaccharides.
Sulfated seleninopolysaccharide were separated and purified from unwanted salts by the application of gel filtration technique using glass column chromatography with Sephadex G-25, and water as a mobile phase. The two obtained fractions were named as (SeSLS1 and SeSLS2) and two fractions obtained after H$_2$O$_2$ degradation of insoluble part named as (SeSLSal, SeSLSa2).
By the exclusion chromatography using analytical Water steel Protein Pak column, SeSLS1 fraction was recognized as three sub-fractions with three different molecular mass, LS1 I, LS1 II and LS1 III while the second fraction SeSLS2 was recognized as two sub-fractions, LS2 I and LS2 II. First degraded fraction SeSLSal was recognized as only one fraction LSa1 I while the SeSLSa2 fraction contain four sub-fractions with four different molecular mass LSa2 I, LSa2 II, LSa2 III, and LSa2 IV.
In the analytical part of this work, the aim was to determine of selenium content using graft furnace atomic absorption spectrometry. The highest detected in SeSLS1 was 6.43% while the lowest was 3.45% reported in SeSLSa2. Selenite groups determined by HPLC-electrochemical technique and the highest selenite groups reported in SeSLS1 fraction and it was 40.25 mmol per 100 gm of fraction while the lowest was 22.42 mmol, detected in SeSLSa1 after treatment by H₂O₂.
Infrared spectroscopy provides an evidence of that all fractions separated contained both sulfate and selenite groups in their structure.
**PO-43**
**Track:** Chemistry
**SYNTHESIS, MOLECULAR DOCKING, ANTIBACTERIAL EVALUATION OF VARIOUS QUINOLINESCHIFF BASES: LABELING&BIODISTRIBUTION OF 99MTC-2-(P-HYDROXYBENZYLIDENE)-(QUINOLIN-4-YL) HYDRAZINE**
Mohammed A. Khedr, Adnan A. Kadi, Mohammed A. Motaleb, Khalid A. Al-rashood, and Wafaa A. Zaghariy, Reem Ibrahim Al-Wahli
*Pharmaceutical Chemistry, King Saud University, Riyadh, Saudi Arabia; E-mail: firstname.lastname@example.org*
A new series of 2-(substituted benzylidene) 1-(quinoline-4-yl) hydrazine was designed, synthesized and evaluated for their antimicrobial activity. A molecular docking study was performed against bacterial topoisomerase II (PDB code: 2XCT) by MOE 2012.10, Leadit 2.1 softwares. Compound 4a representing the remarkably active compound in this study was labelled with one of the most important radioactive isotopes (technethium-99m). 99mTc-4a complex showed higher labelling yield, stability and uptake in inflamed tissue (T/NT = 6.11 ± 0.5) than the commercially available 99mTc-ciprofloxacin (T/NT = 3.6 ± 0.4).
**Keywords:** Quinoline, Benzylidene, Molecular docking, Antimicrobial activity, technetium 99m.
**PO-36**
**Track:** Anti-infectives
**NOVEL SEPTICEMIA BIOMARKER: HDL (HIGH DENSITY LIPOPROTEINS)**
Sejad Al-Zaidawi
*Al-Sadr Teaching Hospital, Burn Unit, Maysan, Iraq; E-mail: email@example.com*
**Aims:** Delay in diagnosis and initiation of antibiotics treatment have been shown to increase mortality. Biomarkers can play an important role in diagnosis and prognosis of sepsis. We aimed to evaluate the correlation between septicemia and high density lipoproteins (HDL) level in burned patients.
**Methods:** In our prospective study conducted at Al-Sadr teaching hospital, Maysan, Iraq, during period from April to September 2013. Blood samples were collected from patient every other day to measure the level of HDL (high density lipoproteins) and triglycerides. Other blood samples were collected in blood culture tubes for culturing to verify septicemia depending on the clinical evidences.
**Results:** 75 patients were admitted consecutively into burn unit, 35 of them (46%) developed septicemia about 11 patients of the 35 patients are died. All died patients were with HDL value (< 5 mg/dl) 1 or 2 days before dying since our blood samples were collected every 2 days. Also find that patients with high density lipoproteins (HDL) value < 15 mg/dl were with high risk of developing sepsis.
**Conclusion:** There was a strong correlation between high density lipoproteins (HDL) level and septicemia in burnt patient. HDL value is a good biomarker for sepsis, it decreases below normal level and continues to diminish and reach to immeasurable level at advance stage of septicemia.
**Keywords:** High density lipoproteins (HDL), septicemia, burns, biomarkers, triglycerides.
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**PO-83**
**Track:** Innovative Drug Discovery and Nanotechnology
**NOVEL CO-ENCAPSULATED NANO-LIPOSOME SYSTEM-BASED TWO HERBAL DRUGS OF SILIBININ & GLYCYYRHIZIC ACID (NANO-PHYTOSOME) FOR CO-DELIVERY TO LIVER CANCER CELLS**
Mohammad Mahdi Ochi Ardebili, Ghasem Amoabediny, Seyed Mahdi Rezaya, Azim Akbarzadeh, Bahman Ebrahimi, Fatemeh Haghirosadat
*Department of Nano Biotechnology, Research Center for New Technologies in Life science Engineering, University of Tehran, Tehran, Iran; E-mail: firstname.lastname@example.org*
Nano-phytosomes are Nano-liposome vesicles that formed due the interaction of hydrogen bonds between phospholipids of lipid membrane and phyto-molecules for improving the delivery of therapeutic agents. This study is about two herbal drugs of Silibinin and Glycyrrhizic acid loaded Pegylated Nano-liposome system for delivery to liver cancer cells and increase stability of Silibinin in blood. Antitumor efficacy of Glycyrrhizic acid and Silibinin are attributing to inhibition of matrix of metalloproteases and primarily attributing to decrease N-nitrosodiethyamine in hepatocyte carcinoma cells. Preparation of Nano-liposomes by thin layer film hydration method with HEPES buffer and sonication at 25%, 40% and 60% Amplitude. Small uni-lamellar vesicles entrapping glycyrrhizic acid & Silibinin are prepared using DPPC: cholesterol: DSPE-mPEG2000 at 7:4:0.36 molar ratios. The fluorescent label (DL) was incorporated in the lipid bilayer at 0.1 mol%. Results shown that Mean Nano-phytosome diameter decreased with increasing sonication amplitude. The formulation of pegylated nano-liposomes sonicated at 60% amplitude showed a narrow size distribution with an average diameter of 58.9 nm. The size and structure of Nano-phytosome was analyzed by SEM and TEM images. The zeta potential of the Co-encapsulated Nano-phytosome showed -23.25. The encapsulation efficiency for Silibinin and Glycyrrhizic acid were about 24.37% and 68.78%, respectively.
**Keywords:** Nano-liposome, Nano-phytosome, Silibinin, Glycyrrhizic acid, Encapsulation, Liver cancer.
---
**PO-84**
**Track:** Innovative Drug Discovery and Nanotechnology
**TARGETING OF NANO-LIPOSOMES FOR DRUG & GENE DELIVERY SYSTEMS TO CANCER CELLS**
Mohammad Mahdi Ochi Ardebili, Ghasem Amoabediny
*Department of Nano Biotechnology, Research Center for New Technologies in Life science Engineering, University of Tehran, Tehran, Iran; E-mail: email@example.com*
Generally, tumor cells aberrantly express tumor associated antigens that can be utilized as appropriate target molecules. Targeted Nano-liposomes, when compared with non-targeted nanoparticles, have several potential advantages: the ability to partition more of the nanoparticles within target tissue, increased uptake into target cells, higher therapeutic efficacy and lower toxicity. Targeting ligands-Coupled Nano-Liposomes are included of: 1. Monoclonal antibodies: Monoclonal antibodies (mAbs) & artificially engineered mAbs have been the preferred class of targeting molecules for the last several decades. 2. Aptamers: Aptamers are small nucleic acid ligands that can bind to targets with high sensitivity and specificity. Aptamers fold by intra-molecular interaction into unique conformations with ligand binding characteristics. 3. Peptide-based targeting molecules: Peptides are an attractive alternative targeting molecule due to their smaller size, lower immunogenicity, higher stability and ease of manufacture. There are a handful of oligopeptides that are distinct in their characteristics. These include A-domain proteins, AdNectins, and affibodies. 4. Antibody fragments: Due the limitations and challenges of using mAbs discussed earlier, there is increasing interest in using antibody fragments as targeting molecules while retaining the high antigen binding specificity of antibodies. These
include the Fab fragments, single chain variable fragments (scFV), minibodies, diabodies and nanobodies. 5. Small molecules: One of the most extensively studied small molecule targeting moieties in targeted drug delivery is folic acid (folate). The high-affinity vitamin folate is a commonly used ligand for cancer targeting because folate receptors (FRs) are frequently overexpressed on tumor cells. Targeted nano-liposomes can deliver therapeutic drugs and gene to a specific target cell population.
**Keywords:** Targeting, Nano-Liposomes, Drug Delivery, Gene Delivery.
---
**PO-85**
**Track:** Innovative Drug Discovery and Nanotechnology
**DENDRIMERS FOR NANO MEDICINE APPLICATIONS AND NOVEL DRUG DELIVERY SYSTEMS**
**Mohammad Mahdi Ochi Ardebili, Ghasem Amoabediny**
*Department of Nano Biotechnology, Research Center for New Technologies in Life science Engineering, University of Tehran, Tehran, Iran; E-mail: firstname.lastname@example.org*
The first dendrimer synthesis was noted by an R&D-100 Award (1991) and the Leonardo da Vinci Prize (Paris, 1996). Copolymers in General Structure of dendrimers: A. segment-block dendrimer; B. layer-block dendrimer. Properties of dendrimers: 1. Monodispersity, 2. Nanoscale size and shape Polyvalency, 3. Physicochemical properties, 4. Biocompatibility, 5. Immunogenicity. Dendrimers are produced by synthesizing A. The divergent growth method, B. The convergent growth method. There are now more than fifty families of dendrimers that the important families are such as Chiral-dendrimer, Liquid crystalline-dendrimers, Tecto-dendrimer, Pamanos-dendrimer, Pamam-dendrimer, Ppi-dendrimer, Hybrid-dendrimers, Peptide-dendrimers, Amphiphilic-dendrimers, Micellar-dendrimers, Multilingual-dendrimers. Applications of dendrimers for medicine and drug delivery systems: A-Pharmaceutical applications of Dendrimers are involved: 1. ocular drug delivery, 2. pulmonary drug delivery, 3. transdermal drug delivery, 4. oral drug delivery, 5. targeted drug delivery such as The encapsulation of anticancer drugs methotraxate and 5-fluorouracil into PEGylated generation 3 and 4 PAMAM-dendrimers, 6. gene delivery, 7. Dendrimers for controlled release drug delivery, 8. Dendrimer as solubility enhancer, 9. Cellular delivery using dendrimer carrier. B-Therapeutic applications of Dendrimers are involved: 1. photodynamic Therapy, 2. Dendrimers for boron neutron capture therapy, C-Diagnostic applications of Dendrimers are involved: 1. Dendrimers as molecular probes, 2. Dendrimers as X-ray contrast agents, and 3. Dendrimers as MRI contrast agents. Diagnostic applications of Dendrimers such as MRI contrast agents.
**Keywords:** Dendrimers, Drug delivery, Anti-cancer drug, Applications, nano biotechnology.
---
**PO-10**
**Track:** Inflammation and Immunology
**PHARMACOLOGICAL INVESTIGATIONS ON THE STEM BARK OF CAREYA ARBOREA AS A POTENTIAL ANTI-INFLAMMATORY AGENT IN CFA INDUCED CHRONIC INFLAMMATION**
**Rayhana Begum and Manju Sharma**
*Department of Pharmacology, Faculty of Pharmacy, Hamdard University, New Delhi, India; E-mail: email@example.com*
The objective of the study was to explore the anti-inflammatory effect of methanolic extract of stem bark of *Careya arborea*, a plant used locally in India for various painful inflammatory conditions, using chronic inflammatory model of Complete Freund's Adjuvant (CFA) induced arthritis in rats. Arthritis was induced by injecting 0.1ml of CFA containing 5mg/ml of heat killed *Mycobacterium tuberculosis* into the sub plantar region of the left hind paw. Treatment with the extract (100 and 200mg/kg) and standard (Indomethacin 5mg/kg) started on the day of induction of inflamogens and continued up to 28 days. There was a significant reduction in score of arthritic index in *Careya arborea* treated animals. The changes in size of tibio-tarsal joint diameter in groups 4 and 5 which received methanolic extract and group 3 with indomethacin treatment decreased. At the end of experiment, paw tissues and blood samples were collected for Nitric Oxide (NO), Myeloperoxidase (MPO), Malondialdehyde (MDA), Creactive protein (CRP) and $\gamma$-glutamyl transferase (GGT) estimation. In group 2 (untreated rats), there was a significant rise in NO, MPO, MDA, CRP and GGT. However, the levels of NO, MPO, MDA, CRP and GGT were significantly lowered in animals administered with *Careya arborea*. The findings were further supported by the radiographic changes/studies.
**Keywords:** *Careya arborea*, Chronic Inflammation, Complete Freund's Adjuvant, Nitric Oxide, Myeloperoxidase, C-reactive protein, $\gamma$-glutamyl transferase.
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**PO-131**
**Track:** Protein and Peptide Sciences
**THE ASSESSMENT OF ANTIOXIDANT ACTIVITIES OF PEPTIDE FRACTIONS OBTAINED FROM FERMENTED BOVINE MILK BY *LACTOBACILLUS SP* ISOLATED FROM KEFIR**
*K. Belkaaloul, A. Chekroun, T. Haertle, Y. Choiset, H. Rabesona, D. Saidi, O. Kheroua*
*Laboratory of Physiology of Nutrition and Food Safety, Department of Biology, Faculty of Science of Nature and Life, University of Oran, Oran, Algeria; E-mail: firstname.lastname@example.org*
Milk proteins harbor numerous biological activities that make them effective in improving human health and nutrition. The therapeutic effects of fermented dairy products and lactic acid bacteria in cancer, allergy, infection and gastrointestinal disorders were investigated. The aim of this study was to evaluate the antioxidant activities of peptide fractions obtained from fermented bovine milk by fermentation with Lactic Acid Bacteria (LAB) - *Lactobacillus* sp. The proteolytic activity of used LAB strain was determined by SDS-PAGE after 24h of fermentation at 37 °C and the antioxidant activity of proteolysates was measured using a 2, 2’-azino-bis(3- ethylenebenzothiazoline-6-sulfonic acid) based method and compared with hydrolysated obtained in the presence of pepsin and proteinase K. The results showed that the antioxidant activity is of peptidic origin and it could be explained by the higher accessibility of antioxidant amino acid residues after bacterial hydrolysis. The obtained results suggest the potential interest of use of *Lactobacillus* sp. for production of fermented dairy product with antioxidant properties.
**Keywords:** Lactobacillus, antioxidant activity, peptide-hydrolysis.
---
**PO-20**
**Track:** Innovative Drug Discovery and Nanotechnology
**NEW RUSSIAN FIBRINOLYTIC TROMBOVAZIM® IN COMBINED THERAPY OF INTRAOCULAR INFLAMMATION AFTER CATARACT REMOVAL**
*Natalia Urievna Belousova*
*Department of Eye Diseases, Nizhny Novgorod State Medical Academy, Nizhny Novgorod, Russia; E-mail: email@example.com*
**Background:** Intraocular inflammation is an early complication of cataract surgery, the standard therapy of which includes antibiotics, anti-inflammatory drugs, mydriatics and fibrinolytics. In 2007 Siberian Center of Pharmacology and Biotechnology (Novosibirsk, RF) made the first “per oral” fibrinolytic Trombovazim® by means of a classic Nano-Bio Technology (AXIS®).
**Aim:** is to estimate the influence of Trombovazim® on the indexes of ocular inflammation after cataract surgery.
**Methods:** 71 patients with this complication were examined and treated. The main group of patients was treated with standard therapy plus Trombovazim® at dose 400 IU (2 tablets) 2 times per day for 5-7 days, while only routine treatment was used in the comparative group.
**Results:** At the end of the therapy the main group demonstrated more significant increase in visual acuity, anti-inflammatory factor (IL-4) concentration in the lacrimal fluid and more evident decrease in the pro-inflammatory markers levels (C-reactive protein, fibrinogen in blood, TNF-α in the lacrimal fluid) in contrast to the second group.
**Conclusion:** Anti-inflammatory effect of fibrinolytic Trombovazim® was revealed as additional, that’s quite advisable to use this drug in combined therapy of postoperative intraocular inflammation.
**Keywords:** Cataract surgery, Trombovazim®, intraocular inflammation.
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**PO-114**
**Track:** Anti-Cancer Discovery & Therapy
**DEVELOPMENT AND VALIDATION OF CLINICALLY PREDICTIVE MODELS FOR ANTI-CANCER DRUG DEVELOPMENT**
*Bernoulli J., Tuomela J., Fagerlund K.M., Rissanen J.P., Halleen J.M., Suominen M.I.*
*Pharmatest Services Ltd., Itäinen Pitkäkatu 4C, Turku, Finland; E-mail: firstname.lastname@example.org*
Clinically predictive preclinical cancer models are urgently needed for drug development. We propose an optimal strategy for efficacy testing of drug candidates for prostate cancer using well characterized and validated research models. In this strategy, a compound library is first screened for efficacy to inhibit proliferation of prostate cancer cells using an automated platform. Efficacy is confirmed by extensive testing *in vitro*, allowing reliable calculation of IC50 values. Compounds with confirmed efficacy are tested for their maximal tolerated dose *in vivo* to find optimal dose ranges. Efficacy is then tested *in vivo* using xenografts produced by the same cell lines whose proliferation the compounds were earlier demonstrated to inhibit effectively *in vitro*. Xenograft studies are started using orthotopic models, where primary tumors develop in prostate in close interaction with prostatic stroma and metastasize into local lymph nodes. Because most prostate cancer patients die due to bone metastases it is also important to demonstrate efficacy of the compounds on tumor growth in bone using intratibial models, and spreading of the cancer cells to bone and development of bone metastases using intracardiac models. This strategy is not limited to prostate cancer; it can be exploited widely in anti-cancer drug development.
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**PO-23**
**Track:** Chemistry (Asymmetric Synthesis)
**STEREOSELECTIVE SYNTHESIS OF $\beta$- AND $\gamma$-AMINO ETHERS, MORPHOLINES, AND 2-IMINOTHIAZOLIDINES VIA S$_{N}$2-TYPE RING-OPENING OF N-ACTIVATED AZIRIDINES**
*Aditya Bhattacharyya, and Manas K. Ghorai*
*Department of Chemistry, Indian Institute of Technology, Kanpur – 208016, Uttar Pradesh, India; E-mail: email@example.com; firstname.lastname@example.org*
The small ringaza-heterocycles like aziridines and azetidines are vulnerable to a wide array of nucleophiles and thereby they can produce a number of valuable synthetic intermediates and end products of immense chemical and biological importance. We have established the reaction mechanism of Lewis acid catalyzed highly regioselective ring-opening of $N$-activated aziridines and azetidines as an S$_{N}$2-type pathway and we have effectively controlled the partial racemization of the starting substrate by using quaternary ammonium salts. The stratagem has been successfully applied for the synthesis of the nonracemic $\beta$- and $\gamma$-amino ethers, morpholines and their higher homologues using alcohols and haloalcohols as the nucleophiles, respectively, with excellent enantio- and diastereospecificity (ee up to >99%, de up to 99%). Some of the synthesized $\beta$- and $\gamma$-amino ethers have been found to possess anti-tuberculosis activity. Very recently, we have synthesized highly functionalized 2-iminothiazolidines in excellent yields (up to 99%) with excellent enanto- and diastereospecificity (ee up to >99%, de up to >99%) via a highly regioselective domino ring-opening cyclization (DROC) of substituted and $N$-activated aziridines with aryl- and alkyl isothiocyanates.
**REFERENCES**
[1] Ghorai, M. K.; Das, K.; Shukla, *D. J. Org. Chem.* **2007**, *72*, 5859–5862.
[2] Ghorai, M. K.; Shukla, D.; Das, K. *J. Org. Chem.* **2009**, *74*, 7013–7022.
[3] Ghorai, M. K.; Shukla, D.; and Bhattacharyya, A. *J. Org. Chem.* **2012**, *77*, 3740–3753.
[4] Bhattacharyya, A. *Synlett* **2012**, *23*, 2142–2143.
[5] Ghorai, M. K.; Bhattacharyya, A. *manuscript under preparation*.
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**PO-77**
**IDENTIFYING PATIENTS IN NEED FOR PROPHYLACTIC RENAL PROTECTIVE TREATMENT AFTER CARDIAC SURGERY**
**Henrik Bjursten, Alain Dardashti, Faleh Al-Rashidi, Björn Bröndén, Per Ederoth**
*Department of Cardiothoracic Surgery, Anesthesia and Intensive Care, Skane University Hospital, Lund University, Lund, Sweden; E-mail: email@example.com*
**Background:** Renal dysfunction after cardiac surgery is seen in 30% of patients. This study aims to compare changes in renal function in coronary artery bypass grafting (CABG) and Aortic valve replacement (AVR) postoperatively in order to identify which group is at largest risk for renal dysfunction, and thus in need for prophylactic treatment.
**Methods:** A retrospective single centre study was performed including 6 953 CABG and AVR patients. Patients were followed up for a period of up to 9.5 years using a Cox proportional hazard. Renal outcome was measured as change in estimated Glomerular Filtration Rate (eGFR) Model.
**Results:** A total 5696 patients underwent CABG, 637 AVR. For the patients that underwent CABG, eGFR before surgery was $83.7 \pm 23.7$, at highest creatinine $72.8 \pm 25.7$ (p<0.001), and at discharge $83.7 \pm 23.7$ (p<0.001). For the patients that underwent AVR, eGFR before surgery was $80.0 \pm 24.3$, at highest creatinine $71.4 \pm 28.7$ (p<0.001), and at discharge $85.1 \pm 30.2$ (p<0.001).
**Discussion:** At discharge, patients who underwent CABG had 1.0% decrease in eGFR: patients who underwent AVR had 6.4% increases in eGFR. It seems as if CABG patients have persistent decline in renal function, whereas AVR patients have a full recovery during the hospital stay. Therefore, pharmacological intervention should be targeted to CABG patients rather than AVR patients.
**Keywords:** Cardiac Surgery, Renal function, CABG, AVR, Prophylaxis.
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**PO-13**
**CONSTRUCTION OF PACLITAXEL-LOADED STAR-SHAPED CHOLIC ACID-CORE PLGA-TPGS COPOLYMER NANOPARTICLES DELIVERY SYSTEM AND EVALUATION OF ITS ANTICANCER ACTIVITY**
**Xiao-long Tang, Shu-Yu Cai, Zhen-You Jiang, Wen-yue Li, Rong-bo Zhang, Xiu-yun Zhang, Lin Sun, Li-yi Fang, Xin Zhou**
*Stem cell Engineering Research Center, School of Medical, Anhui University of Science & Technology, Huainan 232001, China; E-mail: firstname.lastname@example.org*
**Background:** Nanoparticles are good drug carriers because of their good biocompatibility and biodegradability, and can be readily modified. This study was to develop a novel formulation of paclitaxel (PTX) that would improve its anticancer therapeutic index.
**Methods:** We developed a system of polymer–PTX drug conjugate with a concept of polymeric micelle drug delivery to form novel free PTX-loaded star-shaped cholic acid–core PLGA-TPGS conjugate nanoparticles (NPs) for breast cancer treatment. The structural properties and thermal stability of the copolymer was measured and confirmed by Fourier transform infrared spectroscopy, nuclear magnetic resonance, and thermogravimetric analysis. And the paclitaxel-loaded CA-PLGA-TPGS NPs efficiency as a new molecular biomaterial for drug delivery was evaluated by measurement of the anticancer activity of the paclitaxel-loaded CA-PLGA-TPGS NPs for breast cancer MCF-7 cells *in vivo* and *in vitro*.
**Results:** A system of novel nanoparticles (NPs) of star-shaped cholic acid–core PLGA-TPGS block copolymer for paclitaxel delivery for breast cancer treatment was developed, which demonstrated superior *in vitro* and *in vivo* performance in comparison with the paclitaxel-loaded PLGA NPs and the linear PLGA-TPGS copolymer NPs. The
paclitaxel- or coumarin 6-loaded NPs were prepared by a modified nanoprecipitation method and then characterized in terms of size, surface charge, surface morphology, drug encapsulation efficiency, *in vitro* release profile and physical state of the encapsulated drug. The CA-PLGA-TPGS NPs were found to have the highest cellular uptake efficiency, the highest antitumor efficacy compared with PLGA-TPGS NPs and PLGA NPs *in vivo* and *in vitro*.
**Conclusion:** The results suggest that such a star-shaped copolymer CA-PLGA-TPGS NPs is promising a new molecular biomaterial for drug delivery of high efficiency. This system can passively target cancer tissue and release drugs in a controllable manner, as determined by the pH value of the area in which the drug accumulates.
**Keywords:** Antitumor activity, Nanoparticles, Drug delivery, Star-shaped copolymer.
**Acknowledgements:** Guangdong provincial Health Department Fund Project; Project Number: A2011224; national high technology research and development program (863 Program); Project Number: 2011AA02A111.
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**PO-28**
**Track:** Drug Delivery & Targeting
**WITHAFERIN A: EVALUATION OF ANTILEISHMANIAL AND IMMUNOMODULATORY EFFECTS AND IN-SILICO DOCKING WITH TRYPANOPTHIONE REDUCTASE**
**Sambamurthy Chandrasekaran**, Ravi Kumar Gundampati, Medicherla V. Jagannadham, Shyam Sundar, Radheshyam Maurya
*Department of Animal Sciences, University of Hyderabad, Hyderabad, India; E-mail: email@example.com, firstname.lastname@example.org*
Withaferin A, a major steroidal lactone present in *Withania somnifera* leaves and roots, has been attributed to many pharmacological activities like anti-cancer including antileishmanial [1] recently. It was shown to inhibit the growth of *L. donovani* promastigotes both in *in vitro* and *ex vivo*. IL-10, a key Th2 cytokine in *Leishmania* infection [2] is suppressed by withaferin A in dose dependent manner. A theoretical docking study was done with withaferin A and trypanothione reductase, a validated drug target enzyme of the *Leishmania* parasite. Withaferin A was found to bind at the active site of *L. infantum* Try R with lowest binding energy and RMSD values of -9.51 Kcal/mol and 0.294 Å respectively. Docking analysis of Try R with ligand enabled us to identify specific residues viz., Lys-61, Val-103, Isoleu-106, Tyr-110, Leu-334, Cys-364, Ala-365 within the Try R binding pocket to play an important role in ligand binding. This study contributes towards understanding the mechanism of antileishmanial effect of the withaferin A on *L. donovani* parasite. Thus, on the basis of our *in vitro* and *in silico* studies, we hypothesize that withaferin A exhibits inhibitory effect against *L. donovani* parasites.
**Keywords:** Autodock, Trypanothione reductase, Withaferin A, *Leishmania infantum*, antileishmanial activity, *Leishmania donovani*.
**REFERENCES**
[1] S. Chandrasekaran, A. Dayakar, J. Veronica, S. Sundar, and R. Maurya. An *in vitro* study of apoptotic like death by withanolides in *L. donovani* promastigotes, Parasitology International, 2013, 62, 253-261.
[2] S. Gautam, R. Kumar, R. Maurya, S. Nylen, N. Ansari, M. Rai, S. Sundar, D. Sacks, IL-10 neutralization promotes parasite clearance in splenic aspirate cells from patients with visceral leishmaniasis, Journal of Infectious Diseases, 2011, 204, 1134-1137.
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**PO-15**
**Track:** Academic CRO /Industrial collaborations in Drug Discovery
**IDENTIFICATION AND CHARACTERIZATION OF PHYTOTOXIC CONSTITUENTS FROM PILEOSTEGIA VIBURNOIDES VAR. GLABRESCENS**
**Li Q., Sheng-Huang Chen, Yu J.**
*Pharmacy School of Hunan University of Chinese Medicine, Hanpu Science & Technology Park, Yuelu District, Changsha, Hunan, China; E-mail: email@example.com*
Pileostegia viburnoides Hook. f. et Thoms. Var. glabrescens (C.C.Yang) S.M. Hwang is a traditional Chinese medicinal plant used for treating traumatic injury and fractures. Preliminary separation of *P. viburnoides* var. *glabrescens* was conducted at Hunan University of Traditional Medicine, Changsha, China and evaluations for antifungal and phytotoxic activity were completed at the USDA ARS, Oxford, MS in 2012. The n-butanol extract from *P. viburnoides* var. *glabrescens* was shown to be active at higher concentrations against *Agrostis* (monocot) and less active against *Lettuce* (dicot). Four compounds were separated by chromatography from the n-butanol extract of *P. viburnoides* var. *glabrescens*. Six compounds were identified, umbelliferone (1), skimmianin (2), fraxin (3), n-Bu-β-D-fructopyranoside (4), 7-O-β-D-glucopyranosyl-8-methoxybenzo pyranone (5) and Syringin (6), which demonstrated the phytotoxic activity at different degrees against *Iceberg lettuce* and *Agrostis* seeds. Umbelliferone (1) and skimmian (2) possess high phytotoxicity against the monocot and moderate phytotoxicity against the dicot. 7-O-β-D-glucopyranosyl-8-methoxybenzopyranone (5) produced the highest seed germination inhibition in Agrostis.
**PO-116**
**Track:** Anti-Cancer Drug Discovery & Therapy
**DIRECT IN VIVO INJECTION OF $^{131}$I-GMS AND ITS DISTRIBUTION AND EXCRETION IN RABBIT**
Ma Y., Wan Y., Luo D.H., Duan L.G., Li L., Xia C.Q., **Chen X.L.**
*Department of Hepato-bilio-pancreatology Surgery, West China Hospital of Sichuan University, Chengdu, China; E-mail: firstname.lastname@example.org*
After the $^{131}$I labeled gelatin microspheres ($^{131}$I-GMSs) had been implanted in rabbit liver (41.336±5.106 MBq for each rabbit ), the radioactivity distribution and metabolism *in vivo* were examined using single photon emission computed tomography (SPECT) and by blood and urine radioactivity counting. The nuclide was concentrated in the hepatic area until day 48 after $^{131}$I-GMSs administration and radiography could be seen in thyroid areas in SPECT on days 4, 8, 16 and 24. The liver function was damaged but recovered rapidly. Eight days after $^{131}$I-GMSs administration, the levels of free triiodothyronine and free thyroxin were reduced, which restored to normal levels on day 16. Histological examination showed that the microspheres were degraded to different degrees at 24, 32 and 48 d after $^{131}$I-GMSs administration. Direct *in vivo* injection of $^{131}$I-GMSs is safe in rabbits. It may be a promising method for treatment of malignant tumors.
**PO-117**
**Track:** Anti-Cancer Drug Discovery & Therapy
**EFFECT OF 131I GELATIN MICROSPHERES ON HEPATOCELLULAR CARCINOMA IN NUDE MICE, AND ITS DISTRIBUTION FOLLOWING INTRATUMORAL INJECTION**
Xiao-Li Chen
*Department of Hepato-bilio-pancreatology Surgery, West China Hospital of Sichuan University, Chengdu, China; E-mail: email@example.com*
In this study, we investigated the effect of $^{131}$I gelatin microspheres ($^{131}$I-GMSs) on human hepatocellular carcinoma cells (HepG2) in nude mice (Balb/c) and the biodistribution of 131I-GMSs following intratumoral injection. 131I-GMSs produced a pronounced reduction in HepG2 tumor volume, and the overall survival was 73.3% in the treatment group and only 13.3% in the control group ($P<0.001$). Tissue radioactivity concentration measurements and SPECT demonstrated that the injected $^{131}$I-GMSs mainly accumulated within the tumors. The concentration of FT4 was stable during the observation period. The microspheres could be observed by histological methods on day 32.$^{131}$I-GMSs suppressed the growth of HepG2 in nude mice and were retained in the tumor for a long period after injection. Direct intratumoral injection of $^{131}$I-GMSs offers a promising modality for the treatment of hepatocellular carcinoma.
PO-90
Track: Inflammation and Immunology
DOLIROSIDE A ATTENUATES GOUT ARTHRITIS IN MONOSODIUM URATE CRYSTALS-TREATED RATS
Lvyi Chen, Zhinan Mei, Zhou Lan
School of Pharmacy, South-Central University for Nationalities, Wuhan, China; E-mail: firstname.lastname@example.org
Dolichos falcata Klein (DF) as a Chinese Dai ethnic medicine has been widely used for the treatment of fracture and beriberoid disease for a long time in China. Our previous study has been demonstrated that DF ameliorated the gouty arthritis induced by monosodium urate (MSU) crystals and one of the active components, doliroside A, contributed to the anti-gouty arthritis effect of DF according to the *in vitro* study. However, there is still little known about the potential beneficial effects and possible mechanisms of doliroside A on gouty arthritis. Here, we investigated the underlying anti-inflammatory effects of doliroside A *in vivo*. Doliroside A at the doses of 10, 20 and 40 mg/kg were administered to the rats treated by MSU crystals. The results demonstrated that doliroside A (10, 20 and 40 mg/kg) significantly ameliorated the symptoms of gouty arthritis including decreasing pain threshold value, reducing the joint swelling degree and attenuating the inflammatory cell infiltration of articular tissue. Doliroside A also significantly decreased the levels of multiple pro-inflammatory cytokines in MSU crystals-treated rats. Furthermore, doliroside A obviously inhibited the expressions of caspase-1 and pro-IL-1β proteins in MSU crystals-treated rats. These findings indicate that doliroside A exhibits a prominent effect on ameliorating gouty arthritis induced by MSU crystals, which maybe through inhibiting the inflammatory activation of NALP3/caspase-1/pro-IL-1β signaling pathway.
**Keywords:** Doliroside A, gouty arthritis, interleukin-1β, monosodium urate crystals, inflammation.
PO-59
QUANTITATIVE STRUCTURE RELATIVE VOLATILITY RELATIONSHIP MODEL FOR EXTRACTIVE DISTILLATION OF ETHYLBENZENE/P-XYLENE MIXTURES: APPLICATION TO BINARY AND TERNARY MIXTURES AS EXTRACTIVE AGENTS
Young Hwan Chu, Young-Mook Kang, Sung Bo Hwang, Yukwon Jeon, Gi-Cheon Lee, Kwang-Hwi Cho, Yong-Gun Shul and Kyoung Tai No
Department of New Energy, Resource Engineering, Sangji University, Wonju-si, Republic of Korea; E-mail: email@example.com
Although EB and PX are important raw materials in industrial process, the separation of EB and PX is a difficult process because the differences in boiling points between EB and PX are very small. The authors have been working to identify extractive agents for EB and PX separation through experimental methods. Among identified extractive agents, most of the halogenated compounds regarded as excellent extractive agents have several toxicities and safety hazards in Material Safety Data Sheet (MSDS) and they also badly damage many columns in distillation processes. From environmental toxicology, experiments using these hazard chemicals should be reduced in the future. The development of quantitative structure relative volatility relationships (QSRVR) is one of the good solutions for finding more efficient chemicals as extractive agents without many of the risks. For this reason, we introduce QSRVR models for binary and ternary extractive agents, with each model having two or three descriptors. In the case of binary extractive agents, the QSRVR model showed excellent accuracy of the mixture data. The ternary QSRVR model provides much potential on development of QSRVR model for several mixtures.
PO-11
IRIDOID GLYCOSIDE EXTRACTED FROM FRUCTUS GARDENIAE SUPPRESSES INFLUENZA-VIRUS-INDUCED PRO-INFLAMMATORY CYTOKINES BY INHIBITING THE ACTIVATION OF MAPKs AND NF-κB IN HUMAN A549 CELLS
Yujing SHI, Xiaolan CUI, Hongjiao TIAN, Fangzhou LIU
Institute of Chinese Materia Medica, China Academy of Chinese Medical Sciences, Beijing 100700, China; E-mail: firstname.lastname@example.org
**Background:** Influenza virus infection can cause severe pneumonia and death. During replication Influenza virus activates the Raf/MEK/ERK-cascade and the transcription factor NF-κB. Both result in virus supportive and anti-viral effects by inducing expression of pro-inflammatory cytokines. Iridoid glycoside is the main active component of Fructus Gardeniae with antiviruses and anti-inflammatory characteristics. However, no studies have been undertaken to investigate whether Iridoid Glycoside inhibits the inflammatory activity of activated human lung epithelial cell. The aim of this study was to examine whether Iridoid Glycoside modulates inflammatory reactions using human lung epithelial cell line A549.
**Methods:** A549 cells were infected with influenza virus strain PR/8/34. The inhibitory effect of Iridoid Glycoside on pro-inflammatory cytokine gene expression and production by stimulated A549 cells was measured by quantitative RT-PCR, and cytokine-specific ELISA assays, respectively. Western blotting was used to analyze the effect of Iridoid Glycoside on the activation of ERK in influenza-virus stimulated A549 cells. Effect on the activity of NF-κB was measured with an ELISA based highthroughput screening system. Significance of differences from control values were analyzed by means of standard statistical methods.
**Results:** Iridoid Glycoside significantly decreased influenza-virus stimulated inflammatory gene expression and production of IFN-beta, MCP-1 and interleukin (IL)-6 in A549 cells. The inhibitory effect of Iridoid Glycoside on the pro-inflammatory cytokines was ERK dependent. In addition, Iridoid Glycoside suppressed the NF-κB activation induced by influenza-virus in human lung epithelial cells.
**Conclusion:** This novel pharmacological actions of Iridoid Glycoside provide new suggestion that Iridoid Glycoside extracted from Fructus Gardeniae may be of therapeutic use for the treatment of influenza-virus induced inflammatory diseases by suppressing ERK and NF-κB activation.
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**PO-69**
**Track:** *In-Silico Drug Design and In-Silico Screening*
**A NEW TOOL TO FIGHT ALZHEIMER'S DISEASE - ANACARDIC ACID DERIVATIVES AS POTENTIAL ACETYLCHOLINESTERASE INHIBITORS**
*William Ferreira da Cunha, Mônica de Abreu Silva, Nadia Melo Borges, Luiz Antonio Soares Romeiro, João Batista Lopes Martins*
*Institute of Physics, University of Brasilia, Brasilia, Brazil; E-mail: email@example.com*
Alzheimer’s disease is the leading cause of dementia among people over 65 years of age. Although its etiology is not fully known, the decrease of acetylcholine level has been linked to the pathophysiology of the disease. The cholinergic hypothesis is a line of therapy based on increasing the level of acetylcholine by reversible inhibition of the enzyme acetylcholinesterase (AChE) therefore promoting an improvement in the patient’s cognitive profile. This work aims to propose possible candidates to AChE inhibitors, designed from the lipid phenolic derivatives of cashew nut. More specifically, we apply molecular modelling in the context of quantum mechanics to several anacardic acid derivatives. In total, twenty molecular structures with different functional groups were designed taking into account the possible interactions between these functional groups and enzyme active sites. For each molecule, a conformational analysis was carried out, in such a way to identify the more stable conformers. The geometries were first optimized by semi-empirical method and then optimized again, for greater accuracy, by using the hybrid functional B3LYP and basis set 6-311+G (2d, p). A single point was taken for the equilibrium geometry for each compound and several electronic properties important for the molecular recognition by the enzyme, like HOMO, HOMO-1, LUMO, LUMO+1, GAP and atomic charges, were calculated for the compounds studied. Geometric and lipophilicity properties were also determined for each compound using quantitative structure activity relationship. The principal components analysis (PCA) reveals that some of these compounds are correlated to donepezil, a drug with known biological activity, for a specific group of molecular descriptors. This correlation is shown more expressive when a solvating model, in this case the polarizable continuum model (PCM), is included in the ab initio calculations.
**Keywords:** Ache inhibitors, molecular modeling, Alzheimer’s Disease.
**PO-18**
**Track:** Innovative Drug Discovery and Nanotechnology
**STUDYING THE EFFECT OF 5-FLUOROURACIL LOADED ON POLYMER NANOPARTICLES AND EXPOSED TO ULTRASONIC WAVES IN IMPROVING THE TUMORICIDAL EFFECT IN HEPATOCELLULAR CARCINOMA IN MICE**
*Nelly M. Dabbour, Heba S. Ramadan, Moustafa M. Mohamed, Amany I. Youssef and Safia M. Hassan*
*Medical Research Institute, P.O. Box 21561, Alexandria, Egypt; E-mail: firstname.lastname@example.org*
Bovine serum albumin (BSA) has great potential as a nanocarrier. The objective was to investigate the effect of 5-fluorouracil (5-FU) BSA polymer nanoparticles (NPs) and ultrasonic waves (US) on hepatocellular carcinoma (HCC) induced in mice by 4-dimethylaminoazobenzene (DAB). The 5-FU loaded BSA NPs was prepared by intermittent desolvation method and then characterized. The study was carried out on 100 male mice divided into two groups: 20 mice as control and 80 mice fed on 0.006% DAB and water was replaced with 0.05% aqueous solution of Phenobarbital. After HCC development, animals were divided into three subgroups: untreated group, group injected with free 5-FU and group injected with 5-FU loaded BSA NPs. From each subgroup, half of the mice were exposed to US. Liver tissue and serum samples were collected to investigate malonyldialdehyde (MDA) level, alanine amino transferase (ALT) activity, alkaline phosphatase (ALP) activity and alpha-fetoprotein (AFP) expression. Characterization of 5-FU loaded BSA NPs revealed average particle size of 70 nm, drug loading efficacy was 19.23% and encapsulation efficacy was 62.5%. The group treated with 5-FU loaded BSA NPs and exposed to US had the lowest ALT activity, MDA levels, and a significant decrease in ALP activity and AFP expression.
**Keywords:** 5-fluorouracil, bovine serum albumin, 4-dimethylaminoazobenzene, hepatocellular carcinoma, phenobarbital and ultrasonic waves.
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**PO-67**
**Track:** Innovative Drug Discovery and Nanotechnology
**NANOPRECIPITATION AS A SIMPLE TECHNIQUE FOR THE FORMULATION OF AN ORAL ITRACONAZOLE NANOSUSPENSION**
*Nehal Mohamed Magdy Daebis, Magda A. El-Massik and Ossama Y. Abdallah*
*Pharmaceutics Department, Faculty of Pharmacy & Drug Manufacturing-Pharos University, Alexandria, Egypt; E-mail: email@example.com*
The aim of this study is to formulate an itraconazole (ITZ) nanosuspension with improved dissolution behavior, particularly for patients with significant dysphagia, where a lack of ITZ oral liquid dosage forms occurs. Twelve ITZ nanosuspension formulations were prepared by a precipitation technique (acid-base neutralization), using different types and concentrations of stabilizers. These include poloxamer 188 and 407, sodium lauryl sulphate, polyvinyl pyrrolidone, hydroxypropyl methylcellulose and methylcellulose. The optimized nanosuspension was then lyophilized using mannitol or sucrose as a cryoprotectant. Nanosuspensions were then characterized using photon correlation spectroscopy, transmission and scanning electron microscopy, differential scanning calorimetry, X-ray diffraction, in vitro dissolution and short term stability studies. Results revealed that nanosuspension stabilized by methylcellulose (40% of ITZ weight) showed optimum properties in terms of mean particle diameter (394 nm), polydispersity index (0.33) and dissolution efficiency (53.4% DE30). Compared to other nanosuspensions, this optimized formulation proved to be stable for 24 hours allowing possibility for lyophilization. Lyophilized powder using mannitol exhibited smaller particle size (308.9 nm) compared to sucrose (591.3nm). TEM images revealed that dried powders could be easily redispersed with methylcellulose accumulated on nanoparticle surface. *In vitro* dissolution showed that freeze dried nanosuspension preserved the high dissolution rate (68.2% DE30) compared to Sporanox® capsules (39.4% DE30). Lyophilized formulations showed an amorphous state of ITZ as indicated by differential scanning calorimetry and X-ray diffraction technique. In conclusion, ITZ nanosuspension prepared by acid-base neutralization combined with lyophilization may be promising in enhancing the *in vitro* drug release which may be reflected on improved drug bioavailability.
**Keywords:** Itraconazole, Methylcellulose, Nanosuspension, Precipitation.
PO-60
Track: Women’s Health Drug Discovery and Therapy
SCREENING THE LEAF AND ROOT OF SOLANUM DASYPHYLLUM SCHUM & THONINGI FOR FERTILITY EFFECT IN FEMALE WISTER ALBINO RATS
Olagbende – Dada S.O, and Okworl V. A.
Department of Pharmacognosy, Faculty of Pharmacy, University of Lagos, Lagos, Nigeria; E-mail: firstname.lastname@example.org
Infertility is a growing public health problem in Nigeria and very often the blame is laid on the woman. The rising interest in phyto-medicine and natural products has stimulated the need for research into plants with female fertility boosting effects. The family Solanaceae is known to contain steroidal alkaloids and saponins which are being used as precursors in the synthesis of sex hormones hence the screening of *Solanum dasyphyllum* Schum & Thonungi for fertility effect in female.
The leaves and root of *S. dasyphyllum* were gradiently extracted with chloroform and methanol using the soxhle apparatus. The extracts were administered at two doses of 250 and 500mg/kg to groups of matured virgin female albino rats for 10 days after their estrous cycle had been monitored and established. After the administration of the extracts, proven males rats were allowed to mate with the females at the ovulation stage of the estrous cycle.
The number of litter resulting from each animal’s pregnancy was recorded at the end of gestation and the average weight of litter at day 1, 4, 7, 14 and 21. The results obtained were compared to that obtained from a control group which was administered with the vehicle of administration alone and a positive control group that was administered with clomiphene citrate at a dose of 1.4mg/kg.
From the results obtained the root methanol extract at 500mg/kg dose proved the most potent followed by the 500mg/kg of the chloroform extract; both having p-values of 0.725 and 0.432 respectively at 95% (0.05) confidence when compared with the clomiphene result. This shows that there is no significant difference in the value obtained from these extract’s result and clomiphenes. Clomiphene however has a p-value of 0.204 when compared with the control.
This work has shown that *S. dasyphyllum* root is a potent booster of female fertility.
PO-9
STEREOSELECTIVE SYNTHESIS OF FUNCTIONALIZED CYCLOHEXANONE DERIVATIVES CONTAINING QUATERNARY CARBON CENTER AND PIPERIDINE DERIVATIVES VIA DOMINO MICHAEL/ALDOL AND IMINO-ALDOL-AZA-MICHAEL REACTIONS
Subhomoy Das and Manas K. Ghorai
Department of Chemistry, Indian Institute of Technology, Kanpur, UP, India; E-mail: email@example.com; firstname.lastname@example.org
![Chemical Structures]
A simple and efficient protocol for the synthesis of diastereo- and enantioselective 2,6-disubstituted piperidine (de > 99%, ee > 99%) and 2,6-disubstituted-3-aminopropylpiperidine ring systems have been developed via a one pot 3 steps domino imino-aldol-aza-Michael and 5 steps domino imino-aldol-aza-Michael-imino-aldol reaction sequences. Enantiopure piperidines are strategically prepared from chiral sulfonyl imines. 2,6-disubstituted piperidines have been found to display an extensive range of biological activities such as antifungal, antibacterial, antihypertensive, anti-HIV properties etc. Now, cyclohexanes containing all carbon quaternary center are very frequently found in many natural products having substantial biological activities. Keeping this in mind, in place of imines, when the substrate α-aryl methylidine-β-diketone or α-aryl methylidine-β-diketoester, itself was employed as the active electrophile, highly functionalized cyclohexanone derivatives containing quaternary carbon center (in some cases all carbon quaternary
center) was obtained with excellent diastereoselectivity (de >99%) via a domino Michael-Michael/aldol-aldol reaction sequence.
REFERENCES
[1] Ghorai, M. K., Halder, S. and Das, R. K. *J. Org. Chem.* **2010**, *75*, 7061. (Featured Article)
[2] Ghorai, M. K., Das, S and Halder, S. (*manuscript to be submitted*)
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**PO-97**
*Track: Hot topics in Natural Products*
**ISOLATION, IDENTIFICATION, MOLECULAR CHARACTERIZATION AND ANTI FUNGAL ACTIVITIES OF BIOACTIVE COMPOUND HEXADECANOIC ACID, METHYL ESTER FROM ANNONA MURICATA LINN. (ANNONACEAE) PLANT**
M. N. Abubacker and T. Deepalakshmi
*PG & Research Department of Botany, National CollegeTiruchirappalli, Tamil Nadu, India; E-mail: email@example.com*
Medicinal plants are considered to be the main source of biologically active compounds that can be used for the treatment of various ailments. *Annona muricata* Linn. (*Annonaceae*) plant commonly known as sour soup, a potential medicinal plant with antioxidant, anti-spasmodic properties. The present work deals with the Isolation, Identification, Molecular Characterization and Antifungal activity of Bioactive compound Hexadecanoic acid, methyl ester from *Annona muricata* leaf material. The peaks obtained from GC-MS studies confirmed the presence of bioactive compound Hexadecanoic acid, methyl ester. The bioactive compound was tested for antifungal activity and found to be positive for *Alternaria solani* (NCBT 118), *A. albicans* (NCBT 120), *Aspergillus niger* (NCBT 128), *A. erithrocephalus* (NCBT 124) *A. fumicatus* (NCBT 126) *A. terreus* (NCBT 132), *Penicillium crysogenum* (NCBT 162). The isolates *A. niger* and *A. terreus* were analysed for 16S rDNA sequence *A. niger* with 575 bp, (control 595bp) and *A. terreus* with 580bp, (control 585bp) sequence obtained was analyzed between the control organism and Hexadecanoic acid, methyl ester tested organism and found that there is a difference in the sequence pattern which confirm that a direct interference of the bioactive compound Hexadecanoic acid, methyl ester in protein synthesis metabolism of the fungi and thus act as antifungal agent.
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**PO-26**
*Track: Diabetes and Obesity Drug Discovery & Therapy*
**OBESITY LEVEL RELATED TO RISK FACTORS FOR CVD IN CHILDREN**
Magnus Dencker, Ola Thorsson, Magnus K. Karlsson, Christian Lindén, Per Wollmer, Lars B. Andersen
*Department of Clinical Sciences, Unit of Clinical Physiology and Nuclear Medicine, Skåne University Hospital, Lund University, Malmö, Sweden; E-mail: firstname.lastname@example.org*
**Aim:** To identify relationships between total bodies fat and abdominal fat versus known risk factors for CVD in young subjects.
**Methods:** Cross-sectional study of 170 (92 boys and 78 girls) children aged 8-11 years. Total fat mass (TBF) and abdominal fat (AFM) were measured by DXA. Total body fat was expressed as TBFs percentage of total body mass (BF %). Maximal oxygen uptake (VO$_{2\text{PEAK}}$) was measured with a maximal exercise test. Blood was sampled and blood pressure (BP) and resting heart rate (HR) were measured. Left atrial diameter (LA) was measured with echocardiography. Left ventricular mass (LVM) and relative wall thickness (RWT) were calculated. Z-scores were calculated. Sum of z-scores for triglycerides and lipoprotein concentrations, systolic and diastolic BP, HR, LA, LVM, and RWT and -VO$_{2\text{PEAK}}$ were calculated and used as indices of clustered risk.
**Results:** Mean BF% was 18.8±8.9% (range 6.2-44.7) and mean AFM was 2.7 kg (range 0.4-11.4). Pearson correlations between ln BF% and ln AFM versus indices of clustered risk were in boys (r=0.58 and 0.58, P<0.05), and in girls (r=0.56 and 0.61, P<0.05).
Conclusions: Total body fat and abdominal fat were associated with a clustering of CVD risk factors, which highlight the need for early intervention.
Keywords: Children, body fat, CVD risk factors.
PO-27
Track: Diabetes and Obesity Drug Discovery & Therapy
FITNESS LEVEL RELATED TO RISK FACTORS FOR CVD IN CHILDREN
Magnus Dencker, Ola Thorsson, Magnus K. Karlsson, Christian Lindén, Per Wollmer, Lars B. Andersen
Department of Clinical Sciences, Unit of Clinical Physiology and Nuclear Medicine, Skåne University Hospital, Lund University, Malmö, Sweden; E-mail: email@example.com
Aim: To study the relationship between aerobic fitness (VO$_{2\text{PEAK}}$) versus known risk factors for CVD in young subjects.
Methods: Cross-sectional study of 170 (92 boys and 78 girls) children aged 8-11 years. Total fat mass (TBF) and abdominal fat (AFM) were measured by DXA. Total body fat was expressed as TBFs percentage of total body mass (BF %). VO$_{2\text{PEAK}}$ was assessed by indirect calorimetry during a maximal exercise. Blood was sampled and blood pressure (BP) and resting heart rate (HR) were measured. Echocardiography was performed and left atrial diameter (LA) was measured and left ventricular mass (LVM) was calculated. Z-scores were calculated. Sum of z-scores for triglycerides and lipoprotein concentrations, systolic and diastolic BP, HR, LA, LVM, BF%, AFM, and AFM/TBF were calculated and used as indices of clustered risk.
Results: Pearson correlation revealed significant associations between VO$_{2\text{PEAK}}$ and indices of clustered risk in both boys (r=-0.49, P<0.05), and in girls (r=-0.48, P<0.05). Boys and girls were divided according to tertiles of VO$_{2\text{PEAK}}$.
Conclusions: Findings from this population-based cohort of young children shows that low VO$_{2\text{PEAK}}$ was associated with a clustering of CVD risk factors in both boys and girls, which highlight the need for early intervention.
Keywords: Children, VO$_{2\text{PEAK}}$, CVD risk factors.
PO-87
Track: CNS Drug Discovery & Therapy
OPTIMIZATION OF THE DRUG-LIKE PROFILE OF TREK-1 ACTIVATORS AS NOVEL ANALGESICS
D. Vivier, K. Bennis, J. Busserolles, F. Lesage, A. Eschalier, S. Ducki
Institut de Chimie de Clermont-Ferrand, Ecole Nationale Supérieure de Chimie de Clermont-Ferrand, Aubiere, France; E-mail: firstname.lastname@example.org
Most analgesics used today date from the 19th century. Morphine remains the analgesic of reference for the treatment of pain (nociception), even though it is responsible for serious adverse effects (constipation, respiratory depression, addiction). Research studies have recently showed that animals deprived of potassium channels (TREK-1 -/-) were oversensitive to pain. These results suggest that TREK-1 channels control the excitability of the nociceptors and that they constitute targets of interest for the design of novel analgesics [1].
Previous studies within the CESMA team led to the identification of TREK-1 activators exhibiting analgesic activity in vivo [2, 3]. We present here the synthesis and pharmacological evaluation of some novel analogues that confirm their therapeutic interest.
REFERENCES
[1] A. Alloui, K. Zimmermann, J. Maure, F. Dugrat, J. Noel, J. Chemin, N. Guy, N. Blondeau, N. Voilley, C. Rubat-Coudert, M. Borsotto, G. Roux, C. Beaumais, F. Koch, A. Eschalier, M. Lazdunski (2006) TREK-1, a K+ channel involved in polymodal pain sensation. EMBO J. 2006 25(11), 2368-2376.
[2] N. Rodrigues. Recherche et évaluation d’analgésiques originaux: les activateurs des canaux potassiques TREK-1. Thèse de chimie organique. n° 694, Clermont-Ferrand : Université Blaise Pascal. 2011. 322p.
[3] Ducki S., Bennis K.; Eschalier A.; Busserolles J.; Lesage F.; Rodrigues N.; Vivier D., WO 2013, 2013098416.
**Keywords:** Novel Analgesics, TREK-1 Activators, Medicinal Chemistry.
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**PO-24**
**Track:** Diabetes and Obesity Drug Discovery & Therapy
**EVALUATION OF THE METHANOLIC EXTRACT OF MISTLETOE (TAPINANTHUS BANGWENSIS) LEAVES GROWN ON ORANGE TREES FOR THE PHYTOCHEMICAL PROPERTIES AND ITS PHYSIOLOGICAL EFFECTS ON STREPTOZOTOXIN INDUCED DIABETES MELLITUS IN LABORATORY ANIMALS**
*Agboh, M. K., Usanseoje S. Frederick Osaro Ekhaise*
*Microbiology Department, University of Benin, Faculty of Life Sciences, Benin, Nigeria; E-mail: email@example.com*
Mistletoe (*Tapinanthus bangwensis*) a semi-parasitic evergreen plant, that has been used traditionally in Nigeria and other parts of Africa as antihypertensive and antidiabetic agents. The aim of this research was to investigate the phytochemical properties of methanolic extract of *Tapinanthus bangwensis* (mistletoe) and its physiological effects on sugar levels in laboratory animals. The phytochemical analysis revealed the presence of saponins, flavonoids, tannins and steroidal glycosides. Treatment with aqueous *Tapinanthus bangwensis* (mistletoe) extract at the dose of 500mg/kg body weight showed that the concentration of blood glucose levels in the diabetic test (treated rats) were significantly reduced as compared to the diabetic control (untreated rats). In streptozotocin induced diabetic experimental animals (rats), maximum reduction in blood glucose levels was observed after fourteen (14) days of treatment with methanolic crude extract of *Tapinanthus bangwensis* (mistletoe). The result showed the concentrations of blood glucose in the diabetic test (treated) group was significantly reduced to $163.75 \pm 46.327$ ($P < 0.05$) (mg/dl) after fourteen (14) days of administration of aqueous *Tapinanthus bangwensis* (mistletoe) extract at 500 mg/kg body weight as compared to $377.50 \pm 0.50$ (mg/dl) of the diabetic control (untreated) group. The result indicated that the methanolic crude extract of *Tapinanthus bangwensis* leaves possess significant anti-diabetic activity.
**Keywords:** Methanolic extract of mistletoe, experimental animals, streptozotocin, diabetes mellitus.
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**PO-119**
**INFLUENCE OF CYCLODEXTRINS ON THE PHOTOSTABILITY OF SELECTED DRUG MOLECULES IN SOLUTION AND THE SOLID-STATE**
*Hani A. Eldeab, FakhrEldin O. Suliman, Noura Al-Shamsi, Leena Al-Kaabi, Nathir A.F. Al-Rawashdeh*
*Department of Chemistry, United Arab Emirates University, Al Ain, UAE; E-mail: firstname.lastname@example.org*
The interaction between a selected drugs, namely: *antazoline*, *xylometazoline*, *naphazoline*, *sulfamethoxazole* and *trimethoprim*, and cycloexdtrins have been studied in aqueous solutions by using spectroscopic and chromatographic methods. In this study, the effect of inclusion stability on the action of the proposed drug have been evaluated by determining the binding constant, the ratio of complexation with cyclodextrin, and the thermodynamic parameters. The influence of inclusion complexation with cyclodextrins (CyDs) on the photostability of the proposed drugs in aqueous media has been investigated. The photodegradation reaction of these drugs molecules has been explored using UV–Vis spectrophotometry-based kinetic analysis and high performance liquid chromatography (HPLC). Quantitative evaluation of the influence of CyDs has been evaluated based on the observed rate constant, half-life time of the photodegradation reaction and the peak area of the corresponding analyte after photodegradation using HPLC separation.
**PO-44**
**Track:** Chemistry
**NOVEL THYMOQUINONE DERIVATIVES AS TELOMERIC G-QUADRUPLEX STABILIZERS AND ANTICANCER AGENTS**
Alaa A. Salem, Ismail A. El Haty, Ibrahim M. Abdou, Samir Attoub and Abdu Adem
*Department of Chemistry, Faculty of Science, United Arab Emirates University, Al Ain, UAE; E-mail: email@example.com; firstname.lastname@example.org*
Eight novel amino substituted thymoquinone derivatives TQ$_{1-8}$ were synthesized. Structures of the obtained products were confirmed using IR, $^1$H-NMR, $^{13}$C-NMR, MS and elemental analysis. The interactions between the obtained TQs and telomeric G-quadruplex DNA were tested. TQs showed different affinities towards G-quadruplex where TQ8 showed the highest one. Furthermore, they showed good selectivity towards G-quadruplex over c-DNA. New synthesized thymoquinone derivatives were tested against human lung cancer cells A549, human breast cancer cells MDA-MB-231 and colon cancer cells HT29. Derivatives TQ2, TQ5 and TQ8 showed potency against human lung cancer cell A549 while the thymoquinone derivative TQ8 gave the highest inhibition on the growth of A549, MDA-MB-231 and HT29 carcinoma cells.
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**PO-120**
**Track:** Women
**ISOLATION, STRUCTURE ELUCIDATION AND SYNTHESIS OF BIOACTIVE PEPTIDES FROM BEE PRODUCTS**
Hesham R. El-Seedi, Aida Abd El-Wahed, Ulf Göransson
*Division of Pharmacognosy, Department of Medicinal Chemistry, Uppsala University, Biomedical Centre, Uppsala, Sweden; E-mail: email@example.com*
Honey has been used in traditional medicine for thousands of years, and there is an increasing interest in the honey products applications in modern medicine. Bee products can have diverse biological activities as anticancer (Han *et al.*, 2010), antimicrobial, anti-oxidant (Nakajima *et al.*, 2009), anti-inflammatory, antiviral and hepatoprotective. Nowadays, there is an urgent call to find anticancer and antimicrobial agents from natural products with less ecological damage and minimum health and environmental hazards. The nature, geography and weather of Egypt provide possibly a rich source of bee products and with the help of the facilities and infrastructures in Sweden, diverse pharmaceutical leads can be discovered.
Our main aim is to identify and characterize bioactive peptides from the bee products. These peptides have been poorly characterized, partly because they are generally present in trace quantities. In turn, polar fractionation prior to screening of anticancer and antimicrobial activities will be done. Active peptides will then be isolated from the fractions and identified using techniques including High Performance Liquid Chromatography (HPLC), Mass Spectrometry (MS), LC/MS, MS/MS, Amino Acid Analysis (AAA) and 2D-Nuclear Magnetic Resonance Spectroscopy (2D-NMR). Finally, the isolated peptides (El-Seedi *et al.*, 2013), and sets of analogues, will be synthesized and tested for structural-activity relationships.
**Melittin**
Gly-Ile-Gly-Ala-Val-Leu-Lys-Val-Leu-Thr-Gly-Leu-Pro-Ala-Leu-Ile-Ser-Trp-Ile-Lys Arg-Lys-Arg-Gln-Gln-NH21
**Royalisin**
Val-Thr-Cys-Asp-Leu-Leu-Ser-Phe-Lys-Gly-Gln-Val-Asn-Asp-Ser-Ala-Cys-Ala-Ala-Asn-Cys-Leu-Ser-Leu-Gly-Lys-Ala-Gly-Gly-His-Cys-Glu-Lys-Gly-Val-Cys-Ile-Cys-Agr-Lys-Thr-Ser-Phe-Lys-Asp-Leu-Trp-Asp-Lys-Tyr-Phe
**REFERENCES**
[1] Nakajima, Y., *et al.* (2009): Comparison of bee products based on assays of antioxidant capacities. BMC Complementary and Alternative Medicine 9, 4-12.
[2] Han, S.M., *et al.* (2010): Effect of honey bee venom on microbial cells nitric oxide and tumor necrosis factor-a production stimulated by LPS. Journal of Medicinal Plants Research 4, 459-464.
[3] El-Seedi, H.R., *et al.* (2013): Isolation and structure elucidation of new cytotoxic polypeptide from bee venom (In preparation).
**PO-134**
**Track:** Biologics
**CONTAMINATION OF THE CLINICAL MICROBIOLOGY LABORATORY IN BENGHAZI - LIBYA**
Mailud El-Amari, M.A. Ghanim, Salah Alagouri, **M. EL Feituri**
*Faculty of Public Health, Benghazi University, Benghazi, Libya; E-mail: firstname.lastname@example.org*
We surveyed environmental surfaces in our clinical microbiology laboratory one at Reference laboratory, Benghazi and other at Pediatric Hospital Laboratory to determine bacterial contamination during a routine working day. This study aimed to identify the extent of contamination of surfaces. Microbes may transmitte from surfaces to working staff in the Laboratories or the visiting people who visited to the laboratories for the purpose of delivering sample or receiving report. Sample of swabs were taken from some surfaces most frequently used by the workers from the reference laboratory, and some swabs taken from the Laboratory in Pediatric Hospital. The samples were cultured on the blood agar media. The contamination identified in the reference laboratory were 54 (85.70%) out of 63 samples however, in Pediatric Hospital Laboratory were 15 (71.40%) out of 21 samples. Conformity test was done for bacteria using Phoenix 100. The Recommendations includes personal protection and good hygienic condition of the Laboratory Environment.
---
**PO-103**
**Track:** Pharmaceutical Research & Development
**IN VIVO EVALUATION OF OCULAR ANTI-INFLAMMATORY EFFECT OF SPANLASTICS ENTRAPPING TWO PREDNISOLONE SALTS IN COMPARISON TO COMMERCIAL PRODUCTS**
Passent Mohamed Ehab Gaafar, Ragwa M. Farid and Ossama Y. Abdallah
*Pharmaceutics Department, Faculty of Pharmacy & Drug Manufacturing-Pharos University, Alexandria, Egypt; E-mail: email@example.com*
Spanlastics (SVs) are elastic nanovesicular carriers formulated for entrapping Prednisolone salts; Acetate (Pred A) and Sodium phosphate (Pred P) to improve their ocular anti-inflammatory efficacy compared to commercial Pred A suspension and Pred P solution. The formulated SVs were composed of span60: cholesterol (7:3 molar ratio) and 20% v/v ethanol. Irritation test was examined for the SVs followed by histological examination; the results revealed no irritation effect with no observed damaged corneal tissue of rabbit eyes. Anti-inflammatory efficacy of the SVs (50µl 1%drug) compared to commercial products was examined after induction of inflammation by topical instillation of 40 µl clove oil followed by 4 times daily 6 successive days of treatment. Inflammation was scored based on modified Draize's test. SVs showed higher anti-inflammatory efficacy compared to commercial products. Pred A and Pred P SVs were comparable in efficacy where severe inflammation became milder after 2 days, achieving complete cure after 3 days. The commercial Pred A suspension was superior to Pred P solution where severe inflammation became milder after 3 and 4 days, achieving complete cure after 5 and 6 days respectively. The side effect was assessed based on the cumulative increase in IOP after 6 days with the same dosing schedule without preinduction of inflammation. The results revealed an increase in IOP: 0.24, 0.45, 1.93 and 1.6 mmHg for Pred P SVs, Pred A SVs, commercial Pred A and Pred P respectively. In conclusion, spanlastics improved the anti-inflammatory efficacy of both salts by controlling their release and showing lesser side effects.
**Keywords:** Spanlastics, Prednisolone, Anti-inflammatory, Ocular, Draize's test.
**PO-66**
**Track:** Innovative Drug Discovery and Nanotechnology
**SPANLASTICS ENTRAPPING TWO PREDNISOLONE SALTS: DEVELOPMENT, IN VITRO CHARACTERIZATION AND IN VIVO PERFORMANCE**
**Passent Mohamed Ehab Gaafar, Ragwa M. Farid and Ossama Y. Abdallah**
*Pharmaceutics Department, Faculty of Pharmacy & Drug Manufacturing-Pharos University, Alexandria, Egypt; E-mail: firstname.lastname@example.org*
Spanlastics (SVs) are span based elastic nanovesicular carriers formulated for entrapping two Prednisolone salts; Acetate (Pred A) and Sodium phosphate (Pred P) for ocular drug delivery. The optimized SVs formulation composed of span 60:cholesterol (7:3 molar ratio), 20% v/v ethanol and 1% drug prepared by thin film hydration method. *In vitro* characterization included vesicle size, zeta potential, %Entrapment efficiency (%EE) and *in vitro* drug release. The SVs showed mean particle diameter of 270 and 277 nm, zeta potential of -41.6 and -55 mV and %EE of 90% and 34.2% for Pred A and Pred P respectively. The drug release through cellulose membrane was 80% compared to commercial products, showed sustained drug release percent after 6h (T6h 76.1% and 98.6% for Pred A and Pred P SVs respectively) whereas both commercial Pred A suspension and Pred P solution showed 100% release within 2 hours. *In vivo* study was conducted on rabbits by measuring the increase in IOP using SchiÖn tonometer to predict drug concentration in ocular fluid after single dose of 50µl SVs formulation compared to commercial products. The 610Pmax were 26.82, 19.1, 15.38 and 14.75 mmHg while Tmax were 2, 1.75, 3 and 2.25 hours whereas AUC were 63.7, 37.2, 79.75 and 60 for Pred A suspension, Pred P solution, Pred A SVs and Pred P SVs respectively. Pred P and Pred A SVs lasted for 7 and 8 hours respectively compared to 4 and 5 hours for commercial Pred P and Pred A respectively. In conclusion, SVs controlled drug release and improved drug efficacy.
**Keywords:** Spanlastics – Prednisolone – IOP.
---
**PO-70**
**Track:** In-silico Drug Design and In-silico Screening
**NEW POTENTIAL ACHE INHIBITOR CANDIDATES**
**Ricardo Gargano, Alessandra S. Kiametis, Luiz A. S. Romeiro, Nadia M. Borges, Mônica A. Silva, João B. L. Martins**
*Institute of Physics, University of Brasilia, Brasilia, Brazil; E-mail: email@example.com*
We have theoretically studied new potential candidates of acetylcholinesterase (AChE) inhibitors designed from cardanol, a non-isoprenoid phenolic lipid of cashew Anacardium occidentale nut-shell liquid. The electronic structure calculations of fifteen molecule derivatives from cardanol were performed using B3LYP level with 6-31G, 6-31G(d), and 6-311 $\beta$ G(2d,p) basis functions. For this study we used the following groups: methyl, acetyl, N, N-dimethylcarbamoyl, N, N-dimethyamine, N, N-diethylamine, piperidine, pyrrolidine, and N, N-methylbenzylamine. Among the proposed compounds we identified that the structures with substitution by N,N-dimethycarbamoyl (12), N,N-dimethylamine (11), and pyrrolidine (13) groups were better correlated to rivastigmine, and represent possible AChE inhibitors against Alzheimer disease. This fact was confirmed by synthesis and pharmacological testing (Figure). Efforts to further clarify the mechanism of enzyme inhibition of these compounds are currently under way.
Pharmacological study to test the AChE activity (*Electricris Electrophorus*) in presence of cardanol derivatives.
**PO-65**
**Track:** Enabling Technologies
**NOVEL MULTIMODAL EVALUATION TECHNOLOGY FOR SYMPTOM CHARACTERIZATION IN GI FUNCTIONAL DISEASES AND PHARMACOLOGICAL TESTING OF DRUGS**
**Hans Gregersen**
*GIOME Center, Department of Bioengineering, Chongqing University, Chongqing, China; E-mail: firstname.lastname@example.org*
Abnormal visceral sensory function has been demonstrated in patients with functional gastrointestinal diseases and diabetes mellitus with neuronal changes located in the enteric, peripheral and/or central nervous system. Symptom development is due to complex neuro-muscular mechanisms. To study such mechanisms advanced testing is needed. The multimodal pain test is a novel method where mechanical, electrical, thermal and chemical stimuli can be applied in the lumen of the gastrointestinal tract (figure 1). The major advantage is involvement of distinctive receptors, various sensory nerves and different pain pathways mimicking clinical pain that favors investigation of central pain mechanisms involved in allodynia and hyperalgesia. Such detailed characterization is needed for understanding the pathophysiological mechanisms as well as drug effects.
The multimodal pain test has been used in several studies of functional diseases where it has been used to demonstrate differences between diseases such as non-cardiac chest pain, gastro-esophageal reflux disease, non-erosive gastro-esophageal reflux disease, functional dyspepsia and irritable bowel syndrome. Furthermore, it has been used to study differential effects of drugs such as morphine and derivates of morphine.
**PO-93**
**Track:** Hot Topics in Medicinal Chemistry
**THE SYNTHESIS AND EVALUATION OF THE ANTICANCER POTENTIAL OF NEW HYDRAZINO-THIAZOLE DERIVATIVES**
**Adriana Grozav, Valentina Pileczki, Ioana Neagoe**
*Faculty of Pharmacy, "Iuliu Hatieganu" University of Medicine and Pharmacy, Cluj-Napoca, Romania; E-mail: email@example.com*
Cancer is the second cause of death in the population and therefore the development of new medicine with improved anti-cancer activity and reduced side effects continues to be of great importance. Given recent data provided by the specialty literature showing the antiproliferative potential of thiazole derivatives [1-3], as well as our experience in this field, our aim is the synthesis of a new series of hydrazino-thiazole derivatives and their *in vitro* testing for the cytotoxic potential. 16 compounds have been synthesised using the Hantzsch condensation with good yields, and their structures were confirmed using modern spectral methods: MRN (1H and 13C), MS.
The cytotoxic activity has been tested on tumor cell lines, a triple negative breast cancer cell line (MDA-MB-231) and the cervical cancer cell line HeLa. The IC 50 values were compared to the standard substance (cisplatin). The results show a variation of the cytotoxic effect directly proportional to the concentration, and some compounds have a cytotoxic profile similar to that of the cisplatin.
Acknowledgements: "This work was supported by the Swiss Enlargement Contribution in the framework of the Romanian-Swiss Research Programme".
REFERENCES
[1] A. Ignat, T. Lovasz, M. Vasilescu, E. Fischer-Fodor, C. Tatomir, C. Cristea, L. Silaghi-Dumitrescu, V. Zaharia, Arch. Pharm. Chem. Life Sci. 2012, 345, 574-583.
[2] M. E. Caputto, A. Ciccarelli, F. Frank, A. G. Mogliano, G. Y. Moltrasio, D. Vega, E. Lombardo, L. M. Finkelstein, Eur. J. Med. Chem. 2012, 55, 155-163.
[3] V. Zaharia, A. Ignat, N. Palibroda, B. Ngameni, V. Kuete, C. N. Fokunang, M. L. Mougang, B. T. Ngadjui, Eur. J. Med. Chem. 2010; 45, 5080-5085.
PO-106
Track: Pharmaceutical Research & Development
SELF MEDICATION WITH OTC PRODUCTS: CAN BE LIFE THREATENING-A SURVEY
Malvika Gursahani, Swati Dhande, Dhanashree Lokegaonkar, Vilasrao Kadam
Department of Pharmacology, Bharati Vidyapeeth’s College of Pharmacy, C.B.D. Belapur, Navi Mumbai, Maharashtra, India; E-mail: firstname.lastname@example.org
Over-the-counter (OTC) drugs are medicines that are sold directly to the consumer without a prescription; as compared to prescription drugs, which are sold to consumers possessing a valid prescription. India currently ranks 11th in the global OTC market and is estimated that it will reach the 9th position within five years. Currently, the Indian OTC market is estimated to represent approximately USD 1,813 million. A survey was conducted to study the self medicating patterns and interactions between Allopathic OTC products/ Ayurvedic/ Homeopathic/ Unani medicines and prescription drugs. The subjects for this survey were doctors from Mumbai, Maharashtra in India. It was observed that most of the doctors believed that 10-40% of the patients were consuming the above mentioned medicines along with prescription drugs for quick relief. Patients were also found to self medicate for clinically fatal disorders like neuropsychological disorders. The most common clinical condition for which patients self medicate was found to be fever, cold cough. Patients strive for symptomatic relief without realizing the fatality of the underlying cause. Thus there is an urgent need to create awareness among the people about the possible dangerous effects of self medication and interaction of those drugs with prescription drugs.
PO-56
THE USE OF COMPARATIVE INTRAMOLECULAR CONTACT ANALYSIS TO BUILD VALID PHARMACOPHORE MODEL(S) AGAINST SOLUBLE EPONIDE HYDROLASE TOWARDS DEVELOPMENT OF POTENTIAL ANTI-INFLAMMATORY AGENTS
Maha Habash, Hanan S. Alameddin, Ahmed H. Abdelazeem, Mutasem O.Taha
Faculty of Pharmacy, Applied Science University, Amman, Jordan; E-mail: email@example.com
The frequent recent use of anti-inflammatory medications combined with their less-than-optimum performance prompted continuous efforts to develop new anti-inflammatory agents that act via novel routes. Soluble epoxide hydrolase (sEH) has been considered as one of the most attractive new targets for drug discovery of anti-inflammatory drugs.
In the current project, we implemented a wide range of docking configurations to dock 248 inhibitors into the binding pocket of sEH (PDB code: 3I28). One docking engine and 7 scoring functions were utilized in the study. Furthermore, the ligands were docked in their ionized and unionized forms into the hydrous and anhydrous versions of the binding pocket. We employed a novel methodology to validate and identify the optimal docking configurations, namely docking-based Comparative Intermolecular Contacts Analysis (dbCICA). Two docking configurations were found to achieve self-consistent dbCICA models.
The resulting dbCICA models were used to derive valid structure-based pharmacophore models that were used to screen the National Cancer Institute (NCI) list of compounds. Experimental validation by absorbance-based assay proved selective she inhibitors, with the most active having % inhibition of 92%.
**PO-46**
**Track:** Chemistry
**POLY (HYDROXYETHYL ACRYLATE -CO- ACRYLIC ACID) SOFT LENSES HYDROGELS FOR HYDROCORTIZONE AND ACETAZOLAMODE DRUG LOADING AND RELEASE SYSTEMS**
Amel Oucif, **Nahila Haddadine**, Naima Bouslah, Ahmed Benaboura
*Department of Chemistry, USTHB, Algiers, Algeria; E-mail: firstname.lastname@example.org*
Poly (hydroxyethyl acrylate-co-acrylic acid) hydrogels containing different concentrations of acrylic acid were successfully synthesized and characterized. Hydroxyethyl acrylate (HEA) and acrylic acid (AA) was copolymerized at different ratios, (1/0, 3/2, 1/1, 2/3 and 0/1), using potassium persulphate as initiation system in presence of a cross linking agent at 70 °C to yield transparent hydrogels. The chemical structure and thermal properties of the hydrogels was determined by ATR-FTIR spectroscopy and DSC respectively. Loading studies were carried out with hydrocortisone and acetazolamide as drug molecules. Swelling capacity and kinetics of swelling of the obtained hydrogels were studied and their corresponding swelling behavior was followed in a simulated lacrimal solution at 37 °C. Results showed that swelling performance and loading capacities of these new materials make them suitable for specific biomedical applications.
**Keywords:** pHEA-co-AA hydrogel, soft lenses, hydrocortisone, acetazolamide, swelling behavior, loading/release properties.
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**PO-14**
**METHADONE POISONING IN CHILDREN ≤6 YEARS WHY?!**
**Hamedi A., Ataei A.**
*University of Medical Science, Imam Reza Hospital, Mashhad, Iran; E-mail: email@example.com*
**Introduction:** Methadone is derived from heroin, this product is in drug stores in syrup form1mg/ml. Poisoning occurred because child likes to open the door of bottle and eat accidental. Methadone is a long acting drug with half life about 24 hours.
**Method:** We studied all of children referred to pediatric emergency room Imam Reza Hospital for cause and agent of poisoning during 2011.01.01 to 2012.01.01.
**Results:** In our emergency center the most common poisoning is opium compounds especially methadone. We think it reason that methadone syrup is available in the out of hospital and pharmacy. Parents use it to give up addiction.
Of 409 children with symptoms of poisoning 256 cases had different opium poisoning (27%) and 69 cases (16.8%) had methadone poisoning.
Distribution of methadone poisoning patients on age:
| Age(Months) | No | Percent% |
|-------------|----|----------|
| 0-2 | 11 | 15.9 |
| 2-24 | 36 | 52.1 |
| 24-72 | 22 | 31.8 |
**Conclusion:** This research shows that component of methadone as syrup form should be collected and other form of methadone needs to make (Capsule, Tablets).
**PO-37**
**Track:** Anti-infectives
**EFFECT OF POLYPHENOLS EXTRACTED HONEY ON METHICILLIN-RESISTANT STAPHYLOCOCCUS AUREUS**
**Belkhodja Hamza**, Belmimoun Asmaa, Meddah Boumediene and Djelti Ghaoutia
*Faculty of Natural Sciences and Life, Department of Biology, University of Mascara, Oggaz, Algeria; E-mail: firstname.lastname@example.org*
Infections resistant *Staphylococcus aureus* Methicillin have different problems of nosocomial infectious disease in addition to multidrug resistance. Our work is a contribution to the evaluation of the antimicrobial effect of four (04) polyphenolic extracts of honey collected from different sites of the Algerian territory on the one hand and the study of the physicochemical quality, microbiological and pollen on the other hand. The results clearly show the sensitivity of MRSA *vis-à-vis* our polyphenolic extracts. This inhibitory effect was found for the four samples tested with varying degrees of success with the polyphenolic extract Ijel is the inhibitor. This activity is linked not only to the type of polyphenols extracted but also the type of honey as honeydew honeys are more effective than nectar, and the botanical origin.
**Keywords:** Antibacterial effect, honey, MRSA, nosocomial infections, polyphenols.
---
**PO-111**
**Track:** Hot Topics in Natural Products
**POMEGRANATE EXTRACT BLOCKS IL-1B INDUCED ACTIVATION OF NF-KB IN HUMAN CHONDROCYTES BY DOWN REGULATING THE EXPRESSION OF IKKB AND THE ACTIVATION OF NIK**
**Tariq M. Haqqi**
*Department of Anatomy & Neurobiology, Northeast Ohio Medical University, Rootstown, USA; E-mail: email@example.com*
**Objective:** Interleukin-1b (IL-1b) is present in osteoarthritic joints at high levels and causes an increase in many catabolic enzymes and inflammatory mediators through activation of NF-kB pathway. In the present study we investigated the mechanism of NF-kB inhibition by a polyphenol rich Pomegranate extract (PE) by determining its effect on the activation of the kinases upstream of IkB in primary human chondrocytes.
**Research Methods & Procedures:** OA chondrocytes were pretreated with PE followed by stimulation with IL-1b for different time points. Activation of NF-kB p65 was determined by specific ELISA-based DNA binding assay. Total protein levels and phosphorylated forms of different kinases were determined by Western immunoblotting. mRNA levels were determined by real time PCR. Total intracellular ROS was determined by DCF assay.
**Results:** PE inhibited IL-1b induced DNA binding activity of NF-kB p65, degradation of IkB and phosphorylation of NIK. PE also inhibited the phosphorylation of IKKb as well as down-regulated the expression of IKKb mRNA and protein. Moreover, PE strongly inhibited IL-1b-induced increase in intracellular ROS concentration in human chondrocytes.
**Conclusions:** Taken together the data presented here suggest a novel mechanism of NF-kB inhibition by PE acting at multiple levels. These results may help to develop pharmacological inhibitors of NF-kB derived from PE for the effective management of osteoarthritis.
**PO-107**
**MAGNETIC NANOPARTICLES FOR CONTROLLED DRUG DELIVERY IN HYPERTHERMIA THERAPY**
*Muhammad Usman Hashmi*
*Superior University Lahore, Lahore, Pakistan; E-mail: firstname.lastname@example.org*
This study is about multifunctional magnetic nanoparticles surface-modified with bilayer oleic acid, and coated with a thermo-responsive copolymer poly (N-isopropylacrylamide-co-acrylamide) by emulsion polymerization, for controlled drug delivery and magnetic Hyperthermia applications. Nanoparticles were loaded with anticancer drug doxorubicin into the copolymer chains at 25°C. Composite nanoparticles (hydrated) of average diameter 45 nm were of core shell structure having magnetic core of about 18 nm and shell was composed of organic compounds and water. Magnetic core was superparamagnetic lacking coercive force and remanance due to the pseudo-single domain nanostructure. Lower critical solution temperature (LCST) of the thermo-responsive copolymer was observed to be around 39°C. below this temperature, copolymer was hydrophilic, hydrated and swelled. But above LCST, copolymer became hydrophobic, dehydrated and shrank in volume. UV visible spectrophotometer was used to investigate the drug loading and releasing profile at different temperatures as well as under magnetic heating. There was almost absence of drug release at around 37°C (normal body temperature). Drug was released at temperatures above LCST, which is significant for controlled drug delivery. Magnetic heat-generation was studied by exposing the magnetic fluid to alternating magnetic field of 7.2 kA m\(^{-1}\) having frequency 70 kHz. A simple magnetic capturing system (simulating a blood vessel) was used to analyze the capturing of magnetic nanoparticles under various applied fields for drug targeting purpose.
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**PO-41**
**Track: Biologies**
**ASSOCIATION BETWEEN GHRELIN GENE (LEU72MET) POLYMORPHISM AND GHRELIN SERUM LEVEL WITH CORONARY ARTERY DISEASES**
*Alireza Rafiei, Rezvan Khajavi, Reza Alizadeh-Navaei, Vahid Mokhberi, Kambiz Moradzadeh, Akbar Hedayatizadeh-Omran*
*Molecular and Cell Biology Research Center, Mazandaran University of Medical Sciences, Sari, Iran; E-mail: email@example.com*
**Objective:** Research shows that Ghrelin gene polymorphism has some association with coronary artery diseases (CAD). Due to genetic differences among nations and the high prevalence of CAD, we conducted this study to examine the possible association between the polymorphism of Ghrelin gene Leu72Met and CAD.
**Design and methods:** This case-control study was undertaken with patients who were referred to referral heart center, in 2011 with chest pain or a positive exercise test. Patients with risk factors for heart disease or who were surgery candidates that underwent angiography and echocardiography were also included. DNA extractions were performed using a modified salting out method and the Ghrelin region was amplified using PCR. The presence of the Leu/72Met polymorphism and the serum levels of Ghrelin were determined using the restriction fragment length polymorphism (RFLP) method and an Enzyme-Linked Immunosorbent Assay (ELISA), respectively.
**Results:** The results indicated that in CAD patients, the incidence of heart failure was significantly different between groups with genotypes CC or AA+CA (P=0.041). Mean serum level of Ghrelin in the CAD group was significantly higher than in the control group (p<0.0001). Additionally, there was a significant relationship between the distribution of Ghrelin genotypes and serum levels of Ghrelin in both the CAD and control groups (p<0.0001).
**Conclusion:** This study indicates that there was a significant association between heart failure in CAD patients and presence of the polymorphism, as well as an increase in serum levels of Ghrelin associated with genotype distribution such that Ghrelin levels have an inverse relationship with the frequency of the CC genotype.
**Keywords:** Ghrelin, polymorphism, coronary artery diseases, heart failure, gene susceptibility.
PO-99
Track: Inflammation and Immunology
NATURAL PRODUCTS ISOLATED FROM *FATSIA POLYCARPA HAYATA* TO TREAT *HELICOBACTER PYLORI* INFECTION IN MICE
Yuan-Man Hsu*, Chiu-Hsiang Su, Chang-Hung Chou
Department of Biological Science and Technology, College of Life Sciences, China Medical University, Taichung, Taiwan; E-mail: firstname.lastname@example.org
*Helicobacter pylori* infection is associated with chronic gastritis, peptic ulcers, and gastric cancer. About 50% of the population in the world is infected by *H. pylori*. Furthermore, 70% to 95% of *H. pylori*-infected patients are suffering from peptic ulcer, *Fatsia polycarpa* Hayata has been used as an herbal medicine to treat ankylosing spondyloarthritis, osteoarthritis, rheumatism, rheumatoid arthritis with accompanying reactive gout, osteochondrosis, synovitis, and tendinitis in Chinese medicine for many years. We analyzed the natural products isolated from *Fatsia polycarpa* Hayata by evaluating the anti-*H. pylori* activity *in vitro* and *in vivo*. Compound DM-24-6-3-1 exhibited the strongest antibacterial activity against *H. pylori* with minimal bacteriostatic concentration of 4 μg/ml but weak cytotoxicity against AGS cells (human gastric cancer epithelial cell lines) at IC$_{50}$=158 μg/ml. It could suppress 52 % of *H. pylori* adhesion and invasion to AGS cells after 6 hr-treatment at concentration of 16 μg/ml and also decrease *H. pylori*-induced IL-8 expression. Infected mice were treated with 4 or 8 μg of DM-24-6-3-1 for three days. Both treatments could suppress 80 % of *H. pylori* colonized and VacA expression and IFN-β(vacuolating cytotoxin A) in stomach and decrease infection induced IL-1γ expression. This study offers an alternative way to diminish risk of *H. pylori* infection and development of multidrug-resistant strains by using natural products for infection treatment.
Keywords: Fatsia polycarpa Hayata, *Helicobacter pylori*.
PO-88
Track: Regenerative Medicine
EFFECTS OF PYRITUM IN CANINE FRACTURE MODEL
Jun Koh, Junho Hwang, Dongbin Lee, Kwangseon Oh, Jonghun Kim, Nam Soo Kim
Chonbuk National University, Animal Medical Center, Jeonjusi, South Korea; E-mail: email@example.com
Objectives: This study was performed to investigate the bone healing effects of natural pyrite in fracture model of dogs.
Methods: A total of 140 female Sprague-Dawley rats, 4-month-old, weighed 200-230 g were randomly assigned to 4 groups (35 animals/group). The animals of group I were sham operated and group II, III and IV were ovariectomized. After eight weeks, the animals of group I and II received solvent vehicle daily, whereas those of group III and IV were administered SSP (1 mg/kg) and SSO (1 ml/kg) respectively orally daily for 30 days. The changes in the serum levels of insulin-like growth factor-I (IGF-I), IGF-II, insulin-like growth factor binding protein-3 (IGBP-3), estrogen, total alkaline phosphatase (TALP), bone-specific alkaline phosphatase (BALP), calcium and phosphorus in serum, and also histomorphology of the proximal tibia metaphysis and femur/body weight (F/B) ratio were examined in all the groups on post-treatment day 10, 20 and 30.
Results: Thirty days post-treatment, IGF-I, IGF-II, IGBP-3 and BALP levels were significantly increased (p<0.05) in group III and IV as compared with group I and II. There were no significant differences in serum levels of estrogen, TALP and F/B ratio between group II, III and IV, but estrogen levels were higher in group I. The trabecular bone volume in the proximal tibia metaphysis was gradually decreased in the rats of group II, whereas it was gradually increased in the animals of group III (SSP treated) and IV (SSO treated).
Conclusion: The SSP and SSO have similar effects in the protection of bones in osteoporosis induced- Ovx rats. Intake of SSP or SSO can be useful in preventing bone loss due to estrogen deficiency. However, further studies are needed for a clear understanding of their mechanism of action.
Keywords: Saflower seed, ovariectomy, IGF-I, IGF-II, IGBP-3, bone alkaline phosphatase.
**PO-16**
**EFFECTS OF AMLODIPINE AND PERINDOPRILATE ON THE STRUCTURE AND FUNCTION OF MITOCHONDRIA IN VENTRICULAR CARDIOMYOCYTES DURING ISCHEMIA-REPERFUSION IN THE PIG**
**Descotes Jacques**, Mamou Zahida, Timour Quadiri
*EA 4612 - Neurocardiologie. Physiopathologie des Troubles du Rythme Cardiaque, Université Claude Bernard, 8 Avenue Rockefeller, Lyon, France; E-mail: firstname.lastname@example.org*
**Introduction:** The aim of the present study was to determine whether amlodipine and/or perindoprilate injected intravenously (iv) prior to ischemia exerted protective effects on mitochondria structural and functional alterations induced by ischemia and aggravated by reperfusion.
**Materials and Methods:** Heart rate, the duration of monophasic action potentials (dMAP), the peak of the time derivative of left ventricular pressure (LV dP/dt max), mitochondria structural and functional parameters in the left ventricle ischemic area were measured after 45-min ischemia and 1-min reperfusion in domestic pigs either untreated or pretreated with amlodipine, perindoprilate or amlodipine + perindoprilate iv.
**Results:** Ischemia-reperfusion induced tachycardia, reduced dMAP and LV dP/dt max, and alterations of mitochondria structural and functional parameters with decreased oxygen consumption, increased reactive oxygen species production and reduced calcium retention capacity with opening of mitochondrial permeability transition pores. No drug treatment changed hemodynamic and electrophysiological parameters, but amlodipine and perindoprilate, either alone or combined, prevented mitochondrial alterations.
**Conclusion:** Amlodipine or perindoprilate pretreatment decreased all mitochondrial I/R lesions in this pig model. The calcium antagonistic properties of amlodipine and the prevention of NO synthesis reduction by both amlodipine and perindoprilate are suggested to account for these cardioprotective effects.
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**PO-128**
**ENANTIOSELECTIVE SYNTHESIS OF NEW SPIROOXINDOLOPYRROLIDINES USING CHIRAL CATALYST**
**Abdollah Javidan**, Mohammad Javad Taghizadeh, Khosrow Jadidi
*Department of Chemistry, University of Imam Hossein, Tehran, Iran; E-mail: email@example.com*
Spiro compounds are very important targets in medicinal chemistry because of their significant biological activities. In particular, spirooxindolopyrrolidine and their derivatives have served as potential synthetic intermediates and also act as antiviral, antitumor, antibiotic agents, local anesthetics, and inhibitors of human NK-1 receptor etc. Also some alkaloids and Gelsemine, formosamine, isoformosamine containing spiropyrrolidinoloxindole-ring system [1-3].
The first report on catalytic highly regio-, diastereo-, and enantioselective synthesis of a small library of spiropyrrolizidinoneoxindoles via a four-component 1,3-dipolar cycloaddition reaction of azomethine ylides, derived from in-situ from isatin 1 and S-proline 2 with electron-deficient dipolarophile was described. The process occurs at room temperature in aqueous ethanol as a green solvent and using 10 mol% [Cu (OTf)$_2$] complex as chiral catalyst. The reaction mechanism is discussed on the basis of the assignment of the absolute configuration of the cycloadducts.
**Keywords:** Chiral spiro-oxindolopyrrolizidines, Asymmetric 1, 3-dipolar, Chiral catalyst, bis (imine)-Cu (II) triflate, Azomethine ylide, Three-component reaction.
REFERENCES
[1] Ana, G. N.; Delgado, J.; Cecilia, P.; Marcaccini, S.; Carlos, F. M. Tetrahedron Lett. 2005, 46, 23.
[2] Guarna, A.; Occhiato, E. G.; Macheeti, F.; Giacometti, V. J. Org. Chem. 1999, 64, 4985.
[3] M. J. Taghizadeh, H. Arvinnezhad, S. Samadi, K.Jadidi, A. Javidan, B. Notash, Tetrahedron Lett, 2012, 53, 5148.
PO-135
Track: Oral Health
REASONS FOR TOOTH EXTRACTION AND ORAL HEALTH RELATED FACTORS IN REFERRED PATIENTS IN MASHHAD SCHOOL OF DENTISTRY
Lida Jarahi, Neda Jarahi
Department of Community Medicine, Mashhad Medical Sciences, Mashhad, Iran; E-mail: firstname.lastname@example.org
Introduction: Increasing of life expectancy giving more importance to keeping teeth, as extraction of permanent teeth in Iran is relatively high. This survey studied factors that effect on extraction of permanent teeth among patients referred to Mashhad Dental School in 2012.
Methods: 254 patients were selected in convenient Sampling manner and assessed for reasons of permanent tooth extractions, demographic characteristics, diseases, brushing, sugar intake and oral hygiene. Data were analyzed by SPSS11.5 software and Chi-Square, T-test, ANOVA and Non-Parametric tests.
Results: The mean age of the participants was 39±13.8 years. The most common cause of extraction was caries (55.1%). Women in compared with men had lower mean age, more frequencies of brushing, better oral hygiene, but there was no different in daily sugar intake. Caries and periodontal causes were associated with higher age and less frequency of brushing. Higher education was associated with high frequency of brushing and good oral hygiene, but no associating with daily sugar intake.
Conclusion: Although economic factors and lack of insurance coverage were expressed as important factors for teeth extraction, this study showed that people with the lower education, had the lower oral hygiene and brushed less frequently, that both of them showed the need for informing and health educating. In women despite the brushing more frequently and having better oral health, the age of referring extraction was lower, this suggests other reasons.
Keywords: Teeth Extraction, Caries, Oral Health, Demographic Characteristics.
PO-89
BEE VENOM OF THE HONEY BEE (APIS MELLIFERA) THERAPY IN EXPERIMENTAL CANINE STIFLE OSTEOARTHRITIS
Dongbin Lee, Junho Hwang, Kwangseon Oh, Jun Koh, Jonghun Kim
Chonbuk National University, Animal Medical Center, Jeonjusi, South Korea; E-mail: email@example.com
This study evaluated the therapeutic effects of the phytomedicine, bee venom (BV) of the honey bee (Apis mellifera) for the treatment of experimental stifle osteoarthritis (OA) in 24 skeletally mature mixed small breed dogs (age 2 to 6 years, weight 2.8 to 9 kg). One year after induction of OA, the animals were randomly allocated in 2 groups; the EACP-group received 10% solution of EACP 0.5 ml plus 0.2 ml lidocaine; and the BV-group received 10% solution of BV 0.5 ml plus 0.2 ml lidocaine intraarticularly twice in a week in the OA-induced stifles for one month. The joint tissue specimens, synovial fluid (SF) and blood samples were collected prior to and 12 months after induction of OA, and one month posttreatment. TRAP levels in SF and serum were measured using a spectrophotometer, and TRAP-positive cells in joint tissues were identified by enzyme histochemistry. TIMP-2 in SF and serum was detected by ELISA. Histochemistry revealed an increased number of TRAP positive cells in tissues from OA-affected joints which was decreased after one month treatment with BV and EACP. After one-month administration of EACP and BV, the levels of TRAP in SF of the index stifles as well as that in the serum were significantly decreased (p<0.05), whereas, the levels of TIMP-2 in SF of the index stifles as well as that in the serum were increased indicating the therapeutic effects of the EACP and BV on improvement of the conditions of OA. The intraarticular administration of EACP and BV were found effective for the treatment of OA in the dog.
Keywords: Osteoarthritis, Bee venom, TRAP, TIMP-2, Dog.
**PO-64**
**Track:** Drug Discovery in Preclinical Research
**IN-VITRO BIOASSAY OF 1, 5 - DIMETHYL CITRATE MONOHYDRATE; A COMPOUND ISOLATED FROM THE FRUIT OF MANGIFERA INDICA (ANACARDIACEAE)**
*Khan E.*, Olowononi E., Magagi M.G.*, Ma’aji H.U.** and Lawal A.*
*Department of Pharmacology and Therapeutics, Ahmadu Bello University, Zaria, Nigeria; Email: firstname.lastname@example.org*
In this study, an *in vitro* bioassay of 1, 5-dimethyl citrate monohydrate was carried out. 1,5-dimethyl citrate monohydrate is a hydrated citric acid derivative with molecular formula C8H12O7.H2O isolated from Mangifera indica fruit. To support the hypothesis that the compound may have effect on smooth muscles; the activity of this pure compound on the longitudinal smooth muscles of isolated guinea pig ileum, rabbit jejunum and guinea pig trachea was determined. Graded doses of the compound (0.5mg/ml and 1mg/ml) showed a dose dependent increase in contraction of the longitudinal smooth muscle of the isolated guinea pig ileum similar to histamine and this contraction was antagonized by mepyramine. The compound was thus speculated to be a histaminergic agonist who acts on the H1 histamine receptors found on smooth muscles. Activation of these H1 receptors in smooth muscle cells causes an increase in phosphoinositol hydrolysis and increase in intracellular calcium which brings about contraction of intestinal smooth muscle. The compound however at a concentration of 1mg/ml produced no remarkable effect on the rabbit jejunum. Since the compound didn’t produce any remarkable effect on the rabbit jejunum, it is possible to speculate that the compound 1,5- dimethyl citrate monohydrate at 1mg/ml does not activate the cell specific receptors on the smooth muscles neither does it interact with voltage operated Ca2+ channel. The compound also at a concentration of 5mg/ml produced no appreciable response on guinea pig trachea. This suggests that the compound may not interact with the receptors present to cause any remarkable response.
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**PO-12**
**Track:** Drug Delivery & Targeting
**ENHANCING THE SOLUBILITY AND BIOAVAILABILITY OF ANTI CANCER FLAVONOID NARINGENIN UTILIZING SELF NANOEMULSIFYING DRUG DELIVERY SYSTEM (SNEDDS)**
*A.W. Khan*, S. Kotta, S.H. Ansari, R.K. Sharma and J. Ali
*Department of Pharmaceutics, Faculty of Pharmacy, Jamia Hamdard, New Delhi, India; E-mail: email@example.com*
The flavonoid aglycone Naringenin, present in grapefruits, possesses anti-inflammatory, anti-carcinogenic, hepatoprotective and anti-lipid peroxidation effects. The therapeutic applications of Naringenin are limited because of poor solubility in water leading to slow dissolution after oral ingestion. Its bioavailability is only 5.8% in humans following oral administration. The study is an attempt to improve the solubility and permeability of Naringenin by employing self nano emulsifying drug delivery technique. SNEDDS comprising Triacetin, Tween 80 and Transcutol HP, in the ratio of 30:50:20 were developed by water titration method employing constructing pseudo-ternary phase diagrams. These are evaluated in term of size, polydispersity index, and surface morphology of nanoemulsions so obtained. Everted rat gut sac method was used to study the effect of nanodrug carriers on drug release and permeability. The TEM analysis proves that nanoemulsion shows droplet size between 20-100 nm. The SNEDDS showed a significant increase in drug release and permeability as compared to drug suspension which may be attributed to the nanosized droplets and enhanced solubility of Naringenin in the SNEDDS.
ACCELERATION OF LIVER REGENERATION AFTER PARTIAL HEPATECTOMY IN RATS SUPPLEMENTED WITH BETAINE
Young C. Kim, Doo Sung Jun, Young Suk Jung
Department of Pharmacy, Seoul National University, Seoul, South Korea; E-mail: firstname.lastname@example.org
The liver has a remarkable capacity to regenerate itself after injury. Our previous work suggests that hepatic S-adenosylmethionine (SAM) level critically influences the liver regenerative process via regulation of polyamine metabolism. In this study we examined the progression of liver regeneration in the rats treated with betaine, a methyl donor that is known to enhance the generation of SAM in liver. Male rats were provided with betaine (1 %) in drinking water following two-thirds partial hepatectomy (PHx). An additional group of rats received betaine from 2 week prior to the surgical treatment. Liver weight growth was significantly greater in the rats treated with betaine than the control rats from Day 2 after the surgery. The betaine-treated rats retrieved the liver weight fully on Day 7, while the liver weight in the control rats reached 80% of the normal liver. Expression of proliferating cell nuclear antigen was significantly greater in the betaine-treated rats at 24 and 48 h following PHx. Induction of cyclin D1 expression was also accelerated by betaine administration. Major metabolites/products in the transsulfuration reactions including methionine, SAM, cysteine, glutathione, and taurine were all increased by PHx. Among the changes in the sulfur-containing substances, the increases in methionine and SAM levels were intensified significantly in the rats provided with betaine. The surgical treatment elevated putrescine and spermidine, but decreased spermine levels in the remnant livers. Betaine administration markedly enhanced the elevation of hepatic putrescine and spermidine levels. The results indicate that betaine is capable of accelerating the liver regenerative process, most probably via elevation of hepatic SAM, a metabolic substrate for polyamine synthesis. It is suggested that betaine may be useful as a therapeutic liver-regenerating agent, which promotes improvement or normalization of hepatic functions both in the remnant liver and in the transplanted liver.
Keywords: Betaine, liver regeneration, S-adenosylmethionine, polyamines.
CARDIAC MYOSIN SWITCHING AND MIKRORNAS IN HUMAN END-STAGE FAILING HEART
Ján Kyselovič, Gabriel Dóka, Peter Křenek, Jana Mlynárová, Peter Musil, Michal Hulman, Ján Klimas, Eva Gonsalvesová
Department of Pharmacology and Toxicology, Faculty of Pharmacy, Comenius University, Bratislava, Slovak Republic; E-mail: email@example.com
Heart failure is a clinical syndrome (not a single disease) that can result from any structural or functional cardiac disorder that impairs the ability of the ventricle to fill with or eject blood. Even with the very best of modern therapy, however, heart failure is still associated with an annual mortality rate of 10%. The search for better treatments of heart failure is one of the major challenges in cardiology. New treatments that target disease mechanisms at the molecular/cellular and whole-organ level are needed to halt and reverse the devastating consequences of this disease.
The aim of our work was to focus on molecular potential biomarkers of heart failure and description of their relationship to selected clinical parameters and to cardiac injury in explanted human hearts. We have focused to analyse of “cardiac myosin switching” via gene expression of myosin heavy chain isoforms and role of microRNAs in failing hearts. In the heart, three distinct isoforms MYH6, MYH7, MYH7B coexist in delicate balance. As has been recently shown, the shift from one myosin isoform to other may be one of key factors causing heart failure.
Patients with terminal-stage heart failure (n=41), indicated for heart transplantation in The National Institute of Cardiovascular Diseases, Bratislava. The follow clinical data from hospital records we collected: age, sex, BMI, blood pressure, type of heart failure (DCM, CAD, RCMP, AS, ECG, ECHO catheterization data, serum biochemistry, coexisting and pharmacotherapy. We examined samples from left ventricles of 41 patients with end-stage heart failure indicated for heart transplantation and five controls. We used quantitative RT-PCR to measure mRNA levels of cardiac myosin heavy chain isoforms (MYH6, MYH7, MYH7B), related transcription factors (GATA4, SRF, NKX-2.5, YY1,
SOX6) and microRNAs (miR-1, -133a, -29b) and miR-208a is expressed from an intron of MYH6, miR-208b from an intron of MYH7, and miR-499 from an intron of MYH7B), based on bioinformatic predictions and databases.
In adult human failing hearts, we found the slow-twitch myosin heavy chain MYH7 (~98%) to be the predominantly expressed isoform whereas fast-twitch MYH6 isoform constitutes just about 1% of all myosin isoforms. This excessive expression of MYH7 is regulated by several transcription factors and microRNA. The increase expression of miRNA-208a and miRNA 208b has no correlation with expression contractile apparatus of the heart – cardiac myosin switching. miR-1 and miRNA-133a seems to be in close relation with other cardiac microRNA included in this study. The consequent change from fast-twitch alpha-isoform to the slow-twitch beta-isoform (known as myosin switching) could be one of the main causes of heart failure. Expression of myosin heavy chain isoforms is regulated through a complex net of relationships between MHCs – transcription factors – epigenetic modulators – microRNAs.
Conclusively, dysregulated gene expression of myosin heavy chains resulting in MYH7 upregulation and MYH6 downregulation might be an adaptation in heart failure and interesting target for future pharmacotherapy.
**PO-25**
**Track:** Diabetes and Obesity Drug Discovery & Therapy
**EFFECT OF ASTAXANTHIN ON THE EXPRESSION OF PPARγ: A IN VITRO STUDY**
**Ming-Hoang Lai, Ya-Yen Chen**
*Department of Nursing, Cardinal Tien Junior College of Healthcare and Management, New Taipei, Taiwan; E-mail: firstname.lastname@example.org*
Peroxisome proliferator-activated receptor gamma (PPARγ) is important for the regulation of insulin sensitization. Astaxanthin has been reported to lower insulin resistance in animal model of diet-induced obesity. The aim of this study was to evaluate the effect of astaxanthin on the expression of PPARγ *in vitro*. 3T3-L1 cell was used to be the tested cell model. In part I study, different concentrations of astaxanthin (0.01–10 mg/mL) were prepared for the MTT assay and to evaluate the cell viability. In part II study, different concentrations of astaxanthin (0.01–20 mg/mL) were prepared for the PPAR ELISA and to measure the ability of astaxanthin to activate the PPARγ. Result showed that the cell viability was enhanced in astaxanthin concentrations between 0.01–10 mg/mL. Astaxanthin activated the expression of PPARγ significantly in 3T3-L1 cell under the concentration of 10 and 20 mg/mL. The PPARγ stimulation index at 10 and 20 mg/mL is 3 and 5 times compared to positive control group. We concluded that astaxanthin may have the potential to activate the PPARγ in the 3T3-L1 cell model. Further animal or human studies are needed to make sure the biological effect of astaxanthin on the PPARγ.
**Keywords:** Astaxanthin, PPARγ, 3T3-L1 cell.
**PO-100**
**Track:** Inflammation and Immunology
**IMMUNOSUPPRESSIVE EFFECT OF CARYOPHYLLATA FLOS AND ITS ACTIVE COMPOUND ON DENDRITIC CELL ACTIVATION AND FUNCTION**
**Ming-Kuem Lin, Chao-Jung Chen, Hui-Chi Huang, Meng-Shiou Lee, Wen-Te Chang, Chi-Chen Lin**
*Department of Chinese Pharmaceutical Sciences and Chinese Medicine Resources, China Medical University, Taichung, Taiwan; E-mail: email@example.com*
Caryophyllata Flos, dried flower buds of Eugenia caryophyllata Thunb. Which belong to the family Myrtaceae is widely applied to Chinese medicine? It has been reported to have an activity of asthma and allergic relief. However, the molecular and cellular mechanisms of the immune response remain unclear. Especially, the critical compounds contribute the effect on dendritic cell (DC), a critical role in regulation of innate and adaptive immunity is still unknown. In this study, the effects of methanolic extract and the major compound eugenol of Caryophyllata Flos on DC activation. Our results clearly showed that methanolic extract and eugenol decreased the production of cytokines (IL-12 and IL-6) in a dose-dependent manner in LPS-induced DCs and inhibited LPS-induced DC maturation as the expression levels of MHC class I, MHC class II and costimulatory molecules on LPS-induced DCs were decreased. In addition, contact
hypersensitivity responses were inhibited in mice cosensitized with the methanolic extract or eugenol. Therefore, we demonstrate for the first time that the Caryophyllata Flos and its active ingredient eugenol exhibit an immunosuppressive effect on DC function.
**Keywords:** Dendritic cell, immunosuppressive, contact hypersensitivity, Caryophyllata Flos, eugenol.
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**PO-39**
**Track:** Anti-Infective
**EFFICACY AND SAFETY OF POLYMYXINS FOR THE TREATMENT OF ACINETOBACTER BAUMANNII INFECTION: A META-ANALYSIS**
**Qianqian Liu, Yulin Feng, Chuanmin Tao**
*Department of Laboratory Medicine, West China Hospital, Sichuan University, No. 37, Guo Xue Alley, Chengdu, Sichuan, China; E-mail: firstname.lastname@example.org*
Multi-drug resistance among *Acinetobacter baumannii* increases the need for polymyxins. We conducted a meta-analysis aimed to assess the efficacy and safety of polymyxins for the treatment of *Acinetobacter baumannii* infection. 12 controlled studies, comparing 677 patients, were included. Although clinical (odds ratio 1.421, 95%CI 0.722-2.797) and microbiological (OR 1.416, 95%CI 0.369-5.425) response rates favored the polymyxins group, these differences were not significant. Treatment with polymyxins vs. controls did not affect hospital mortality (OR 0.506, 95%CI 0.101-2.536), lengths of hospital stay SMD-0.221, 5%CI -0.899-0.458) or nephrotoxicity (OR1.192, 95%CI 0.436-3.261). The combination of polymyxins with other antibiotics achieved similar clinical response rates to its monotherapy regimen (OR0.601, 95%CI 0.320-1.130). Our results suggest that polymyxins may be as safe and as efficacious as standard antibiotics for the treatment of *Acinetobacter baumannii* infection. There is no strong evidence that combination regimen of polymyxins is superior to monotherapy.
**Keywords:** Polymyxins, *Acinetobacter baumannii*, infection, meta-analysis.
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**PO-118**
**Track:** Traditional Chinese Medicine
**CHEMICAL CONSTITUENTS FROM PLEIONE BULBOCODIOIDES**
**Xin-Qiao Liu**
*School of Pharmacy, South-Central University for Nationalities, Wuhan, China; E-mail: email@example.com*
The tubers of Pleione bulbocodioides (Franch.) Rolfe have been used in Chinese medicine as anti-cancer and antibacteria agents. A number of stilbenoids have been isolated from *P. bulbocodioides*, and various biological activities, such as antimicrobial and antiallergic activities have been reported. During our search for anticancer compounds from Chinese herbal medicine, we investigated the constituents of *P. bulbocodioides*, which led to the isolation of seven phenolic compounds by repeated column chromatography with silica gel, Sephadex LH-20 and ODS-HPLC. Their structures were elucidated by analysis of spectroscopic data (1H-NMR, 13C-NMR, 2D-NMR, HR-MS) as bulbocol (1), Kayaflavone (2), coeloniin (3), 4-Oxopentanoic acid (4) β-daucosterol (5), 3-hydroxybenzic acid (6), 5-hydroxymethyl furfural (7). Compounds 2, 4, 5, 6, 7 were isolated from the plants of *Pleione bulbocodioides* for the first time, and two of them showed moderate cytotoxic activity against the LA795 tumor cell line.
**Keywords:** *Pleione bulbocodioides*, Chemical constituents, Stilbenoids.
**PO-42**
**Track:** Cardiovascular Drug Discovery & Therapy
**INFLUENCE OF BOTH NMDA AND NON-NMDA GLUTAMATE RECEPTORS ON THE CARDIOVASCULAR RESPONSE OF THE L-PROLINE INTO THE PARAVENTRIULAR NUCLEUS OF RATS**
*Silvana Lopes-Azevedo and Fernando Morgan Aguiar Corrêa*
*Department of Pharmacology, School of Medicine of Ribeirao Preto, University of Sao Paulo, Ribeirao Preto, Brazil; E-mail: firstname.lastname@example.org*
L-Proline (L-Pro) shares a number of properties with recognized neurotransmitters and has been postulated to be involved in the cardiovascular control. In the present study we characterized central mechanisms involved in the cardiovascular responses evoked by the injection of L-Pro into the paraventricular nucleus (PVN). Guide cannulas were implanted into the PVN. Polyethylene catheter was introduced into the femoral artery for mean arterial pressure (MAP) and heart rate (HR) recordings. Pretreatment with acFS did not affect the pressor ($\Delta$MAP= 28.0±1.8mmHg vs 27.1±2.6mmHg) and bradycardic response ($\Delta$HR=-57.0±6.5bpm vs -50.5±3.2bpm) to the microinjection of 33nmol/100µL L-Pro into the PVN. The local pretreatment with increasing doses of the selective non-NMDA receptor antagonist NBQX inhibited the pressor ($r^2=0.87$) and bradycardic ($r^2=0.89$) responses to the microinjection of L-Pro into PVN of unanesthetized rats, in a dose-related manner. Similarly, the local pretreatment with increasing doses of the selective NMDA receptor antagonist LY235959 also blocked the pressor ($r^2=0.94$) and bradycardic ($r^2=0.87$) responses to the microinjection of L-Pro into PVN of unanesthetized rats, in a dose-related manner. The ID50 for NBQX was approximately 1nmol/100µL, while for LY235959 was approximately 0.05nmol/100µL, thus indicating that LY235959 was at least 20 times more potent than NBQX to inhibit the pressor and bradycardiac responses to the microinjection of L-Pro into the PVN. These results suggest L-Pro acts on specific prolinergic receptors which are sensitive to the NMDA and non-NMDA antagonists. FAPESP2010/11303-6.
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**PO-110**
**ASSESSMENT OF KNOWLEDGE, ATTITUDE AND PRACTICE OF COMMUNITY PHARMACIST TOWARDS PHARMACEUTICAL CARE IN KADUNA STATE, NORTH WESTERN NIGERIA**
*Ma’aji H.U., Khan F., Ondeku I.*
*Department of Clinical Pharmacy and Pharmacy Practice, Ahmadu Bello University, Zaria, Nigeria; E-mail: email@example.com*
This study evaluates pharmaceutical care services in community pharmacies in Zaria and Sabon gari local government areas of Kaduna State. The main objective is to assess the knowledge, attitude and practice of community pharmacist towards pharmaceutical care. The research employed the use of a self-administered questionnaire which was constructed based on pharmaceutical activities, dispensing, interprofessional relationship, practice standards and barriers to its implementation. A total of forty (40) registered community pharmacists were employed for the study. Data collected were subjected to statistical analysis using simple percentages, cross tabulations and frequency distribution. 32(80%) of the respondents believed that dispensing of medication only is pharmaceutical care while 26(65%) believed that pc is a mandate of pharmacists only. 14 (35%) normally collect data from their patients and only one out of seventeen that had reported cases of ADR’s completed med watch report. Lack of pharmacists access to full medical records received 80% response, poor relationship with other healthcare providers received 82.5% response, and lack of confidence of community pharmacists 55%. Lack of trained personnel and support staffs 75%. These were the identified barriers to implementation of pharmaceutical care. Pharmacists in the study area have positive attitude with limited knowledge on pharmaceutical care. They are somewhat distant from the practice of pharmaceutical care.
**Keywords:** Attitude, knowledge, community pharmacists, pharmaceutical care.
**PO-40**
**Track:** Anti-Infectives
**METHYL PANTOTHENAMIDES ARE POTENT ANTIPLASMODIAL AGENTS RESISTANT TO PANTETHEINASE-MEDIATED DEGRADATION**
*Cristiano Macuamule, Collins Jana, Leanne Barnard, Marianne de Villiers, Erick Strauss*
*Department of Biochemistry, Stellenbosch University, Matieland, South Africa; E-mail: firstname.lastname@example.org; email@example.com*
**Background:** Novel antimalarial chemotherapies are desperately needed since the most virulent parasite that causes malaria in humans, *Plasmodium falciparum*, has become resistant to all drugs in use. The pipeline for erythrocytic-stage antimalarials is robust. However, most such compounds target the same parasite pathways and/or molecules and are based on limited chemical scaffolds. This study investigated the antiplasmodial activity of pantothenamides (pantothenate amide analogues) aiming to identify more potent compounds than previously reported counterparts under standard parasite growth conditions with pantetheinase activity - the activity of enzymes that hydrolyze pantetheine (a pantothenate metabolite) and also degrade pantothenamides.
**Methods:** Pantothenamides were prepared following previously described methods and modified with introduction of methyl groups on the alpha or beta position of the core structure (β-alanine moiety). The compounds were then tested *in vitro* against *P. falciparum* 3D7 using the SYBR-green fluorescence assay.
**Results:** The small modifications of pantothenamides were sufficient to confer resistance to pantetheinase-mediated degradation and improve antiplasmodial potency by more than 880-fold, reaching sub-micromolar IC$_{50}$ values. The modified compounds continued to inhibit parasite proliferation by targeting pantothenate-dependent processes.
**Conclusions:** Pantothenamides modification markedly improves antiplasmodial potency and provides further support for exploiting pantothenate utilization as an attractive target in antimalarial drug discovery.
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**PO-35**
**Track:** Anti-infectives
**THE ANTIBACTERIAL AND ANTFUNGAL ACTIVITY OF THE ESSENTIAL OIL OF LAWSONIA INERMIS HENNA - *IN VITRO***
*Mahiaoui H., Goudjil R., Chelgham I., Kalla. A., Yahia M.*
*Laboratory of parasitology, CHU-Faculte of Medicine, Batna, Algeria; E-mail: firstname.lastname@example.org*
Lawsonia inermis Linn, known as “Henna” is traditionally used as a cosmetic and for its medicinal virtues especially in the treatment of infectious diseases. Our work was studying antibacterial and antifungal activities of the essential oil from the leaves of this plant; it was obtained by steam distillation ten bacterial strains, three yeast were selected for the evaluation of antimicrobial activity, determination of MIC and MFC by the method of diffusion in a solid medium.
A very compelling activity appeared on all species tested, including strains resistant to antibiotics, and frequent infections in hospital as *Acinetobacter baumannii* and *Pseudomonas aeruginosa* MRSA.
The use of this oil rich on volatile substances is recommended for sanitation system air treatment in hospital by micronization in air conditioning systems in operating rooms, clinical and cleanroom.
**PO-102**
**Track:** Pharmaceutical Research & Development
**IDENTIFICATION OF TWENTY PHOSPHODIESTERASE-TYPE 5 ENZYME (PDE-5) INHIBITORS USING GAS CHROMATOGRAPH-MASS SPECTROMETRY**
**Che Nin Man, Razak Lajis, Norjuliana Mohd Noor and Siti Salwa Sabran**
*National Poison Center, Universiti Sains Malaysia, 11800 Penang, Malaysia; E-mail: email@example.com*
Phosphodiesterase type-5 enzyme (PDE-5) inhibitors are drugs used in the treatment of erectile dysfunction. PDE-5 inhibitors such as sildenafil, tadalafil, vardenafil and their banned analogues have been found adulterated in health products such as herbal preparations, dietary supplements and food products that claim to have natural aphrodisiacs. New analogues have been synthesized and growing rapidly. Due to their natural origins, these health products are often perceived to be safe and therefore their uses becoming popular globally. PDE-5 inhibitors can cause adverse health effects such as back pains, headaches, nasal congestion, dyspepsia, migraine, flushing and limb pains. These drugs are commonly identified using liquid chromatography-mass spectrometry (MS) or tandem mass (MS/MS). In this study, a gas chromatography-mass spectrometry (GC-MS) assay was developed for the identification of twenty PDE-5 inhibitors. A very small amount of sample (50 mg), good chromatographic separation and no sample clean-up was required prior to GC-MS analysis thus making the assay a fast and cost effective assay. The assay is also sensitive and selective as the identification the PDE-5 inhibitor was based on characteristic mass fragmentation ions. We also found the precursors for the screening of sildenafil and vardenafil analogues in health product matrices. The developed assay was validated using thirteen PDE-5 inhibitors for linearity, within- and between assays accuracies and precisions, limit of quantitation, limit of detection, and recovery. The application of the developed assay had shown that most of the herbs and food products in Malaysian market that claimed to promote men health were adulterated with PDE-5. Similar trends are observed in other countries. Regular monitoring and surveillance works are required to check the health products as well as public educations. Collaboration and exchange of information among health regulators, academicians, researchers and industries are crucial to stem the fast growing adulteration by PDE-5 inhibitors.
**Keywords:** PDE-5 inhibitors, Sildenafil, vardenafil, tadalafil and analogues, GC-MS, herbal preparations, food products.
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**PO-32**
**Track:** Anti-infectives
**IN VITRO SIGNIFICANT REDUCTION IN BIOFILM SYNTHESIS IN *PSEUDOMONAS AERUGINOSA* POST MICAFUNGIN TREATMENT AT A TERTIARY CARE CENTER**
**Wael Bazzi, Ahmad Sabra, Lama Zahredine, Marie Therese Khairallah, Maysa Baroud, Usamah Hadi and Ghassan M. Matar**
*Department of Experimental Pathology, Immunology and Microbiology (EPIM), American University of Beirut (AUB), Beirut, Lebanon; E-mail: firstname.lastname@example.org*
**Background:** *Pseudomonas aeruginosa* is an opportunistic pathogen, considered to be the leading cause of nosocomial infections in immunocompromised patients. It has the ability to produce biofilms which confer antimicrobial resistance. In this study we are assessing the effect of Micafungin on biofilm formation in *P. aeruginosa* since it has in its cell wall 1,3-β-D-glucan, an essential glucose polymer, similar to that of *C. albicans*, which synthesis is blocked by Micafungin.
**Methods:** Eighteen *P. aeruginosa* isolates from patients with nosocomial infections were used. Biofilm production was confirmed using adherence testing to polystyrene microtiter plates. The effect of Micafungin (10 mg/ml) on *P. aeruginosa* biofilm producing cells was assessed *in vitro*. RNA extraction followed by c-DNA synthesis was done. qRT-PCR for selected biofilm encoding genes to determine the relative gene expression levels was performed. These consisted of alginate encoding gene, *algC*, pellicle encoding gene, *pelC*, and 1,3-β-D-glucan encoding gene, *ndvB*. Relative gene expression of *algC*, *pelC* and of *ndvB* was done on isolates showing phenotypic reduction in biofilm synthesis.
**Results:** Reduction in biofilm synthesis was significant in 13 (72.2%) out of 18 isolates grown on microtiter plates upon the addition of Micafungin. The OD within the remaining 5 isolates did not show a significant change between untreated and treated wells of the same isolate. The relative expression of *algC*, *pelC* and *ndvB* genes was significantly decreased in all tested isolates as compared to untreated isolates.
**Conclusion:** Reduction in biofilm formation in *P. aeruginosa* isolates tested highlights the importance of Micafungin in treating biofilm producing *Pseudomonas* infections. Studies assessing the effect of Micafungin *in vivo* using mice model are underway. Future work will focus on the translational and post-translational modifications to establish a cause-and-effect relation between the observed decreased expression levels of the genes and their corresponding proteins.
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**PO-49**
**Track:** Chemistry
**NON-NUCLEOSIDE INHIBITORS OF NS5B POLYMERASE DERIVED FROM THE NATURALLY OCCURRING AURONES: POTENTIAL AGENTS AGAINST HEPATITIS C VIRUS INFECTION**
Marine Peuchmaur, Romain Haudcoeur, Ahcène Boumendjel, Jean-michel Pawlotsky, Abdelhakim Ahmed-Belkacem, Rozenn Brillet, **Amel Meguellati**
Département de Pharmacochimie Moléculaire, Université Joseph Fourier, Grenoble, France; E-mail: email@example.com
Hepatitis C virus (HCV) infection is a global public health problem. The World Health Organisation (WHO) estimates that 170 million people are infected worldwide. The current therapeutical treatments consist of a combination of pegylated interferon alpha (peg-IFN) and Ribavirin (RBV). Unfortunately, the response rate is low, especially among patients infected by HCV genotype 1, the most frequent genotype. The HCV RNA-dependent RNA polymerase NS5B constitutes an interesting target because of its key role in viral replication and being not functional in mammalian cells. We recently identified through a screening process that the naturally occurring 2-benzylidenebenzo furan-3-ones, namely (aurones) as new inhibitors of NS5B. The aurone active site, identified by site-directed mutagenesis, is located in Thumb Pocket 1 of HCV RdRp. Molecular docking studies were used to determine how aurones bind to NS5B and to predict their range of inhibitory activity. Several aurones were found to have potent inhibitory effects on HCV RdRp, with excellent selectivity index (inhibition activity versus cellular cytotoxicity). More very recent promising results obtained on aurones dimers will be presented. The potent NS5B inhibitory activity combined with their low toxicity make aurones attractive drug candidates against HCV infection.
**Keywords:** Aurones dimers, inhibition, NS5B, HCV, organic synthesis.
---
**PO-130**
**Track:** Hot Topic in Natural Products
**ENDOPHYTES- A TREASURE OF BIOACTIVE COMPOUNDS**
Hira Mehbboob Mirza, Masoom Yasinzai, Safia Ahmed
Department of Microbiology, Faculty of Biological Sciences, Quaid-i-Azam University, Islamabad; E-mail: firstname.lastname@example.org
Throughout the ages humans have relied on Nature to cater for their basic needs, not the least of which are medicines for the treatment of a wide spectrum of diseases. However, increasing number of pathogenic microorganisms and emerging new diseases has necessitated the search for novel chemical entities with improved antimicrobial properties. Among natural sources, plants are valuable sources, but microorganisms are exemplary in production of pharmaceutically useful compounds. The most recent of such exciting discoveries have originated from microorganisms living in unusual ecological niches such as endophytic microorganisms. These are microorganisms that reside asymptptomatically in the tissues of higher plants and are relatively unstudied and a promising source of pharmaceutically important metabolites. Northern areas of Pakistan have rich biodiversity of *Taxus* species. Endophytic fungi isolated from indigenous species of *Taxus baccata* have been grown on different culture media both solid and liquid, crude extracts obtained have been screened in various biological assays. These extracts have shown promising activities in antibacterial, antifungal,
antioxidant and especially in antileishmanial assay. Cytotoxicity of the crude extracts has been evaluated by brine shrimp assay. These preliminary studies will serve as a foundation for formulating drugs effective against disease like leishmaniasis. It will also be helpful in preserving flora of the region and stabilizing the economy of the country through local as well as global commercialization of the compounds of pharmaceutical importance.
**PO-74**
**Track:** Radiotargeted Therapy
**PRECLINICAL EVALUATION OF HOLMIUM-166 LABELLED ANTI-VEGF-A (BEVACIZUMAB)**
Alireza Khorrami Moghaddam, Amirreza Jalilian, Bahram Bolouri, Nariman Mosafa, Ali Bahrami-Samani, Seyed Mohammad Mazidi and Behrouz Alirezapour
*Tehran University of Medical Sciences (TUMS), Sari, Iran; E-mail: email@example.com*
Radiolabeled antiangiogenic monoclonal antibodies are potential agents for targeted therapy in specific types of malignancies. In this study, 166Ho-DOTA-Bevacizumab was used in biodistribution studies using SPECT to acquire dosimetric aspects of the radiolabeled antibody in mice. The liver toxicity of the radiolabeled antibody was also determined using SGPT, SGOT and Alkaline phosphatase assay 2-7 days post injection.
The SPECT biodistribution demonstrated a similar pattern as the other radiolabeled anti-VEGF-A immunoconjugates. 166Ho-DOTA-Bevacizumab was revealed as a potential compound for therapy/imaging of VEGF-A expression in oncology.
**Keywords:** Holmium-166, bevacizumab, radiolabeling, conjugation, biodistribution.
**PO-73**
**Track:** Pharmaceutical Biotechnology
**PREPARATIVE MICROBIOLOGICAL SYNTHESIS OF HIHGLY DEUTERATED [2H] INOSINE BY GRAM-POSITIVE CHEMOHETEROTROPHIC BACTERIUM BACILLUS SUBTILIS B-3157 ON HEAVY WATER (2H₂O) MEDIUM**
Oleg Victorovich Mosin and Ignat Ignatov
*Biotecnology and Nanotechnology, M. V. Lomonosov State University for Fine Chemical Technology, Moscow, Russia; E-mail: firstname.lastname@example.org*
Natural nucleosides labeled with deuterium (²H) are of considerable interest for various biochemical and diagnostic purposes, structure-function studies, and research of cell metabolism. In particular, deuterated ribonucleosides and their analogs are used in template-directed syntheses of deuterated RNA molecules for studying their spatial structure and conformational changes.
We have applied an aerobic Gram-positive chemoautotrophic bacterium *Bacillus subtilis* B-3157, polyauxotrophic for histidine, tyrosine, adenine, and uracil (demand, 10 mg/l), for preparative microbiological synthesis of purine ribonucleoside [²H]inosine (output, 3.9 g/l) of liquid microbial culture (LC). The initial bacterium was adapted to deuterium by plating individual colonies onto 2% (w/v) agarose growth media with stepwise increasing gradient of ²H₂O concentration (from 0 up to 98 (% w/w) 2H₂O) and subsequent selection of individual cell colonies stable to 2H₂O. After that producing the bacterium was grown on heavy water (HW) medium with high degree of deuterium content (99.8 atom % ²H) containing 2% (v/v) hydrolysate of deuterated biomass of the methanotrophic bacterium *Brevibacterium methylicum* B-5662 and presence of [²H]-labeled growth substrates, obtained on minimal M9 growth media with 98% (v/v) 2H₂O and 2% (v/v) [²H] methanol. The composition of HW growth medium (% w/v): glucose – 12, hydrolysate of deuterated biomass of *B. methylicum* – 2; NH₄NO₃ – 2; MgSO₄·7H₂O – 1; CaCO₃ – 2; vitamin – 0.01, uracil – 0.01. Bacteria were grown in 500 ml Erlenmeyer flasks (containing 100 ml of the growth medium) for 3-4 days at 32°C under intensive aeration on an orbital shaker. The maximal output of inosine in LC (17 g/l) was observed on protonated growth medium at a glucose assimilation rate 10 g/l. The output of inosine on the HW medium decreased in 4.4-fold, reaching 3.9 g/l, and the level of glucose assimilation - 4-fold, as testified by the remaining ~40 g/l of non-assimilated glucose in
LC. This demonstrates that glucose is less efficiently assimilated on HW medium as compared to the control conditions in H$_2$O.
$^3$H-inosine was isolated from LC by consecutive adsorption/desorption on activated carbon as adsorbent at 4°C with following desorption of total ribonucleosides with EtOH-NH$_3$-solution at 60°C, extraction of $^3$H-inosine with 0.3 M ammonium-formate buffer (pH = 8.9), subsequent crystallization in 80% (v/v) ethanol, and ion exchange chromatography on a column with AG50W-X-4 cation exchange resin equilibrated with 0.3 M ammonium-formate buffer and 0.045 M NH$_4$Cl under isocratic conditions (chromatographic purity, 92%). The presence of major absorbance band, corresponding to natural inosine ($\lambda_{\text{max}} = 249$ nm, $\varepsilon_{249} = 7100$ M-1 cm-1), and the absence of secondary metabolites in the analyzed sample, demonstrates the homogeneity of isolated product and the efficiency of the isolation method. $^3$H-inosine: output, 3.1 g/l (80%); Tm = 68-70°C; [a]D20 = 1.61 (ethanol); Rf = 0.5; pKa = 1.2 (phosphate buffer with pH = 6.87). UV-spectrum (0.1 N HCl): $\lambda_{\text{max}} = 249$ nm; $\varepsilon_{249} = 7100$ M-1 cm-1. FAB mass spectrum (glycerol matrix, Cs+; accelerating voltage, 5 kV; ion current, 0.6-0.8 mA): [M + H]+ m/z (I, %) 273, 20% (4 atoms $^3$H); 274, 38% (5 atoms $^3$H); 275, 28% (6 atoms $^3$H); 276, 14% (7 atoms $^3$H); [A + H]+ 136, 46%; [B + H]+ 138, 55%; [B - HCN]+ 111, 49%; [B - HCN]+ 84, 43%.
The evaluation of the level of deuterium enrichment, performed by FAB mass spectrometry, demonstrated incorporation of 5 deuterium atoms into the inosine molecule (the total level of deuterium enrichment - 65.5 atom% $^2$H); 3 deuterium atoms were included into the ribose and 2 deuterium atoms - into the hypoxanthine residue of the molecule.
**Keywords:** $^3$H-labeled inosine, microbiological synthesis, FAB-mass spectrometry; heavy water, *Bacillus subtilis*.
---
**PO-47**
**Track:** Chemistry
**FUNCTIONALIZED MESOPOROUS SILICA NANOPARTICLES TARGETED FOR APPLICATION IN NANO-BIOTECHNOLOGY**
**Sahar Rahmeni, Clarence Charnay, Elimame Elaloui, Younes Moussaoui**
*Department of Gafsa, Science Faculty of Gafsa, Gafsa, Tunisia; E-mail: email@example.com*
Because of the good control of the particle size, morphology, uniformity thus large specific surface area of mesoporous silica nanoparticles (MSN) provides for large adsorption capacities interesting for biotechnology, also biomedicine.
This work demonstrates the application of a delivery strategy prodrug using mesoporous silica nanoparticles. Our effort primarily is addressed to modify the surface of mesoporous silica nanoparticles by the grafting of organic products: caffeic acid and maudecassic acid to show their biocompatibility.
The use of the cell line CaCO$_2$ in the cell viability test, and the test of measurement of oxidative stress shows the protective effect of the mesoporous silica nanoparticles.
**Keywords:** Nanoparticles, mesoporous silica, oxidative stress, cell viability test.
---
**PO-101**
**Track:** Nutraceuticals
**DEVELOPMENT OF STABILIZED MUCO ADHESIVE TABLETS FOR BUCCAL DELIVERY OF CURCUMIN**
**Maha M.A. Nasra, Heba M. Khiri, Ossama Y. Abdallah**
*Department of Pharmaceutics, Faculty of Pharmacy, Alexandria University, Alexandria, Egypt; E-mail: firstname.lastname@example.org*
Curcumin (cur), a natural compound elicit a spectrum of potent responses both locally and systemically. However its local effect in buccal conditions is largely hindered by its extremely limited water solubility, and its hydrolytic degradation at salivary pH. The aim of the present study was to develop buccal muco adhesive tablets of cur with accepted release and stability at salivary pH as well as to design a simple in vitro dissolution test ensuring its stability. Chemical stability in phosphate buffer saline(PBS) pH 6.8 was tested using a group
of stabilizers of which sodium lauryl sulfate (SLS) proved to be the most suitable. Different Muco adhesive tablets formulations were prepared by direct compression technique using a mixture of hydroxypropylmethylcellulose (HPMC)K15M and Carboxymethyl cellulose sodium (NaCMC) in different ratios with or without SLS as stabilizer, curcurs pure untreated drug or in the form of rapidly dissolving solid dispersion(SD) with PVP (Kollidon®25). Formulations were evaluated for muco adhesive strength, *in vivo* and *in vitro* residence time, release studies and clinical evaluation of the selected formulation. The best muco adhesive performance and *in vitro* sustained release profile (70% released over 12 hours) was exhibited by tablets containing HPMC K15M: CMC-sodium (5:1), SD (1:3) with 15 mg SLS. Saline solution (control) was significantly increased compared to undetectable concentration for pure curc due to poor solubility and SD without SLS due to hydrolytic degradation. Preliminary clinical study revealed an excellent anti-inflammatory and healing effect. Curc in this delivery system is an excellent candidate for local buccal delivery.
**PO-4**
**Track:** Anti-Cancer Drug Discovery & Therapy
**INVESTIGATION OF COMPOUNDS WITH CYTOTOXIC ACTIVITY IN CARICA PAPAYA LEAVES**
*Thao Nguyen*, Marie-Odile Parat, Mark P. Hodson, P. Nicholas Shaw and Amitha K. Hewavitharana
*School of Pharmacy, The University of Queensland, Brisbane, Australia; E-mail: email@example.com*
In traditional medicine, various parts of *Carica papaya* such as leaves, bark, roots, latex, fruits, flowers and seeds have been used for a wide range of therapeutic applications. *Carica papaya* leaves have been reported to possess healing capabilities against cancer in an increasing number of anecdotal reports. Therefore, we investigated the cytotoxic activities as well as the chromatographic profiles of different extracts from *Carica papaya* leaves in order to detect bioactive compounds with anticancer activities. Assessment of cell death using a validated MTT assay indicated that all studied extracts affected the viability of human oral squamous cell carcinoma (SCC25) cells. Ultra High Performance Liquid Chromatography-Quadrupole Time of Flight Mass Spectrometry was used to acquire chromatographic profiles and mass spectra with high mass accuracy and sensitivity. A list of the features found to be similar in all the extracts was explored to generate putative molecular formulae of potential therapeutic compounds. Further work, including confirmation via authentic standard comparison and tandem mass spectrometry, as well as cytotoxicity studies of pure compounds will confirm the identity and the therapeutic activities of the bioactive compounds in *Carica papaya* leaves.
**PO-68**
**Track:** Innovative Drug Discovery and Nanotechnology
**NEW ANTIOXIDANTS IN THERAPY OF NEURODEGENERATIVE DISEASES TESTED IN ANIMAL MODELS**
*Dolgaya Yu. F.*, Medvedeva A.V., Chernikova D.A., Domnina N.S., Savvateeva-Popova E.V., *Ekaterina Aleksandrovna Nikitina*
*Neurogenetics laboratory, Pavlov Institute of Physiology, St-Petersburg, Russia; E-mail: firstname.lastname@example.org*
Neurodegenerative diseases, accompanied by cognitive disturbances, i.e. gradual memory loss (dementia), are characterized by late onset, relentless progression, and finally death. Molecular-genetic studies of the human genome have emphasized the evolutionary conservation of homologous genes from different organisms. *Drosophila* mutants with phenotypes similar to neurodegenerative diseases accompanied by dementia might help to unravel the etiology of these polygenic disorders. Neurodegenerative diseases are characterized by altered content of the intermediates of the kynurenine pathway of tryptophan metabolism (KPTM). We developed *Drosophila* mutant model which reproduces main symptoms of neurodegenerative diseases. Mutant cardinal (cd, excess of 3-hydroxykynurenine, 3-HOK, and the generator of oxidative stress) can serve as model for dementia, since it is characterized by age-dependent memory loss, synaptic pathology, and Congo red positive inclusions. Here, we tested the
effects of a synthetic hybrid antioxidant conjugated to polyethylene glycol on the main disease manifestation - impairments in learning/memory. It is shown that this antioxidant possesses strongly expressed therapeutic action, normalizing defects of memory in the mutant after HS, and has no impact on memory formation at normal conditions. Therefore, the cd mutant may be regarded as an appropriate model for study of possibilities of antioxidant therapy for dementia-like diseases.
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**PO-91**
**Track:** HIV Research
**POTENTIAL DRUG-DRUG INTERACTIONS IN HIV-INFECTED CHILDREN ON ANTIRETROVIRAL THERAPY IN LAGOS, NIGERIA**
*Kazeem A. Oshikoya, Ibrahim A. Oreagba, Saheed Lawal, Olufunsho Awodele, Olayinka O. Ogunleye, Idowu O. Senbanjo, Sunday O. Olayemi, Veronica C. Ezeaka, Edamisan O. Temiye, Titilope A. Adeyemo, Oluranti Opanuga, Olufunmilayo A. Lesi and Sulaimon A. Akannu*
*Academic Division of Child Health, Medical School in Derby, University of Nottingham, Derby Royal Hospital, Uttoxeter Road, Derby DE22 3DT, United Kingdom; E-mail: email@example.com*
**Background:** Multi-therapy is common in HIV-infected children and the risk for clinically significant drug interactions (CSDIs) is high. We investigated the prevalence of CSDIs between antiretroviral (ARV) and co-prescribed drugs for children attending a large HIV clinic in Lagos, Nigeria.
**Methods:** The case files of paediatric patients receiving treatment at the HIV clinic of the Lagos University Teaching Hospital (LUTH), Idu-Araba, between January 2005 and December 2010 were reviewed. The ARV and co-prescribed drug pairs were evaluated for potential interactions using the Liverpool HIV Pharmacology Group website. The potential interactions were rated as A (no known interaction), B (minor/no action needed), C (moderate/monitor therapy), D (major/therapy modification), and X (contraindicated/avoid combination).
**Results:** Of the 310 cases reviewed, 208 (67.1%) patients were at risk of CSDIs. Artemisinin-based combination therapy (ACT) was prescribed for over one-half of the patients, accounting for 40% of the CSDIs. Excluding this drug class, the prevalence of CSDIs reduced from 67.1% to 18.7% in 58 patients. Most of the CSDIs (579; 97.2%) were moderately significant and frequently involved nevirapine and fluconazole (58; 9.7%), zidovudine and fluconazole (55; 9.2%), zidovudine and rifampicin (35; 5.9%), and nevirapine and prednisolone (31; 5.2%). Age ($P=0.392$), gender ($P=0.783$), and moderate ($P=0.632$) or severe ($P=0.755$) malnutrition were not associated with risk for CSDIs.
**Conclusions:** There is a tendency for CSDIs between ARV and co-prescribed drugs among the group of children evaluated in this study. Measures are necessary to prevent important drug interactions and to manage those that were unavoidable.
**Keywords:** HIV, infection, children, antiretroviral drug, co-prescribed drug, interactions.
---
**PO-127**
**Track:** Cardiovascular Drug Discovery & Therapy
**SOME ARGUMENTS IN FAVOR OF USING INHIBITORS OF FATTY ACID SYNTHESIS AND ANTI NEOPLASTIC AGENTS AS COATINGS FOR STENTS**
*Alexander N. Osipenko, Philipp N. Klishevich*
*Resource Center, A.A. Kuleshov Mogilev State University, Mogilev, Belarus; E-mail: firstname.lastname@example.org*
Our study has revealed significantly less difference in fatty acid (FA) composition between intact and atherosclerotic vessels, then between arterial wall and blood plasma (both in healthy people and in patients with coronary heart disease). FA composition of atheroma is also similar to FA ratio of intact artery wall. Herewith the FA ratio of atheroma differs substantially from blood plasma FA composition. It is concluded that most of atherosclerotic plaques FA were formed due to synthetic processes in smooth
muscle cells, and not as a result of their intake from blood plasma. In case of advanced atherosclerotic lesions in aorta, reduction in relative levels of stearic and arachidic saturated FA is observed in aortic wall, when compared with the saturated palmitic acid, what indicates increased activity of fatty acid synthase (FAS). It is shown that increased activity of FAS is always accompanied by the active proliferation of the tumor cells while an inhibition of the FAS leads to its cessation. Thus, we believe that an active search for new stent-coatings between antineoplastic agents, and between inhibitors of FA synthesis is required.
**Keywords:** Fatty acids, atherosclerotic plaques, antineoplastic agents, inhibitors of fatty acid synthesis.
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**PO-129**
**Track:** Bioactive Lipids
**POSSIBILITY OF APPLYING MEDICATIONS STIMULATING PEROXISOME PROLIFERATION IN TREATMENT OF MULTIPLE ORGAN DYSFUNCTION SYNDROMES**
**Alexander N. Osipenko**
*Resource Center AA, Kuleshov Mogilev State University, Mogilev, Belarus; E-mail: email@example.com*
Low level of plasmalogens is an important marker of peroxisomal dysfunction. The primary-OH group in glycerol plasmalogens was not substituted by the acyl group (fatty acid) as in diacylphospholipids but by the aldehydogenic alkanyl group (fatty aldehyde) found in the form of vinyl ether. Diacylphospholipids and plasmalogens participate in exchange of polyunsaturated fatty acids with a large number of double bonds, acting as an intermediate station, through which these fatty acids are transported to cell membranes. Our research of blood plasma samples from patients with multiple organ dysfunction syndromes (MODS) of different etiology has shown substantial decrease of fatty aldehyde level in comparison with level of fatty acid with multiple double bonds. This fact indicates a significant reduction in the proportion of plasmalogens to total phospholipid content. Thus, peroxisomal dysfunction may play an important role in development of critical conditions associated with MODS. In addition, peroxisome dysfunction may also explain the violation of detoxification processes, neurological disorders, the decline in plasma cholesterol level, and the decreased blood antioxidant capacity, which is also related to depression of catalase activity in severe conditions. Thus, the treatment of such patients may include administration of medications stimulating peroxisome proliferation.
**Keywords:** Plasmalogens, peroxisomal dysfunction, multiple organ dysfunction syndromes, medications stimulating peroxisome proliferation.
---
**PO-61**
**Track:** Drug Discovery from Natural Product
**ANALGESIC, ANTI-INFLAMMATORY AND HYPOTENSIVE EFFECTS OF SCHINUS MOLLE EXTRACT AND THE ISOLATION OF TWO TRITERPENOIDS**
**Amal Taylor, Ephraim Gwebu, Benedicta Nkeh-Chungag and Opeoluwa Oyedeji**
*Department of Chemistry, University of Fort Hare, Private Bag X1315, Alice, 5700, South Africa; E-mail: firstname.lastname@example.org*
*Schinus molle* seeds were subjected to sequential extraction. Dichloromethane extract of the seed of *Schinus molle* was tested for its analgesic, inflammatory and hypotensive potential based on folklore medicine. The analgesic effect of the mixtures was tested using the tail flick test which determined the pain threshold of female Sprague Dawley rats by measuring their tail flick response time to a painful stimulus. Anti-inflammatory properties of fractions and compounds were studied using the albumin-induced inflammatory model. Paw volumes were measured plethysmographically before and at predetermined intervals after injection of albumin. While hypotensive properties, the blood pressure of normotensive Sprague Dawley rats was measured non-invasively before and 2 hours after drug administration. Column chromatographic of the DCM fraction lead to the isolation of two compounds. FT-IR and NMR spectroscopy were used to establish the structures as isomasticadienonic acid and masticatrienonate, the latter being a previously undiscovered compound.
Comparison of untreated rats with treated rats with various DCM extract fractions were found to have lower blood pressure, reduced peak and shorter period of inflammation as well as an increased pain threshold. Rats treated with isomasticadiehemic acid also demonstrated an increased pain threshold compared to untreated rats. Pharmacological studies carried out with extracts and isolates from *Schinus molle* confirmed that this plant have, among others, hypotensive, anti-inflammatory and analgesic effects.
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**PO-98**
**Track:** Inflammation and Immunology
**PHARMACOLOGICAL STUDIES ON THE ANTI-INFLAMMATORY AND IMMUNOMODULATORY ROLE OF PHOSPHODIESTERASE-IV INHIBITOR (ROLIPRAM) IN OVALBUMIN-INDUCED ASTHMA IN RATS**
*Rishi Pal, S. Singh, R. Nath, R.K. Dixit and K.K. Pant*
*Pharmacology & Therapeutics, King George’s Medical University, Lucknow, India; E-mail: email@example.com*
**Objective:** To evaluate anti-inflammatory and immunomodulatory role of phosphodiesterase (PDE)-IV inhibitor (rolipram) in ovalbumin-induced asthma in rats.
**Method:** The study was conducted on Wistar rats (200-250 gm) 6 animals per group. All animals were immunized on day ‘0’ with 2 mg/kg ovalbumin (OVA) in Freund’s complete adjuvant and they were divided into experimental and control groups. From day 15 each animal was challenged with the antigen (OVA) aerosol by nabulization and subsequently rolipram treatment was done upto 21 days. On day 21, right paw was challenged with antigen and paw volume as marker of DTH reaction was obtained after 24 hr. for each group. On day 22, serum samples and mesenteries were collected for the analysis of a) IgE levels b) inflammatory cytokine (TNF-α) levels c) anti-inflammatory (IL-4) cytokine levels and d) mast cell degranulation respectively. All the data were analysed by one-way ANOVA and p<0.05 was considered as level of significance.
**Results:** The present studies showed the anti-inflammatory and immunomodulatory effects of rolipram on ovalbumin-induced asthma in rats. Pretreatment with rolipram (0.5 mg/kg) significantly (p<0.05) decreased ovalbumin-induced elevated levels of (a) paw volume (b) IgE antibody titre (c) TNF-α cytokine levels and (d) number of mesentric mast cell degranulation and significant reversal of increased anti-inflammatory (IL-4) cytokine levels as compared to non treated control group. Rolipram at higher doses (1 mg/kg and 2 mg/kg) further, significantly reversed antigen-induced these immunological markers (p<0.001).
**Conclusion:** Results of the present studies suggests anti-inflammatory and immunomodulatory role of rolipram, a specific phosphodiesterase (PDE)-IV inhibitor in ovalbumin-induced asthma. The protective mechanisms of rolipram in asthma may be mediated through regulation of transcription factors and anti-inflammatory & immunomodulatory cytokine networks. Rolipram needs further molecular pharmacological studies to explain its protective mechanisms in immunological disorders.
**Keywords:** Inflammation, Cytokine, Asthma, Phosphodiesterase, Rolipram.
---
**PO-76**
**Track:** Women's Health Drug Discovery and Therapy
**FORMULATION AND INVESTIGATION OF NEW VAGINAL DOUBLE LAYER SUPPOSITORIES CONTAINING LACTOBACILLI AND HERBAL EXTRACTS FOR TREATMENT AND PROPHYLAXIS OF VAGINOSIS**
*M.M. Pashayan and H.G. Hovhannisyan*
*Department of Drug Technology, Yerevan State Medical University, Yerevan, Armenia; E-mail: firstname.lastname@example.org*
The objective of this study is to develop vaginal double layer suppositories, containing probiotics in core and antibacterial drugs in outer layer for simultaneously treatment of bacterial vaginosis and recolonization vagina by lactobacilli. The suppositories are specially designated in a way, that the
herbal extract releases from outer layer and beginning act on pathogen microorganisms, then lyophilized lactobacilli released from the core, and while they revitalized the concentration of drug reduced above MIC not able to kill lactobacilli. Four kinds of double layer vaginal suppositories containing lyophilized *L. delbrueckii* MH-10 in core and dried extract of *Achillea millefolium* (Yarrow) in outer layer have been prepared by use two different sized specially designed metallic molds. The release kinetic of lactobacilli and herbal extract from different bases were determined by rotating basket dissolution method and agar diffusion method respectively. The highest release of herbal extract observed from Witepsol H-15, although Oleum Cacao is melted rapidly, but drug release is not completely. Novata ABPH base gave the highest release of *L. delbrueckii* MH-10 and was microbiological stable after storage at 2-8°C over the period of 12 months.
**Keywords:** Vaginosis, probiotic lactobacilli, herbal extract, double layer suppository.
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**PO-121**
**EFFECT OF AQUEOUS EXTRACT OF *THYMUS VULGARIS* ON SERUM LIPID PROFILE AND LIVER FUNCTION TESTS IN RATS UNDER NATURAL CONDITION OF HYPERLIPIDEMIA**
**Pouriafar M., Badiee, K., Zolghadri, Y., Goroohi, Z., Namvaran Abbas Abad, A., khonsha, A.**
*Department of Clinical Studies, School of Veterinary Medicine, Shiraz University, Shiraz, Iran; E-mail: email@example.com*
*Thymus vulgaris* is a species of flowering plant native to Iran. It is also the main source of thyme as an ingredient in cooking and as an herbal medicine. The aim of this study was to evaluate the effect of aqueous solution of thyme on lipid profile, under natural condition of hyperlipidemia in rats. Fifteen rats were allocated into five equal groups. The treatments were as follows: Group 1; normal diet, group 2; high fat diet, group 3; aqueous solution of thyme via an oral gavage along with high fat diet, group 4; normal diet in combination with aqueous solution of thyme and the last group; high fat diet in combination with atorvastatin (4 mg/kg). At the end all the rats were bled and serum was separated. Results showed that aqueous solution of thyme had a lowering effect on serum lipid profile. This effect was comparable to that of atorvastatin group. It was also revealed that aqueous solution of thyme had beneficial effect on liver function test. As it is stated that atorvastatin has some detrimental effects on liver function, it seems that thyme could be a potential alternative substitute for chemical drugs.
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**PO-122**
**SERUM LIPID PROFILE IN RATS FED NORMAL AND FAT RICH DIET FOLLOWING ADMINISTRATION OF AQUEOUS EXTRACT OF *PORTULACA OLERACEA***
**Pouriafar M., Badiee, K., Zolghadri, Y., Goroohi, Z., Namvaran Abbas Abad, A., khonsha, A.**
*Department of Clinical Studies, School of Veterinary Medicine, Shiraz University, Shiraz, Iran; E-mail: firstname.lastname@example.org*
*Portulaca Oleracea*, also known as Pigweed, is found on every populated continent and is one of the eight most common plants in the world. Much research has been done on this wondrous plant and yet its benefits are relatively unknown to the average individual. The purpose of the experiment was to investigate the effect of administration of aqueous extract of *Portulaca oleracea* in rats fed fat rich diet. To carry out the study, fifteen rats underwent the experiment in five equal groups. Different groups comprising: group 1; normal diet, group 2; high fat diet, group 3; aqueous solution of *portulaca oleracea* along with high fat diet, group 4; normal diet in combination with aqueous solution of *portulaca oleracea* and group 5; high fat diet along with *atorvastatin* (4 mg/kg). After the end of the experiments, all rats were anesthetized and bled. Results showed that there was no significant difference between the *atorvastatin* and aqueous solution of *portulaca oleracea* groups in regard to lipid profile. It could be stated that the medicinal benefits of the *portulaca oleracea* should become conventional knowledge, allowing *purslane* to be utilized more often.
SYNTHESIS AND ANALGESIC ACTIVITY OF SOME N-SUBSTITUTED-PHTHALIMIDE ANALOGS
Omran Fhidi, Naser Rajeb, Shapan Aljali, Esra Alnnas, Yousra Haroon, Majda Zitouni, Wafa Sdera
Medicinal and Pharmaceutical Chemistry, University of Tripoli, Tripoli, Libya; E-mail: email@example.com
Signaling molecules produced in the vicinity of the damaged tissues usually cause the inflammation process. To control pain due to inflammation, analgesic drugs are administered, which can be classified as narcotic, when acting on the central nervous system, and non-narcotic or peripheral, when acting directly on the damaged tissue [1]. Peripheral analgesics are drugs that, independent of their mode of action, show a therapeutic effect by suppressing the production of prostaglandins, which are lipids responsible for inflammation and pain. Non-steroidal anti-inflammatory drugs (NSAIDs) [2]. A series of N-substituted-phthalimides were synthesized for the purpose of determining the analgesic activity. The compounds were synthesized using phthalic anhydride and various appropriate amines in microwave and reflux synthesizer.
The structures of the synthesized derivatives were confirmed by means of physical and spectral analysis. The analgesic activity of the selected compounds was evaluated by ip carboxymethylcellulose and acetic acid-induced 'writhing' test in mice. It was found that these compounds 2-7 have much better activity than the carboxymethylcellulose and aspirin.
REFERENCES
[1] A. Korolkovas, J.H. Burckhater, Quimica Farmaceutica-Utica, Guanabara Koogan, Rio de Janeiro, 1988, pp. 159-217.
[2] S.H. Ferreira, Nat. New Biol. 240 (1972) 200.
PO-17
Track: Drug Discovery in Preclinical Research
A SENSITIVE AND RAPID METHODOLOGICAL DEVELOPMENT FOR STERILITY TESTING BY MICROCALORIMETRY COUPLED WITH FULL-ENCLOSED FILTRATION-CULTURE AMPOULE SYSTEM
Yong-Shen Ren, Dan Yan, Ping Zhang, Zhi-Nan Mei, Xiao-He Xiao
College of Pharmacy, South-Central University for Nationalities, Wuhan, P.R. China; E-mail: firstname.lastname@example.org
Sterility test is one of the routine inspection item for security guarantee of aseptic preparation, but the routine observation method for sterility test is time-consuming, low sensitivity and prone to miscarriage. In this study, microcalorimetry with a modified full-enclosed membrane filtration-culture ampoule system was applied as a alternative method for sterility; meanwhile, positive detection time ($T_d$) was defined as $P_d/P_0 \geq 3$ when $k \geq 0$ (growth rate of exponential period). *Staphylococcus aureus*, *Pseudomonas aeruginosa*, *Escherichia coli*, *Bacillus subtilis*, *Clostridium sporogenes* and *Candida albicans* were serial 10-fold diluted and cultured to determinate the accurate detection limits of microcalorimetry method; meanwhile, routine observation method was adopted as comparison. The results showed that most stains could be detected within 24 hours with the detection limit even less than 1 colony-forming unit (CFU) by microcalorimetry, which was more sensitive and faster when compared with routine observation method. The thermogenic power-time curves were species-specific, the curve shape, peak time and maximum power were stable, which could be used for bacteria contaminant identification. The sterility test based on microcalorimetry with modified culture system was high sensitivity, low time consumption, and quantitative with fingerprinting compared with routine observation method, could be widely applied in sterility testing of drugs, feed and surgical instrument.
Keywords: Sterility Test, Microcalorimetry, Detection Time, Sensitivity.
**PO-38**
**Track:** Anti-Infectives
**THE EVALUATION OF THE ANTIBACTERIAL AND ANTIFUNGAL ACTIVITY OF THE EXTRACTS OF IN VITRO LAWSONIA INERMIS**
**Goudjil Rima, Mahiaoui Houda, Kalla Adel, Cheighem Ikbe, Yahia Mouloud**
*Department of Biology, Faculty of Science, University of EL HADJ LAKHDAR, Batna, Algeria; E-mail: email@example.com*
Lawsonia inermis Linn, known under the name of “henna” is used as cosmetic product and for her medicinal virtues in particular in the treatment (processing) of the dermatophytiques and infectious diseases. Our work screw to be studied the antibacterial, antioxidant activities by DPPH of the polar extracts of the air part (party) of this plant, the latter were obtained by maceration. Nine bacterial strains namely: *E. coli*, *Enterobacter cancerogenus*, *Salmonella typhimurium*, *Staphylococcus aureus* MeCA +, *Staphylococcus aureus* Mu50, *Acinetobacter baumannii*, *Pseudomonas aeruginosa*, *Bacillus polymyxa*, and SARM, were selected to be tested by the method of distribution(broadcasting) in solid environment(middle). Contains extracts gave very convincing results(profits) to pour both activities as extract of ethyl acetate with resistant origins(stumps) in antibiotics.
**Keywords:** Lawsonia inermis, antibacterien activity, anti-oxydante activity.
---
**PO-113**
**Track:** Anti-Infectives
**LEISHMANICIDAL ACTIVITY CONFIRMED FOR DRUGS SELECTED BY BIOINFORMATIC: A SECOND USE FOR OLD DRUGS**
**Carol V. Mesa, Gustavo A. Blandon, Rodrigo A. Ochoa, Diana L. Muñoz, Adriana M. Restrepo, Alejandro Daza; Carlos Muskus; Ivan D. Velez, Sara M. Robledo**
*PECET, Medical Research Institute, University of Antioquia and CIDEPRO, Medellin, Colombia; E-mail: firstname.lastname@example.org*
Few drugs are available to treat cutaneous leishmaniasis (CL) and although effective they have important concerns regarding to their toxicity, way of administration and cost. Bioinformatic represents a useful tool that allows a fast and effective way to identify new drugs with potential anti-leishmanial activity. Drugs exhibiting different properties such anti-inflammatory or wound healing were identified by bioinformatic and then evaluated in vitro for their cytotoxicity and anti-leishmanial activities. The therapeutic response was also determined using the hamster model for CL. The in vitro activity against intracellular amastigotes of *L. panamensis* was confirmed in several of the tested compounds and even some of them were able to produce cure or clinical improvement of hamsters with CL. Results suggest that modifying the therapeutic scheme or the pharmaceutical formulation the therapeutic response could be optimized. The results also confirm that bioinformatic is a promising methodology to identify effective potential drugs with anti-leishmanial activity yielding reliable results in short time.
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**PO-92**
**Track:** Hot Topics in Medicinal Chemistry
**NOVEL QUINAZOLINE DERIVATIVES AS CELL-CYCLE INHIBITORS OF BREAST CANCER CELL LINES: DESIGN, SYNTHESIS, AND MOLECULAR MODELLING STUDIES**
**Awwad A. Radwan Salama*, Fares K. Alnazi, A. Al-Dhfyan**
*College of Pharmacy, King Saud University, Riyadh, Saudi Arabia; E-mail: email@example.com*
Quinazolinones with fused heterocyclic structures including triazolo[4,3-a]quinazolin-7-ones (3), [1, 2, 4, 5]-tetrazino [4,3-a]-quinazolin-8-ones (5) and Schiff’s bases of isatin derivatives with 2-hydrazinoquinazolin-4-ones (7) have been synthesized. Biological evaluation of these compounds showed variable and significant in vitro antiproliferative activity against the MCF-7 cells. Compounds 3a-3c, 6, 7a-7f showed promising activity (IC50 = 12.45-15.79 µM). Compound 7f
possessed notable cell cycle disrupting and apoptotic activities with enhanced selectivity against cancer cells, suggesting the potential for the development of new selective cell cycle inhibitors. In silico docking study of the compound 7f with EGFR enzyme postulated that the designed compound might act on the same enzyme target where DJK_3021_A x-ray structure acted.
**Keywords:** Anticancer, Quinazolines, Synthesis, Molecular modelling.
---
**PO-62**
**Track:** Drug Discovery in Preclinical Research
**HYPOGLYCEMIC PROPERTY OF GINGER AND GREEN TEA AND THEIR POSSIBLE MECHANISMS IN DIABETES, REVIEW ARTICLE**
**Khulood Saadoon Salim**
*Department of Clinical Pharmacy and Therapeutics, Faculty of Pharmacy, Applied Science University, Amman, Jordan; E-mail: firstname.lastname@example.org*
Diabetes mellitus disease is increasing rapidly and the incidence in 2010 was about 285 million people worldwide, and is projected to increase to 438 million in 2030. The conventionally used drugs possess many side effects, in addition, the cost of modern antidiabetic drugs is beyond the reach of most people with low income, and hence the need for alternatives that are effective, cheap, and safe is very common.
Plants and many plant derived preparations have long been used as traditional remedies for the treatment of diabetes in many parts of the world. Recently, ginger (*Zingiber officinale*) and green tea (*Camellia sinensis*) have been widely studied to assess their beneficial effects in treatment and prevention of diabetes mellitus. *In vitro* and *In vivo* studies evidenced the potential of ginger and green tea to normalize blood glucose level in diabetes mellitus. In this article we reviewed the various mechanisms through which ginger and green tea exert their hypoglycemic effect; their pharmacokinetics and safety are also discussed. Our study showed that ginger and green tea share some mechanisms of action to reduce blood glucose level in diabetes mellitus and several studies exhibited their safety as complementary antidiabetic agent, therefore, a study on the administration of these two herbs simultaneously may be needed as they may exhibit a potential hypoglycemic action due to their synergistic or additive mechanisms of action in diabetes mellitus.
**Keywords:** Ginger, Green tea, hypoglycemic action.
---
**PO-21**
**Track:** Chemistry (Asymmetric Synthesis)
**STEREOSELECTIVE SYNTHESIS OF HETEROCYCLES AND CARBOCYCLES USING DIANION CHEMISTRY / DOMINO REACTION**
**Sauvik Samanta and Manas K. Ghorai**
*Department of Chemistry, Indian Institute of Technology, Kanpur, Uttar Pradesh, India; E-mail: email@example.com, firstname.lastname@example.org*
Heterocycles (especially aza- and oxa-cycles) and Carbocycles are very important subunits found in various natural products and bioactive molecules. Diverse reactivity pattern of ethyl acetoacetate and acetone produces a wide verity functionalized heterocycle and carbocycle derivatives. We have developed a new strategy for the stereoselective synthesis of substituted azetidines, piperidines and pyrones via the regioselective addition of 1,3-dicarbonyl dianion of ethyl acetoacetate to N-activated imines and aldehydes/ketones. A stereoselective synthesis of 5-substituted-3-methyl-cyclohex-2-en-1-ones has been developed via a secondary amine catalyzed five steps domino reaction for the starting from acetone and aromatic aldehydes.
REFERENCES
[1] M. K. Ghorai, S. Samanta, S. Das, *Asian J. Org. Chem.* 2013, submitted.
[2] M. K. Ghorai, S. Halder, S. Samanta, *Aus. J. Chem.* 2012, 65, 1262-1270.
[3] M. K. Ghorai, A. Kumar, S. Halder, *Tetrahedron* 2007, 63, 4779-4787.
---
**PO-63**
**Track:** Drug Discovery in Preclinical Research
**ADVANCES AND APPLICATIONS FOR POSITRON EMISSION TOMOGRAPHY - MAGNETIC RESONANCE HYBRID IMAGING**
*Krisztián Szigeti, Dániel Sándor Veres, Noémi Kovács, Ildikó Horváth, Domokos Máthé, Mariann Semjeni*
*CROmed Research, Service Centers Ltd., Budapest, Hungary; E-mail: email@example.com*
Combined PET/MRI imaging systems operating either sequentially or in simultaneous measurement modes made possible the readout of several disease features in the same imaging session with good anatomic localization. The synergy of the two methods improves quality of information of some important physiologic and pathologic processes such as brain activation or tissue blood perfusion and receptor expression. PET/MRI validates pharmacokinetic and physiologic measurements by using two methods for the same readout. When combined with the application of dual contrast agents, improved increased throughput and increased signal levels are achieved such as in PET/MRI reading out the immune system. Novel probes with dual readout enable to image heterogeneity data in tumours combining advantages of both MRI and PET. Chemical Shift Imaging (CSI) with hyperpolarized compounds and metabolic PET offer pivotal understanding of *in vivo* changes in many pathologies of the cardiovascular and central nervous system. Smart remote sensing of tissue characteristics is made possible by the use of special PET/MRI reporter systems such as dual-modality nanoparticles with relaxivity changes in function of tissue properties or enzyme activity.
**Keywords:** PET, MRI, Dual-modality.
---
**PO-1**
**Track:** Academic CRO /Industrial collaborations in Drug Discovery
**HIGH-THROUGHPUT HOMOGENOUS TIME RESOLVED – FLUORESCENCE RESONANCE ENERGY TRANSFER COMPETITIVE BINDING ASSAY FOR SECRETIN RECEPTOR (CLASS B – GPCR)**
*Vijayalakshmi Senthil, Jerome Leprince, David Vaudry and Billy K.C. Chow*
*School of Biological Science, The University of Hong Kong, Kowloon, Hong Kong; E-mail: firstname.lastname@example.org*
Human secretin (Class-B GPCR ligand) is involved in various physiological functions in energy and water homeostasis making secretin receptor a promising target for drug research. For GPCRs,
radioligands are used in the conventional binding assay to characterize and establish the binding affinity of the ligands. An alternative non-hazardous fluorescence labeled binding assay is lucrative over the radioligand assays. Here we have developed a FRET (Fluorescence Resonance Energy Transfer) competitive binding assay for human secretin receptor.
The receptor gene sequence is cloned in SNAP tag-plasmid and expressed in CHO-K1 cells. Its expression in the plasma membrane is confirmed with immunofluorescence localization. The receptor and the ligand are labeled with fluorescent donor (Tb) and acceptor (Alexa488). FRET signals are produced when the labeled ligand is bound to the receptor and the signals drop when it is displaced by the test compounds. The saturation concentration of the donor receptor-labeling is identified as 100 nM. The Kd value of fluorescent ligand at donor saturation point is determined as 500 nM. At these fixed labeled ligand and receptor concentration, the IC50 of unlabeled secretin is $1.69 \pm 1.28 \times 10^{-6}$ M. GIP, GLU, VIP and PACAP are screened and hold good correlation with the traditional radio-ligand assay. Therefore, this FRET binding assay can be efficiently used as a primary screening tool for peptide analogs to identify potential agonist and/or antagonist in the future.
**PO-55**
**COMPUTATIONAL STUDIES OF STRUCTURAL AND ELECTRONIC PROPERTIES THROUGH DENSITY FUNCTIONAL THEORY(DFT), NATURAL BOND ORBITAL, AND ENERGIES FOR THE 2,15-DIOXA-7,18,19,20,23-PENTAAZAHEPTACYCLO[22.214.171.124,20.01,8.03,7.09,14.024,29]HENTRIACONTA-9,11,13,17(31),18,24,26,28-OCTAEN-30-ONE**
**Shiva Shahbazi and Shahriar Ghammamy**
*Department of Chemistry, Faculty of Science, Imam Khomeini International, Qazvin, Iran; E-mail: email@example.com*
In this paper, the molecular structure, chemical formula, and electronic properties of 2,15-Dioxa-7,18,19,20,23-pentaazaheptacyclo[126.96.36.199,20.01,8.03,7.09,14.024,29]hentriaconta-9,11,13,17(31),18,24,26,28-octaen-30-one were calculated by the B3LYP density functional model using 6-31G, 6-311G, 6-311G++ and 6-311++(d, p) basis sets for this molecule. B3LYP calculation results indicated some selected bond length and bond angle values for this molecule. The optimized geometries and frequencies of the stationary point and the minimum-energy paths of this structure were recognized. The obtained results were compared with the corresponding experimental data. Trustworthiness of this results is confirmed by good agreement with the experimental analyzes of this structure. The results obtained by different basis sets are compared and the necessity of correlational methods for studying these systems is discussed. Pyrrole constitute an important class of five-membered ring heterocycles with notable biological properties. [1, 3] such as antitumour, [1] analgesic, [2, 3] antidepressant, [4] antihistaminic [5], anti-inflammatory [6], and anti-parkinson [7, 8]. Furthermore, they are useful structures in the synthesis of natural products and heterocycles and are also extensively used in material science. Consequently, the massive numbers of procedures have been developed for the construction of pyroles in the literature. The well-known occurrence of substituted pyrrole shape amongst biologically important natural products and pharmaceuticals has stimulated great interest in its synthetic methods [9]. The program Gaussian 03/DFT10 was employed to fully optimize the geometries without any symmetry limitations at the restricted Hartree-Fock (RHF) [11] with the standard basis sets, 6-31G, 6-311G++, LANL2DZ, 6-311++(G(d, p).
**Keywords:** Electronic structure, Density functional theory (DFT) Calculations, Vibrational analysis, B3LYP level, Natural bond orbital (NBO).
REFERENCES
[1] Lerchner, A.; Carreira, E. M. J. Am. Chem. Soc. 2002, 124, 14826.
[2] Batterman, R. C.; Mountcastle, G. J.; Kaufmann, L. Am. J. Med. Sci. 1964, 277, 62.
[3] Bolling, R. W.; Tabor, R. C.; Weisberg, K. J. Am. Geriatr. Soc. 1964, 12, 379.
[4] Kueh, A. J.; Maricic, P. J.; Wynne, P. M.; Viner, H. J. Chromatogr. A 2003, 109, 1000.
[5] Hartel, W.; Schulke, K. Med. Klin. 1966, 61, 552.
[6] van Cantfort, J.; de Graeve, J.; Puzzo, C. Xenobiotica 1989, 19, 11.
[7] Katayama, S.; Ishizaki, F.; Yamamura, Y.; Khoriyama, T.; Kito, S. Res. Commun. Chem. Pathol. Pharmacol. 1990, 69, 261.
[8] Hitomi, S.; Kusunoki, S.; Fujimaki, K.; Ito, N.; Sugiura, T.; Ota, S. Arzneim. Forsch. 1972, 22, 953.
[9] Song, C. E.; Koh, E. J.; Yu, B. M.; Chi, D. J.; Kim, S. C.; Lee, K.-J. Chem. Commun. 2000, 615, 24. W. J. Here, L. Radom, J.A. Pople, and P.v. R. Schleyer, Ab Initio Molecular Orbital Theory (Wiley, New York 1986).
[10] W. J. Here, L. Radom, J.A. Pople, and P.v. R. Schleyer, Ab Initio Molecular Orbital Theory (Wiley, New York 1986).
PO-52
STUDIES ON THE DEGREE OF ENHANCEMENT OF ACTIVITY OF AMOXYCILLIN BY CLAVULANTE AT VARIOUS RATIOS ON SOME INFECTIOUS BACTERIA
H.B. Sharif, D.W. Taura, Sadisu, F.U., Ismaila, A. and Binta, U.B.
Department of Applied Science, Kaduna Polytechnic, Kaduna, Nigeria; E-mail: firstname.lastname@example.org
The study was carried out with the aim of assessing the effect of increasing ratio of amoxicillin with Augment in against clinical isolates of *Staphylococcus aureus*, *E. coli*, *Klebsiella* spp. Disc diffusion susceptibility test results indicate that 4:1 preparations are more effective against the clinical isolates with mean zone diameter of 23mm, 17.6mm and 16.2mm for *S. aureus*, *E. coli* and *K.* spp respectively, followed by 2:1 with mean zone diameter of 19.4mm, 13.4mm and 11.4mm for *S. aureus*, *E. coli* and *K.* spp respectively, followed by the rest of the preparations i.e. 6:1, 8:1, 10:1. The susceptibility of 4:1 decreases from 80%, 60%, 40% for *S. aureus*, *E. coli* and *Klebsiella* Spp. The result of the Statistical analysis indicates that there was a highly significant difference between 4:1 and the rest of the preparations against *S. aureus*, and *E. coli* but there was no significant difference between the preparations against *Klebsiella* Species.
Keywords: Effects, Increasing ratio, Amoxicillin, Augment in, Bacterial Isolate.
PO-71
Track: In-silico Drug Design and In-silico Screening
MODELING ACETYLCHOLINESTERASE INHIBITOR MOLECULES DERIVED FROM CARDOL
Geraldo Magela e Silva, Alessandra S. Kiametis, Luiz A.S. Romeiro, Nadia M. Borges, Mônica A. Silva, João B.L. Martins
Institute of Physics, University of Brasília, Brasília, Brazil; E-mail: email@example.com
Alzheimer’s disease is the leading cause of dementia for elderly people. The main active therapeutics is supported on increasing levels of acetylcholine in the synaptic cleft based on reversible inhibition of the acetylcholinesterase (AChE) enzyme. The aim of this work is to study new cardol derivatives, using density functional theory (DFT) to obtain electronic structure descriptors. DFT has been largely used in several works in the literature for pharmaco-receptor modeling. These descriptors are used in a principal component analysis to determine a small set of most favorable structures to act as AChE inhibitors. These electronic properties are obtained through B3LYP/6-311+G (2d, p) calculation level. Principal component analysis reveals that from the set of studied molecular structures a small group is correlated with donepezil, a drug with known biological activity. The analysis predicted a possible activity of these compounds as inhibitors of acetylcholinesterase. The mode of binding between the receptor and the studied molecules was found to be a hydrogen bonding involving acyl pocket and the pi stacking with the anionic peripheric site.
UMBILICAL CORD BLOOD CELLS (HUCBC) ADMINISTRATION IS EFFECTIVE IN SEVERE SPINAL CORD INJURY IN RATS
Ryabov S.I., Grin A.A., Chehonin V.P., Smirnov V.A., Zvyagintseva M.A., Pavlovich E.R., Prosvirnin A. and Smirnov V.N.
Laboratory of Stem Cells, Institute of Experimental Cardiology, National Cardiology research Center, Moscow, Russia; E-mail: firstname.lastname@example.org
Restoration of spinal cord function after damage is one of the important problems that may be solved by methods of regenerative medicine, in particular, by cell therapy. The aim of this study was to evaluate the effectiveness of intravenous HUCBC administration after spinal cord injury.
Methods: Severe spinal cord contusion injury in rats was performed by "weight drop" after laminectomy at the level of T8/9. $10^5$ cells per animal were injected into tail vein at 1st or 5th day after contusion. Visualization of the spinal cord injury was performed by MRI and anatomical and histological techniques. Recovery of motor function of the hind limbs was monitored using functional tests including "Rota-rod", "Narrow-beam test" and "Open field". Tests were performed weekly for 8 weeks starting from 1st day after contusion.
Results: Animals were divided into five groups: 1st – trauma + self-healing; 2nd – injury + injection of HUCBC on 1st day after injury; 3rd – injury + injection of HUCBC on 5th day after injury; 4th – only laminectomy; 5th – laminectomy + HUCBC injection. Changes in locomotion of the hind limbs in 4th and 5th groups were absent. In groups 1, 2 and 3, there was a strong hind limb paraplegia. Self-recovery of motor function of hind limbs was observed 4-5 weeks after injury and the level of recovery in "Open field" test was 4-5 points on BBB scale. Restoration of motor activity in groups 2 and 3 was registered after same period following injury, but its level on a BBB scale was 6-7 points. Significant differences in effect between 1st and 5th day after infusion were not detected.
Conclusion. The results demonstrate that one intravenous injection of HUCBC on 1st and/or 5th day after severe spinal cord injury can improve recovery of spinal cord related to locomotion of hind limbs. Therapeutic effect (p <0.05) after HUCBC injection to rats with severe spinal cord injury was 14-16%.
Keywords: Spinal cord injury, cord blood cells.
EFFECT OF BISPHENOL A AND PASSIVE AVOIDANCE LEARNING ON DOPAMINE D₁ RECEPTOR DISTRIBUTION IN ANTERIOR STRIATUM OF PREFRONTAL CORTEX OF MALE RAT
Taherianfard M. and Broomand S.
Department of Physiology, School of Vet Med, Shiraz University, Shiraz, Iran; E-mail: email@example.com
Introduction: Bisphenol A (BPA) used to make certain plastics and epoxy resins; it has been in commercial use since 1957. In November 2009, the WHO announced it would organize an expert consultation in 2010 to assess low dose BPA exposure health effects, focusing on the nervous and behavioral system and exposure to young children. The aim of present study was to investigate: 1- The effect of BPA on D₁ subunit of dopamine receptor distribution in anterior
**PO-80**
**EFFECT OF BISPHENOL A AND PASSIVE AVOIDANCE LEARNING ON D1 SUBUNIT OF DOPAMINE RECEPTOR DISTRIBUTION IN ANTERIOR STRIATUM OF PREFRONTAL CORTEX OF MALE RATS**
**Taherianfard M. and Broomand S.**
*Department of Physiology, School of Vet Med, Shiraz University, Shiraz, Iran; E-mail: firstname.lastname@example.org*
**Introduction:** Bisphenol A (BPA) is a chemical produced in large quantities for use primarily in the production of polycarbonate plastics and epoxy resins. On the other hand BPA induces harmful effects on the mammalian CNS. The aim of present study was to investigate: 1- The effect of BPA on 5HT2α subunit of serotonin receptor distribution in anterior cingulate cortex of prefrontal cortex 2- The effect of BPA and Passive avoidance learning on 5HT2α subunit of serotonin receptor distribution in anterior cingulate cortex of prefrontal cortex of male rats.
**Methods:** Thirty five male rats weighting 220–300 g were used. Animals were divided into 3 groups: 1- Sham group (sesame oil the same volume of experimental with learning and non learning); 2- experimental 1 (received BPA 5 and 50 mg/kg/day without learning); 3- experimental 2 (received BPA 5 and 50 mg/kg/day with learning). BPA was used by oral intake for 15 days. Learning and memory were performed by a passive avoidance shuttle-box. Distribution of D1 subunit of dopamine receptor was investigated by immunohistochemical procedure. For determination of color difference the software of Image Analyzer were used. Data was analyzed by student T-test and one ways ANOVA measuring and Tucky’s test as post-hoc tests. The level of significant was P< 0.05.
**Results:** Datas showed in this present study that BPA in two dose decrease significantly effect in two doses and both groups distribution of D1 subunit of dopamine receptor in anterior striatum of prefrontal cortex of male rats.
**Conclusion:** According to these results BPA had negative effect on distribution of D1subunit of dopamine receptor in anterior striatum of prefrontal cortex of male rats.
**Keywords:** BPA, Passive avoidance learning, prefrontal cortex, D1 subunit of dopamine receptor, Male rats.
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**PO-81**
**EFFECT OF BISPHENOL A AND PASSIVE AVOIDANCE LEARNING ON SEROTONIN D1 RECEPTOR DISTRIBUTION IN ANTERIOR CINGULATE CORTEX OF PREFRONTAL CORTEX OF MALE RAT**
**Taherianfard M. and Broomand S.**
*Department of Physiology, School of Vet Med, Shiraz University, Shiraz, Iran; E-mail: email@example.com*
**Introduction:** Bisphenol A (BPA) is a chemical produced in large quantities for use primarily in the production of polycarbonate plastics and epoxy resins. On the other hand BPA induces harmful effects on the mammalian CNS. The aim of present study was to investigate: 1- The effect of BPA on 5HT2α subunit of serotonin receptor distribution in anterior cingulate cortex of prefrontal cortex 2- The effect of BPA and Passive avoidance learning on 5HT2α subunit of serotonin receptor distribution in anterior cingulate cortex of prefrontal cortex of male rats.
**Methods:** Thirty five male rats weighting 220–300 g were used. Animals were divided into 3 groups: 1- Sham group (sesame oil the same volume of experimental with learning and non learning); 2- experimental 1 (received BPA 5 and 50 mg/kg/day without learning); 3- experimental 2 (received BPA 5 and 50 mg/kg/day with learning). BPA was used by oral intake for 15 days. Learning and memory were performed by a passive avoidance shuttle-box. Distribution of 5HT2α subunit of serotonin receptor was investigated by immunohistochemical procedure. For determination of color difference the software of Image Analyzer were used. Data was analyzed by student T-test and one ways ANOVA measuring and Tucky’s test as post-hoc tests. The level of significant was P< 0.05.
**Results:** Data according to image analyzer program showed that BPA in two dose of present study significantly decreased but in learning groups in high dose significantly decreased distribution of 5HT2α subunit of serotonin receptor in anterior cingulate cortex of prefrontal cortex of male rats.
**Conclusion:** According to these results BPA had negative effect on distribution of 5HT2α subunit of serotonin receptor in prefrontal cortex of male rats.
**Keywords:** BPA, passive avoidance learning, shuttle-box, prefrontal cortex Immunohistochemistry, 5HT2α subunit of serotonin receptor, male rats.
**PO-50**
**EVALUATION OF ANTIFUNGAL SUSCEPTIBILITY PROFILE OF CANDIDA SPECIES ISOLATED FROM FEMALE PATIENTS ATTENDING AMINU KANO TEACHING HOSPITAL (AKTH)**
*Taura, D.W., Yakubu, G., Ismaila, A., Sadius, F.U. and Adamu, A.S.*
*Department of Microbiology, Bayero University, Kano. P. M. B. 3011. Kano, Nigeria; E-mail: firstname.lastname@example.org*
*Candida* as a cause of sexually transmitted disease. No other mycotic pathogen produces as diverse a spectrum of opportunistic disease in humans as does *Candida*. The study was aimed at the evaluating the antifungal susceptibility profile of Candida species isolated from female patients attending Aminu Kano Teaching Hospital (AKTH) with suspected *Candida* infections. Five hundred and twenty one (521) clinical samples comprising 342 urine and 179 hvs between October, 2012 to August, 2013 were cultured on sabouraud dextrose agar. The *Candida species* isolated were identified to species level using Chromogenic agar and API 20 C AUX test kit. Antifungal susceptibility tests were performed using commercially prepared single antifungal disc (Bioanalyzed Turkey). Out of these 521 samples analyzed only 59 yielded *Candida species*, giving the overall prevalence of 11.3% with Candida *albicans* 22 (37.3%) as the most common species, followed by *C. glabrata* 19(32.2%), *C. tropicalis* 8(8.5%), *C. krusei* 5(8.1%), *C. magnoliae* 3(5.1%), *C. lusitaniae* 2(3.4%), *C. parapsilosis* 2(3.4%), *C. famata* 2(3.4%) and *C. guilliermondii* 1(1.7%). The antifungal susceptibility test shows that 81.4% of the isolates were susceptible to ketoconazole and only 3.4% to fluconatin. However, 33.9% were susceptible, 13.9% intermediate susceptible and 52.5 resistant to Buconazole. Similarly, 28.8% were susceptible, 11.9 intermediate susceptible and 62.7% resistant to flucytosine. All the *C. krusei* isolates were completely resistant to azole drugs while *C. famata* were resistant to all the drugs tested.
**Keywords:** Evaluation, Antifungal, Susceptibility profile, Candida species.
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**PO-51**
**RESISTANCE AMONG CANDIDA SPECIES FROM PATIENTS WITH GENITOURINARY TRACT INFECTIONS AT MUHAMMAD ABDULLAHI WASE SPECIALIST HOSPITAL, KANO- NIGERIA.**
*Taura, D.W., Majé, M.H., Sadius, F.U., Ismaila and Adamu, A.S.*
*Department of Microbiology, Bayero University, Kano. P. M. B. 3011. Kano, Nigeria; E-mail: email@example.com*
The increasing incidence of *Candidiasis* affecting the genitourinary tracts as well as the introduction of new antifungal drugs has recently encouraged the need for performing fungal susceptibility tests. To determine the antifungal resistance among *Candida* species from the genitourinary tracts, 689 Urine and High vaginal swab (HVS) samples were collected from female patients clinically diagnosed with genitourinary tract infection between September 2012 to January 2013. The samples were inoculated onto Sabouraud dextrose agar (SDA). Isolates from SDA were placed on Corn Med agar (CMA) to ensure detection of mixed cultures. Germ tube tests were performed for identification of the isolates. Susceptibility tests were carried out on isolates using broth dilution method. The occurrence rates of Candida species were as follows: *Candida albicans* 124(48.4%), *Candida glabrata* 89(34.8%), *Candida krusei* 23(9.0%) and *Candida Tropicalis* 20(7.8%). The rate of occurrence of Candida species in high vaginal swab 76(61.3%) was significantly higher than that of urine 48(34.7%) using Chi-square test for statistical analysis. Distribution of Candida species among different age groups showed that the highest incidence in age brackets 20 – 30 158(61.7%), while that of 41-50 and above 8(3.1%) had the least. High rate of susceptibility was observed for each isolate against Fluconazole 23(65.7%) and Ketoconazole 22(62.9%). The resistance rate was 13(34.3%) for Fluconazole and Ketoconazole 13(37.1%). These results incriminated *C. albicans* as the most common Candida species causing genitourinary tract infection in women. This surveillance study has established Fluconazole and Ketoconazole as very effective antifungal agents for the treatment of genitourinary tract infections caused by Candida species.
**Keywords:** Antifungal resistance, *Candida* species, Genitourinary tract, Infections.
**PO-95**
**Track:** Hot Topics in Medicinal Chemistry
**LIPID PEROXIDATION INHIBITION BY PERIOPERATIVELY USED DRUGS AND MEMBRANE INTERACTION AS ONE OF THEIR POSSIBLE MECHANISMS**
**Hironori Tsuchiya**
*Department of Dental Basic Education, Asahi University School of Dentistry, 1851 Hozumi, Mizuho, Gifu, Japan; E-mail: firstname.lastname@example.org*
**Background:** Oxidative stress, an imbalance between reactive oxygen species production and biological antioxidant defense, is induced by not only a wide range of diseases but also anesthesia and surgical trauma. In search of the drugs to reduce oxidative stress in the perioperative period, we studied the lipid peroxidation-inhibitory effects of structurally different drugs associated with surgery and one of their possible mechanisms.
**Methods:** The lipid peroxidation-inhibitory effect was fluorometrically determined using diphenyl-1-pyrenylphosphine (DPPP)-incorporated liposomal membranes which were treated with 10-200 µM drugs and reference antioxidants, and then peroxidized with 20 µM peroxynitrite. The membrane interaction was analyzed by measuring the fluorescence polarization of 1, 6-diphenyl-1, 3, 5-hexatriene (DPH)-labeled biomimetic membranes after treating with drugs and reference antioxidants at 10 and 200 µM.
**Results:** The tested drugs concentration-dependently inhibited peroxynitrite-induced peroxidation of membrane lipids as well as antioxidant α-tocopherol, quercetin and (-)-epigallocatechin-3-gallate. The inhibition at each 10 µM was greatest in propofol, followed by guaiacol, thiopental, thymol, phenol, midazolam, diazepam, lidocaine, eugenol, procaine, bupivacaine, ropivacaine, sevoflurane, ketamine, mepivacaine and prilocaine. All of these drugs and antioxidants interacted with biomimetic membranes consisting of phospholipids and cholesterol to modify the membrane fluidity, suggesting that the interactivity with membrane lipid bilayers is, at least in part, responsible for the lipid peroxidation-inhibitory effects of perioperatively used anesthetic, disinfectant and analgesic drugs.
**Conclusion:** In addition to their inherent effects, propofol and other drugs to inhibit lipid peroxidation may be effective against perioperative oxidative stress. The membrane interactivity could be a guide for discovering novel antioxidant drugs.
**Keywords:** Antioxidant, Lipid peroxidation, Membrane interaction, Oxidative stress, Perioperative.
---
**PO-86**
**Track:** Chemistry
**HUMAN BIO-MONITORING STUDY - TOXIC ELEMENTS IN BLOOD**
**Osina O., Vasicka T., Musak L., Valachova J.**
*Clinic of Occupational Medicine and Toxicology, Comenius University, Jes.Faculty of Medicine, Martin, Slovakia; E-mail: email@example.com*
The content of toxic heavy metals (As, Cd, Cr, Hg, and Pb) in blood depends on locality, industry and social status of habitants. We studied this determination in detail in 1994. The blood of the young healthy blood donors without any metal exposure was analysed by the atomic absorption spectrophotometry. The results were used as the reference values of the average non-exposed population. These results did not differ from those gained in other European countries. There is no regular human bio – monitoring in Slovakia but there are monitors practiced in neighbouring countries like Czech Republic or Germany. We could suppose the level of exposure in our region from these results and from literature. After 20 years the industry changed and the new technologies bring better quality of environment. We cannot compare the recent concentrations to the old results.
We aimed to prepare the new bio-monitoring procedures containing recent data obtained by an inductively coupled plasma-mass spectrometry as a new reference values for measurements evaluation.
**Keywords:** Bio-monitoring, toxic heavy metals, reference values.
GOLD NANOPROBE AS POTENTIAL IMAGING, DIAGNOSTIC AND THERAPEUTIC TOOLS FOR BIOMEDICAL APPLICATIONS
Babak Bakhshinejad, Reza Ashrafi Parchin and Majid Sadeghizadeh, Akbar Vaseghi
Young Researcher Club, Science and Researcher Branch, Islamic Azad University Ardabil, Iran; E-mail: firstname.lastname@example.org
Gold nanoprobes represent enormous promise for diagnosis and treatment of human diseases. These probes with their unique optical properties have been employed for detection of a variety of pathogenic microorganism including bacteria, viruses and fungi. *Escherichia coli*, *Pseudomonas syringae*, Influenza and Hepatitis virus are among the pathogens detected by nanoprobes. Gold nanoprobes have also gained significance as novel pharmaceutical compounds to be used for imaging purposes and targeted delivery of therapeutic cargoes into cancer cells. Gold nanoprobes can be functionalized by conjugation of biofunctional groups such as thiol.
Colorimetric methods for gold nanoprobe-based detection of biological targets (DNA, RNA, Protein, Aptamers and Lipids) are rapid, easy and sensitive in the clinical context. Colorimetric detection is preformed through color changes resulting from aggregation of nanoprobes. Taken together, special features of nanoprobes and their diverse range of applications highlight their importance as valuable diagnostic and therapeutic tools.
We made attempt to design next generation nanochips through using gold nanoprobes particularly gold nanoparticles and nanorods for imaging and detection of pathogens and cancer cells. To this end, we attached bio-barcodes to gold nanoprobes to achieve detection and therapeutic objectives.
**Keywords:** Gold Nanoprobe, imaging, diagnosis, treatment, pathogenic microorganisms, cancer.
DEVELOPMENT OF ANFOLEISH (3% AMPHOTERICIN B CREAM), A TOPICAL TREATMENT FOR CUTANEOUS LEISHMANIASIS
Ivan Velez
PECET, Medical Research Institute, University of Antioquia, Medellin, Colombia; E-mail: email@example.com
Cutaneous leishmaniasis (CL) is a parasitic disease affecting millions of people in the world. The few available drugs are systemic, highly toxic, costly, and their efficacy is decreasing. Therefore, new effective drugs are needed. Systemic Amphotericin B (AmB) has been used for the treatment of visceral leishmaniasis and less frequently for CL. In vitro and in vivo studies have shown that AmB is active against all species of *Leishmania* ever tested, and so far, there is no evidence of resistance development in affected populations. In order to provide an effective local treatment for CL without associated systemic toxicity, Anfoleish, a new formulation of 3% AmB, was developed. The oil in water formulation with 3% AmB is stable and safe. Cure rates for 2x/day or once/day for 15 day treatment were 87.5% and 62.5% for Anfoleish and 25% and 12.5% for placebo (respectively). The cure rate for pentavalent antimonial was 71.4% and no healing was seen in negative control group. No toxicity was observed in animals treated with Anfoleish. Systemic exposure is minimal, which corroborates for its safety. Furthermore, observational studies in 16 volunteers with CL caused by *L. panamensis* have shown that Anfoleish is safe, with very promising healing results.
PO-2
Track: Anti-Cancer Discovery & Therapy
THE ROLE OF MITOGEN-ACTIVATED PROTEIN KINASES (MAPKs) IN HUMAN PROSTATE CANCER CELL DEATH INDUCED BY [PtCl2(4,4'-DIALKOXY-2,2'-BIPYRIDINE)] COMPLEXES
Van Vo, Haesook Han, Pradip K. Bhowmik, and Bryan L. Spangelo
Department of Chemistry, University of Nevada Las Vegas, Las Vegas, United States; E-mail: firstname.lastname@example.org
Cisplatin is a platinum (Pt)-containing chemotherapeutic drug frequently prescribed for the treatment of various cancers. A multitude of signaling pathways are activated by cisplatin, one of which is the mitogen-activated protein kinase (MAPK) pathway. Three major MAPK members, extracellular signal-regulated kinases (ERK), c-Jun N-terminal kinases (JNK), and p38 kinases have been shown to be activated by cisplatin. We recently reported on the synthesis of a series of Pt(II) complexes containing a 4,4'-dialkoxy-2,2'-bipyridine structure (with the alkoxy having 1-6 carbons) and demonstrated their high anti-proliferative activity against different types of human cancer cells. Prostate cancer is one of the most commonly diagnosed and cause of death in men. Thus, to further study the effects of these new Pt-complexes in prostate cancer, all six complexes were tested in PC3 and DU145 cells. Our data indicated that the complexes reduced the viability of PC3 and DU145 cells in a concentration-dependent manner. Pt-4C induced activation of ERK, JNK, and p38 in DU145 cells. Moreover, co-treatment of Pt-4C with JNK and p38 inhibitors resulted in increased cell viability compared to Pt-4C treatment alone. This suggests that JNK and p38 may be involved in signaling for cell death in DU145 cells in response to Pt-4C treatment.
Keywords: Cisplatin, platinum complexes, MAPK, prostate cancer.
PO-19
Track: Inflammation and Immunology
PRE-CLP CENTRAL IL-1R ANTAGONIST ADMINISTRATION DECREASES HYPOTHALAMIC IL-1 GENE EXPRESSION IN SEPTIC RATS
Fazal Wahab, Nilton N. Santos-Junior, Maria Jose Alves da Rocha
Department of Morphology, Physiology and Basic Pathology, FORP University of Sao Paulo, Ribeirao Preto, Brazil; E-mail: email@example.com
Several studies have implicated an excessive local production of interleukin (IL)-1 as an important factor responsible for the impairment of AVP secretion during late phase of sepsis, but this question has not yet been directly assessed by IL-1ra central administration. We herein investigated the effect of IL-1ra treatment on the sepsis-induced increase in IL-1 expression in the hypothalamus of rats. Rats were pre-cecal-ligation and puncture (CLP)-treated with i.c.v. injection of IL-1ra (9-nmol) or vehicle (PBS) and then sepsis was induced by CLP. IL-1ra and vehicle were also given to naive control animals. After 4-, 6- and 24-h, the animals were decapitated (n=8/group) for blood samples and hypothalamic tissues collection. IL-1 transcript levels were quantified by real-time PCR. A specific ELISA assay was used for AVP analysis. Hypothalamic IL-1 mRNA levels were significantly (P<0.005) increased at 4-, 6- and 24-h post-CLP, as compared to control animals. IL-1ra administration significantly decreased IL-1 gene expression at all time points when compared to vehicle treated as well as the naive controls. AVP concentration and survival rate of IL-1ra treated rat was significantly higher in comparison to vehicle treatment. Our results showed that blocking the IL-1/IL-1r signaling pathway by central administration of an IL-1r antagonist decreases IL-1 gene expression during sepsis, this leading to an increase in AVP levels and, in turn, a higher survival rate.
ACKNOWLEDGEMENTS
This research work was funded by FAPESP.
PO-53
IS THERE A PROPHYLACTIC MEDICATION IN ALZHEIMER’S AND PARKINSON’S DISEASES, E.G. COMBINED GABAA AGONISTS AND NMDA ANTAGONISTS?
Werner, F.-M., and Covenas, R.
Euro-Schulen Pößneck, HBFS für Altenpflege, 07381 Pößneck, Germany; E-mail: firstname.lastname@example.org
**Introduction:** Alzheimer’s and Parkinson’s diseases are incurable neurodegenerative diseases. The question arises whether combined GABAa agonists and NMDA antagonists might have a therapeutic and maybe a prophylactic effect.
**Methods/Material:** In both diseases neural networks are developed in the involved brain regions in order to point the efficacy of such drugs.
**Results:** In Parkinson’s disease exists a dopaminergic cholinergic and GABAergic glutaminergic neurotransmitter imbalance in the extrapyramidal system. In the caudate nucleus D2 dopaminergic neurons weakly activate GABAergic neurons in the external globus pallidus which inhibit glutaminergic neurons in the subthalamic nucleus. GABAergic neurons in the internal globus pallidus, activated by glutaminergic neurons, weakly inhibit via GABAA receptors M4 muscarinic cholinergic neurons in the putamen which strongly activate glutaminergic neurons. The latter neurons enhance dopamine deficiency through a strongly presynaptic inhibition via NMDA receptors.
In Alzheimer’s disease might exist a noradrenergic cholinergic and glutaminergic GABAergic neurotransmitter imbalance in the hippocampus and the temporal cortex. In these brain regions M1 muscarinic cholinergic neurons weakly activate GABAergic neurons which weakly inhibit noradrenergic neurons via GABAA receptors. The alpah noradrenergic neurons strongly activate glutaminergic neurons which strongly inhibit muscarinic cholinergic neurons via NMDA receptors.
**Conclusion:** Examining neural networks enables to develop a prophylactic medication.
---
PO-29
**Track:** Drug Delivery & Targeting
ELECTROSPUN PCL BASED ANTI-INFECTION DRUG-LOADED GUIDED TISSUE REGENERATION MEMBRANES
Jiajia Xue, Rui Shi, Dafu Chen, Liqun Zhang
State Key Laboratory of Organic–Inorganic Composites, Beijing University of Chemical Technology, Beijing, P.R. China; E-mail: email@example.com
Infection is the major reason causing the GTR/GBR membrane failure in clinical. Herein, we developed a localized anti-infection drug delivery system to prevent infection by inhibiting the bacterial colonization and reducing the foreign body response. An antibiotic, metronidazole (MNA), was successfully incorporated into electrospun polycaprolactone (PCL) nanofibers at different concentrations (0, 1, 5, 10, 20, 30 and 40 wt. % polymer) in a single-step process. To obtain the most suitable drug loading content, the physical-chemical and mechanical properties of the drug delivery system with different drug content were systemic investigated in-depth. The interaction between PCL and MNA was identified by molecular dynamics simulation. In vitro drug release studies demonstrated that MNA released in a controlled sustained manner over 2 weeks and the released MNA remained antibacterial activity which was assessed by *in vitro* static experiment against *Fusobacterium nucleatum* bacteria. The incorporation of MNA improved the hydrophilicity and *in vitro* degradation rate of PCL nanofibers. The nano-fibrous membranes allowed cells to adhere to and proliferate on them, and all showed excellent barrier function. From *in vitro* experimental results, we concluded that the membrane with 30% MNA had the best comprehensive properties. Analysis of subcutaneous implants demonstrated that MNA encapsulated nanofibers evoked a less severe inflammatory response than the pure PCL nanofibers examined. These results demonstrate their potential as GTR/GBR membrane with antibacterial and anti-inflammatory function and may be broadly applied to more biomedical applications.
**Keywords:** Guided tissue regeneration, Electrospinning, PCL, Metronidazole, Anti-infection, Controlled delivery.
**PO-94**
**Track:** Medical Imaging
**GADOLINIUM (III) INCORPORATING QUANTUM DOT-SIZED CONJUGATED POLYMER-BASED BIOCOMPATIBLE DOTS AS A DUAL-MODALITY PROBE FOR CANCER DIAGNOSIS**
Chang-Tong Yang, Kai Li, Chandrasekharan Prashant, Bin Liu, Edward G. Robins
*Laboratory of Molecular Imaging, Singapore Bioimaging Consortium, Agency for Science, Technology and Research (A*STAR), Helios, Singapore; E-mail: firstname.lastname@example.org*
Understanding the localization and engraftment of tumor cells is of high importance in cancer diagnosis and treatment. Advanced fluorescent probes and facile methodologies play a key role for cell tracing in cancer diagnosis. We have designed and synthesized a dual-modality imaging dots with both optical and magnetic contrast through integration of a magnetic resonance imaging (MRI) contrast agent, gadolinium (III) chelate, into a novel long-term cell tracing probe in far-red/near-infrared region. The obtained fluorescent-magnetic dots have both high fluorescence quantum yield (25%) and $T_1$ relaxivity (7.59 mM$^{-1}$s$^{-1}$) in aqueous suspension. After further conjugation with a cell membrane penetrating peptide, the dual-modality dots can be efficiently internalized into living cells. The gadolinium (III) chelate allows accurate quantification of biodistribution of cancer cells via intravenous injection, while the high fluorescence provides engraftment information of cells at single cellular level. The dual-modality dots shows obvious synergistic advantages over either single imaging modality and hold great promises in advanced biomedical studies.
---
**PO-96**
**Track:** Hot Topics in Medicinal Chemistry
**SYNTHESIS AND ANTI-HCV ACTIVITY EVALUATION OF ANILINOCOUMARIN DERIVATIVES**
Huang-Kai Peng, Wei-Chun Chen, Jin-Ching Lee, Shiang-Yu Yang, Cherng-Chyi Tzeng, Ying-Ting Lin and Shyh-Chyun Yang
*Department of Fragrance and Cosmetic Science, Kaohsiung Medical University, Kaohsiung, Taiwan; E-mail: email@example.com*
The hepatitis C virus (HCV) is a major cause of liver disease worldwide, including hepatic fibrosis, liver cirrhosis, and hepatocellular carcinoma (HCC). Novel anilinocoumarins were synthesized, and their efficacy against HCV replication was evaluated. We demonstrated that 3-(3',4',5'-trimethoxyanilin-1'-yl)-methylaminocoumarin (6) exhibited strong anti-HCV activity at protein and RNA levels at non-toxic concentrations, with an EC50 value of 12 ± 0.5 μM and a selective index (SI) value of 10. Combined treatment of compound 6 and interferon-α (IFN) or telaprevir induced a significant decrease in HCV RNA levels, respectively. We also found that the anti-HCV replication effect of compound 6 was due to the induction of IFN-mediated antiviral responses. This is the first report demonstrating that coumarins inhibit viral replication through an IFN-mediated anti-viral response. Collectively, compound 6 possessed potent activities against HCV replication and could be a new lead compound with higher selectivity and less toxicity.
**Keywords:** Anti-HCV, anilinocoumarin, selective index.
---
**PO-82**
**METHYLSULFONYLMETHANE SUPPRESSES BREAST CANCER GROWTH THROUGH DOWN-REGULATING STAT3 AND STAT5B PATHWAYS**
Eun Joung Lim, Youn Hee Joung, Pramod Darvin, Nipin S.P., Dong Young Kang, Don Nam Kim, Young Mok Yang
*Department of Pathology, School of Medicine and Institute of Biomedical Science and Technology, Konkuk University, Seoul, Republic of Korea; E-mail: firstname.lastname@example.org*
Breast cancer is the most aggressive form of all cancers, with high incidence and mortality rates. The purpose of the present study was to investigate the molecular mechanism by which methylsulfonylmethane (MSM) inhibits breast
cancer growth in mice xenografts, MSM is an organic sulfur-containing natural compound without any toxicity. In this study, we demonstrated that MSM substantially decreased the viability of human breast cancer cells in a dose-dependent manner. MSM also suppressed the phosphorylation of STAT3, STAT5b, expression of IGF-1R, HIF-1α, VEGF, BrK, and p-JGF-1R and inhibited triple-negative receptor expression in receptor-positive cell lines. Moreover, MSM decreased the DNA-binding activities of STAT5b and STAT3, to the target gene promoters in MDA-MB 231 or co-transfected COS-7 cells. We confirmed that MSM significantly decreased the relative luciferase activities indicating cross-talk between STAT5b/IGF-1R, STAT5b/HSP90a, and STAT3/VEGF. To confirm these findings *in vivo*, xenografts were established in Balb/c athymic nude mice with MDA-MB 231 cells and MSM was administered for 30 days. Concurring to our *in vitro* analysis, these xenografts showed decreased expression of STAT3, STAT5b, IGF-1R and VEGF. Through *in vitro* and *in vivo* analysis, we confirmed that MSM can effectively regulate multiple targets including STAT3/VEGF and STAT5b/IGF-1R. These are the major molecules involved in tumor development, progression, and metastasis. Thus, we strongly recommend the use of MSM as a trial drug for treating all types of breast cancers including triple-negative cancers.
**PO-54**
**Track:** HIV Research
**EFFECT OF JIN’AN TABLET FOR THE TREATMENT OF DYSMENORRHEA IN RATS**
*Rong Zeng*
*School of Pharmacy, Hunan University of Chinese Medicine, Hunan, 410208, China; E-mail: email@example.com*
Jin’an tablet is a traditional Chinese Medicine preparation for the treatment of dysmenorrhea in clinic. To study the effect of Jin’an table on dysmenorrhea. The dysmenorrhea rats were given Jin’an tablet with 0.4 g/kg, 0.8 g/kg and 1.6 g/kg after treated with diethylstilbestrol, then modeled by oxytocin. The antinociceptive effect of Jin’an tablet was examined by writhing test *in vivo*. The anti-contraction effect on uterine smooth muscles of Jin’an tablet was evaluated *in vivo* and *vitro*. Results are expressed as mean ± S.E.M. The data were analyzed by t-test. The Jin’an tablet significantly reduced the writhing times and prolonged the latency period (P<0.01). The amplitude and frequency of contraction were significantly reduced by Jin’an tablet above 0.4 g/kg, P < 0.05. The spontaneous contraction was also significantly depressed by Jin’an tablet solution above 8 % (P<0.05) and the frequencies and amplitude of contraction increased by diethylstilbestrol can be contradicted by Jin’an tablet solution above 4 % (P<0.05). These results suggested that Jin’an tablet had good anti-dysmenorrhea effect.
**PO-109**
**6-SHOGAOI INHIBITS PANCREATIC TUMORS AND SENSITIZES THEM TO GEMCITABINE TREATMENT BY MODULATING NF-κB SIGNALING**
*Ling Zhou, Lianwen Qi, Lifeng Jiang, Ping Zhou, Jiang Ma, Xiaojun Xu and Ping Li*
*State Key Laboratory of Natural Medicines, China Pharmaceutical University, No. 24 Tongjia Lane, Nanjing, China; E-mail: firstname.lastname@example.org*
Previous studies have shown that 6-shogaol, a phenolic alkanone isolated from ginger, possesses anti-cancer activities in many cancer cell lines. However, the anti-tumor potential of 6-shogaol has been unexplored in pancreatic cancers. NF-κB has been reported to play a major role in chemoresistance of pancreatic cancer cells. In the present study, we investigated whether 6-shogaol could enhance anti-tumor activity of gemcitabine in treatment of pancreatic cancer. We used two human pancreatic cancer cell lines PANC-1 and BxPC-3 with variable *K-ras* status. *In vitro* studies, we found that co-treatment with 6-shogaol and gemcitabine resulted in more growth inhibition compared with either agent used alone. These effects were correlated with suppression of NF-κB-regulated gene products COX-2, cyclinD1, survivin, and cAP-1, XIAP, Bcl-2 and MMP-9. In a xenograft nude mouse model of human pancreatic cancer, intraperitoneal injection of 6-shogaol inhibited tumor growth and enhanced the anti-tumor effects of gemcitabine. Immunohistochemical analysis results showed less expression of Ki-67 and more TUNEL staining in tumor tissues from combination treatment group. This was consistent with inhibition of NF-κB activity. On the whole, our results indicate that 6-shogaol can sensitize pancreatic cancer cells to gemcitabine by suppressing of NF-κB signaling, which is an inflammatory pathway linked to tumorigenesis.
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MATERIAL SCIENCE
[AS PER CHOICE ASED CREDIT SYSTEM (CBCS) SCHEME]
SEMESTER – III
| Subject Code | 15 ME 32 | IA Marks | 20 |
|--------------|----------|----------|----|
| Number of Lecture Hrs / Week | 04 | Exam Marks | 80 |
| Total Number of Lecture Hrs | 50 | Exam Hours | 03 |
CREDITS – 04
COURSE OBJECTIVES:
This course provides
1. The foundation for understanding the structure and various modes of failure in materials common in mechanical engineering.
2. Topics are designed to explore the mechanical properties of metals and their alloys, polymers, ceramics, smart materials and composites.
3. The means of modifying such properties, as well as the processing and failure of materials.
4. Concepts of use of materials for various applications are highlighted.
COURSE OUTCOMES:
The student shall be able to
1. Describe the mechanical properties of metals, their alloys and various modes of failure.
2. Understand the microstructures of ferrous and non-ferrous materials to mechanical properties.
3. Explain the processes of heat treatment of various alloys.
4. Understand the properties and potentialities of various materials available and material selection procedures.
5. Know about composite materials and their processing as well as applications.
MODULE 1
Basics, Mechanical Behavior, Failure of Materials
Introduction to Crystal Structure – Coordination number, atomic packing factor, Simple Cubic, BCC, FCC and HCP Structures, Crystal imperfections – point, line, surface and volume imperfections, Atomic Diffusion: Phenomenon, Fick’s laws of diffusion; Factors affecting diffusion.
Mechanical Behavior:
Stress-strain diagrams showing ductile and brittle behavior of materials, Engineering and true strains, Linear and non-linear elastic behavior and properties, Mechanical properties in plastic range. Stiffness, Yield strength, Offset Yield strength, Ductility, Ultimate Tensile strength, Toughness, Plastic deformation of single crystal by slip and twinning, Mechanisms of strengthening in metals
Fracture: Type I, Type II and Type III,
Fatigue: Types of fatigue loading with examples, Mechanism of fatigue, Fatigue properties, S-N diagram, Fatigue testing.
Creep: Description of the phenomenon with examples, three stages of creep, creep properties, Stress relaxation. Concept of fracture toughness, numerical on diffusion, strain and stress relaxation
10 Hours
MODULE 2
Alloys, Steels, Solidification
Concept of formation of alloys: Types of alloys, solid solutions, factors affecting solid solubility (Hume Rothery rules), Binary phase diagrams: Eutectic, and Eutectoid systems, Lever rule, Substitutional and interstitial solid solutions, Intermediate phases, Gibbs phase rule Effect of non-equilibrium cooling, Coring and Homogenization Iron-Carbon (Cementite) diagram: description of phases, Effect of common alloying elements in steel, Common alloy steels, Stainless steel, Tool steel, Specifications of steels. Solidification: Mechanism of solidification, Homogenous and Heterogeneous nucleation, Crystal growth, Cast metal structures Solidification of Steels and Cast irons. Numerical on lever rule
10 Hours
MODULE 3
Heat Treatment, Ferrous and Non-Ferrous Alloys
Heat treating of metals: Time-Temperature-Transformation (TTT) curves, Continuous Cooling Transformation (CCT) curves, Annealing: Recovery, Recrystallization and Grain growth, Types of annealing, Normalizing, Hardening, Tempering, Martempering, Austempering, Concept of hardenability, Factors affecting it hardenability, surface hardening methods: carburizing, cyaniding, nitriding, flame hardening and induction hardening, Age hardening of aluminum-copper alloys and PH steels. Ferrous materials: Properties, Compositions and uses of Grey cast iron, Malleable iron, SG iron and steel,
10 Hours
MODULE 4
Other Materials, Material Selection
Ceramics: Structure types and properties and applications of ceramics. Mechanical / Electrical behavior and processing of Ceramics.
Plastics: Various types of polymers/plastics and their applications. Mechanical behaviors and processing of plastics, Failure of plastics.
Other materials: Brief description of other materials such as optical and thermal materials Smart materials – fiber optic materials, piezo-electrics, shape memory alloys Shape Memory Alloys – Nitinol, superelasticity, Biological applications of smart materials - materials used as implants in human Body. Selection of Materials, Performance of materials in service Residual life assessment – use of non-destructive testing, Economics, Environment and Sustainability
10 Hours
MODULE 5
Composite Materials
Composite materials – Definition, classification, types of matrix materials & reinforcements, Metal Matrix Composites (MMCs), Ceramic Matrix Composites (CMCs) and Polymer Matrix Composites (PMCs), Particulate-reinforced and fiber-reinforced composites, Fundamentals of production of composites, Processes for production of composites, Characterization of composites, Constitutive relations of composites, Determination of composite properties from component properties, Hybrid composites, Applications of composite materials, Numericals on determining properties of composites
10 Hours
TEXT BOOKS:
1. Smith, Foundations of Materials Science and Engineering, 4th Edition, McGraw Hill, 2009.
2. William D. Callister, Material science and Engineering and Introduction, Wiley, 2006.
REFERENCE BOOKS
1. V.Raghavan, Materials Science and Engineering, , PHI, 2002
2. Donald R. Askland and Pradeep.P. Phule, The Science and Engineering of Materials, Cengage Learning, 4th Ed., 2003.
3. George Ellwood Dieter, Mechanical Metallurgy, McGraw-Hill.
4. ASM Handbooks, American Society of Metals.
Scheme of Examination:
Two question to be set from each module. Students have to answer five full questions, choosing at least one full question from each module.
BASIC THERMODYNAMICS
[AS PER CHOICE ASED CREDIT SYSTEM (CBCS) SCHEME]
SEMESTER – III
| Subject Code | 15 ME 33 | IA Marks | 20 |
|--------------|----------|----------|----|
| Number of Lecture Hrs / Week | 04 | Exam Marks | 80 |
| Total Number of Lecture Hrs | 50 | Exam Hours | 03 |
CREDITS – 04
COURSE OBJECTIVES
1. Learn about thermodynamic systems and boundaries
2. Study the basic laws of thermodynamics including, conservation of mass, conservation of energy or first law, second law and Zeroth law.
3. Understand various forms of energy including heat transfer and work
4. Identify various types of properties (e.g., extensive and intensive properties)
5. Use tables, equations, and charts, in evaluation of thermodynamic properties
6. Apply conservation of mass, first law, and second law in thermodynamic analysis of systems (e.g., turbines, pumps, compressors, heat exchangers, etc.)
7. Enhance their problem solving skills in thermal engineering
COURSE OUTCOMES
The student will be able to
| Course Outcomes | PO’s | Course Level |
|-----------------|------|--------------|
| CO 1 Explain thermodynamic systems, properties, Zeroth law of thermodynamics, temperature scales and energy interactions. | PO1 | U |
| CO 2 Determine heat, work, internal energy, enthalpy for flow & non flow process using First and Second Law of Thermodynamics. | PO1, PO2 | Ap |
| CO3 Interpret behavior of pure substances and its applications to practical problems. | PO1,PO2 | U |
| CO4 Determine change in internal energy, change in enthalpy and change in entropy using TD relations for ideal gases. | PO1,PO2 | Ap |
| CO 5 Calculate Thermodynamics properties of real gases at all ranges of pressure, temperatures using modified equation of state including Vander Waals equation, Redlich Wong equation and Beattie-Bridgeman equation. | PO1,PO2 | Ap |
Total Number Lecture hours 50
MODULE 1
Fundamental Concepts & Definitions: Thermodynamic definition and scope, Microscopic and Macroscopic approaches. Some practical applications of engineering thermodynamic Systems, Characteristics of system boundary and control surface, examples. Thermodynamic properties; definition and units, intensive, extensive properties, specific properties, pressure, specific volume Thermodynamic state, state point, state diagram, path and process, quasi-static process, cyclic and non-cyclic; processes; Thermodynamic equilibrium; definition, mechanical equilibrium; diathermic wall, thermal equilibrium, chemical equilibrium, Zeroth law of thermodynamics, Temperature; concepts, scales, international fixed points and measurement of temperature. Constant volume gas thermometer, constant pressure gas thermometer, mercury in glass thermometer
Work and Heat: Mechanics, definition of work and its limitations. Thermodynamic definition of work; examples, sign convention. Displacement work; as a part of a system boundary, as a whole of a system boundary, expressions for displacement work in various processes through p-v diagrams. Shaft work; Electrical work. Other types of work. Heat; definition, units and sign convention. Problems 10 Hours
MODULE 2
First Law of Thermodynamics: Joules experiments, equivalence of heat and work. Statement of the First law of thermodynamics, extension of the First law to non-cyclic processes, energy, energy as a property, modes of energy, Extension of the First law to control volume; steady flow energy equation (SFEE), important applications.
Second Law of Thermodynamics: Limitations of first law of thermodynamics Devices converting heat to work; (a) in a thermodynamic cycle, (b) in a mechanical cycle. Thermal reservoir, Direct heat engine; schematic representation and efficiency. Devices converting work to heat in a thermodynamic cycle; reversed heat engine, schematic representation, coefficients of performance. Kelvin-Planck statement of the Second law of Thermodynamics; PMM I and PMM II, Clausius statement of Second law of Thermodynamics, Equivalence of the two statements; Carnot cycle, Carnot principles. Problems
10 Hours
MODULE 3
Reversibility: Definitions of a reversible process, reversible heat engine, importance and superiority of a reversible heat engine and irreversible processes; factors that make a process irreversible, reversible heat engines. Unresisted expansion, remarks on Carnot’s engine, internal and external reversibility, Definition of the thermodynamic temperature scale. Problems
Entropy: Clausius inequality, Statement-proof, Entropy-definition, a property, change of entropy, entropy as a quantitative test for irreversibility, principle of increase in entropy, calculation of entropy using Tds relations, entropy as a coordinate.
10 Hours
MODULE 4
Availability, Irreversibility and General Thermodynamic relations. Introduction, Availability (Exergy), Unavailable energy (anergy). Relation between increase in unavailable energy and increase in entropy. Maximum work, maximum useful work for a system and control volume, irreversibility, second law efficiency (effectiveness). Gibbs and Helmholtz functions, Maxwell relations, Clapeyron equation, Joule Thomson coefficient, general relations for change in entropy, enthalpy, internal energy and specific heats.
Pure Substances: P-T and P-V diagrams, triple point and critical points. Sub-cooled liquid, saturated liquid, mixture of saturated liquid and vapor, saturated vapor and superheated vapor states of pure substance with water as example. Enthalpy of change of phase (Latent heat). Dryness fraction (quality), T-S and H-S diagrams, representation of various processes on these diagrams. Steam tables and its use. Throttling calorimeter, separating and throttling calorimeter.
10 Hours
MODULE 5
Ideal gases: Ideal gas mixtures, Dalton’s law of partial pressures, Amagat’s law of additive volumes, evaluation of properties of perfect and ideal gases,
Air-Water mixtures and related properties, Psychrometric properties, Construction and use of Psychrometric chart.
Real gases – Introduction, Air-water mixture and related properties, Van-der Waal’s Equation of state, Van-der Waal’s constants in terms of critical properties, Redlich and Kwong equation of state Beattie-Bridgeman equation, Law of corresponding states, compressibility factor; compressibility chart. Difference between ideal and real gases.
10 Hours
TEXT BOOKS:
1. Basic Engineering Thermodynamics, A.Venkatesh, Universities Press, 2008
2. Basic and Applied Thermodynamics, P.K.Nag, 2nd Ed., Tata McGraw Hill Pub. 2002
REFERENCE BOOKS:
1. Thermodynamics, An Engineering Approach, Yunus A.Cenegal and Michael A.Boles, Tata McGraw Hill publications, 2002
2. Engineering Thermodynamics, J.B.Jones and G.A.Hawkins, John Wiley and Sons..
3. Fundamentals of Classical Thermodynamics, G.J.Van Wylen and R.E.Sonntag, Wiley Eastern.
4. An Introduction to Thermodynamics, Y.V.C.Rao, Wiley Eastern, 1993,
5. B.K Venkanna, Swati B. Wadavadagi “Basic Thermodynamics, PHJ, New Delhi, 2010
Scheme of Examination: Two questions to be set from each module. Students have to answer five full questions, choosing at least one full question from each module.
MECHANICS OF MATERIALS
[AS PER CHOICE ASED CREDIT SYSTEM (CBCS) SCHEME]
SEMESTER – III
| Subject Code | 15 ME 34 | IA Marks | 20 |
|--------------|----------|----------|----|
| Number of Lecture Hrs / Week | 04 | Exam Marks | 80 |
| Total Number of Lecture Hrs | 50 | Exam Hours | 03 |
CREDITS – 04
COURSE OBJECTIVES:
1. Classify the stresses into various categories and define elastic properties of materials and compute stress and strain intensities caused by applied loads in simple and compound sections and temperature changes.
2. Derive the equations for principal stress and maximum in-plane shear stress and calculate their magnitude and direction. Draw Mohr circle for plane stress system and interpret this circle.
3. Determine the shear force, bending moment and draw shear force and bending moment diagrams, describe behavior of beams under lateral loads.
4. Explain the structural behavior of members subjected to torque, Calculate twist and stress induced in shafts subjected to bending and torsion.
5. Understand the concept of stability and derive crippling loads for columns.
6. Understand the concept of strain energy and compute strain energy for applied loads.
COURSE OUTCOMES:
The student shall be able to
| Course Outcomes | POs | CL |
|---------------------------------------------------------------------------------|-------|----|
| CO1 Understand simple, compound, thermal stresses and strains their relations, Poisson’s ratio, Hooke’s law, mechanical properties including elastic constants and their relations | PO1 | U |
| CO2 Determine stresses, strains and deformations in bars with varying circular and rectangular cross-sections subjected to normal and temperature loads | PO1, | Ap |
| CO3 Determine plane stress, principal stress, maximum shear stress and their orientations using analytical method and Mohr’s circle | PO1, | Ap |
| CO4 Determine the dimensions of structural members including beams, bars and rods using Energy methods and also stress distribution in thick and thin cylinders | PO1, | Ap |
| CO5 Draw SFD and BMD for different beams including cantilever beams, simply supported beams and overhanging beams subjected to UDL, UVL, Point loads and couples | PO1, | Ap |
| CO6 Determine dimensions, bending stress, shear stress and its distribution in beams of circular, rectangular, symmetrical I and T sections subjected to point loads and UDL | PO1, | Ap |
| CO7 Determine slopes and deflections at various points on beams subjected to UDL, UVL, Point loads and couples | PO1, | Ap |
| CO8 Determine the dimensions of shafts based on torsional strength, rigidity and flexibility and also elastic stability of columns using Rankin’s and Euler’s theory | PO1, | Ap |
Total Hours of instruction: 50
MODULE 1
Stress and Strain: Introduction, Hooke’s law, Calculation of stresses in straight, Stepped and tapered sections, Composite sections, Stresses due to temperature change, Shear stress and strain, Lateral strain and Poisson’s ratio, Generalized Hooke’s law, Bulk modulus, Relationship between elastic constants. 10 Hours
MODULE 2
Analysis of Stress and Strain: Plane stress, Stresses on inclined planes, Principal stresses and maximum shear stress, Principal angles, Shear stresses on principal planes, Maximum shear stress, Mohr circle for plane stress conditions.
Cylinders: Thin cylinder: Hoop’s stress, maximum shear stress, circumferential and longitudinal strains, Thick cylinders: Lames equations.
MODULE 3
Shear Forces and Bending Moments: Type of beams, Loads and reactions, Relationship between loads, shear forces and bending moments, Shear force and bending moments of cantilever beams, Pin support and roller supported beams subjected to concentrated loads and uniformly distributed constant / varying loads.
Stress in Beams: Pure bending, Curvature of a beam, Longitudinal strains in beams, Normal stresses in Beams with rectangular, circular, ‘I’ and ‘T’ cross sections, Flexure Formula, Bending Stresses, Deflection of beams (Curvature).
MODULE 4
Torsion: Circular solid and hallow shafts, Torsional moment of resistance, Power transmission of straight and stepped shafts, Twist in shaft sections, Thin tubular sections, Thin walled sections.
Columns: Buckling and stability, Critical load, Columns with pinned ends, Columns with other support conditions, Effective length of columns, Secant formula for columns.
MODULE 5
Strain Energy: Castigliano’s theorem I and II, Load deformation diagram, Strain energy due to normal stresses, Shear stresses, Modulus of resilience, Strain energy due to bending and torsion.
Theories of Failure: Maximum Principal stress theory, Maximum shear stress theory.
TEXT BOOKS:
1. James M Gere, Barry J Goodno, Strength of Materials, Indian Edition, Cengage Learning, 2009.
2. R Subramanian, Strength of Materials, Oxford, 2005.
REFERENCE BOOKS:
1. S S Rattan, Strength of Materials, Second Edition, McGraw Hill, 2011.
2. Ferdinand Beer and Russell Johnston, Mechanics of materials, Tata McGraw Hill, 2003.
Scheme of Examination:
Two question to be set from each module. Students have to answer five full questions, choosing at least one full question from each module.
## COURSE OBJECTIVE
- To provide detailed information about the moulding processes.
- To provide knowledge of various casting process in manufacturing.
- To impart knowledge of various joining process used in manufacturing.
- To provide adequate knowledge of quality test methods conducted on welded and casted components.
## COURSE OUTCOMES
| CO No. | Course Outcomes | Blooms level | PO |
|--------|---------------------------------------------------------------------------------|--------------|-----|
| CO1 | Describe the casting process, preparation of Green, Core, dry sand molds and Sweep, Shell, Investment and plaster molds. | U | PO1 |
| CO2 | Explain the Pattern, Core, Gating, Riser system and Jolt, Squeeze, Sand Slinger Molding Machines. | U | PO1 |
| CO3 | Compare the Gas fired pit, Resistance, Coreless, Electrical and Cupola Metal Furnaces. | U | PO1 |
| CO4 | Compare the Gravity, Pressure die, Centrifugal, Squeeze, slush and Continuous Metal mold castings. | U | PO1 |
| CO5 | Explain the Solidification process and Casting of Non-Ferrous Metals. | U | PO1 |
| CO6 | Describe the Metal Arc, TIG, MIG, Submerged and Atomic Hydrogen Welding processes used in manufacturing. | U | PO1 |
| CO7 | Explain the Resistance spot, Seam, Butt, Projection, Friction, Explosive, Thermit, Laser and Electron Beam Special type of welding process used in manufacturing. | U | PO1 |
| CO8 | Describe the Metallurgical aspects in Welding and inspection methods for the quality assurance of components made of casting and joining process. | U | PO1 |
**Total Hours of instruction**: 50
### MODULE -1
**INTRODUCTION & BASIC MATERIALS USED IN FOUNDRY**
**Introduction**: Definition, Classification of manufacturing processes. Metals cast in the foundry-classification, factors that determine the selection of a casting alloy. Introduction to casting process & steps involved. Patterns: Definition, classification, materials used for pattern, various pattern allowances and their importance.
**Sand molding**: Types of base sand, requirement of base sand. Binder, Additives definition, need and types
**Preparation of sand molds**: Molding machines- Jolt type, squeeze type and Sand slinger. Study of important molding process: Green sand, core sand, dry sand, sweep mold, CO2 mold, shell mold, investment mold, plaster mold, cement bonded mold. Cores: Definition, need, types. Method of making cores, concept of gating (top, bottom, parting line, horn gate) and risering (open, blind) Functions and types
10 Hours
### MODULE -2
**MELTING & METAL MOLD CASTING METHODS**
**Melting furnaces**: Classification of furnaces, Gas fired pit furnace, Resistance furnace, Coreless induction furnace, electric arc furnace, constructional features & working principle of cupola furnace.
**Casting using metal molds**: Gravity die casting, pressure die casting, centrifugal casting, squeeze casting, slush casting, thixocasting, and continuous casting processes
10 Hours
MODULE -3
SOLIDIFICATION & NON FERROUS FOUNDRY PRACTICE
Solidification: Definition, Nucleation, solidification variables, Directional solidification-need and methods. Degasification in liquid metals-Sources of gas, degasification methods.
Fettling and cleaning of castings: Basic steps involved. Sand Casting defects- causes, features and remedies. Advantages & limitations of casting process.
Nonferrous foundry practice: Aluminum castings – Advantages, limitations, melting of aluminum using lift-out type crucible furnace. Hardeners used, drossing, gas absorption, fluxing and flushing, grain refining, pouring temperature. Stir casting set up, procedure, uses, advantages and limitations.
10 Hours
MODULE -4
WELDING PROCESS
Welding process: Definition, Principles, Classification, Application, Advantages & limitations of welding. Arc welding: Principle, Metal arc welding (MAW), Flux Shielded Metal Arc Welding (FSMAW), Inert Gas Welding (TIG & MIG) Submerged Arc Welding (SAW) and Atomic Hydrogen Welding (AHW).
Special type of welding: Resistance welding principles, Seam welding, Butt welding, Spot welding and Projection welding. Friction welding, Explosive welding, Thermit welding, Laser welding and electron beam welding.
10 Hours
MODULE -5
SOLDERING , BRAZING AND METALLURGICAL ASPECTS IN WELDING
Structure of welds, Formation of different zones during welding, Heat Affected Zone (HAZ), Parameters affecting HAZ. Effect of carbon content on structure and properties of steel, Shrinkage in welds & Residual stresses, Concept of electrodes, filler rod and fluxes. Welding defects- Detection, causes & remedy.
Soldering, brazing, gas welding: Soldering, Brazing, Gas Welding: Principle, oxy-Acetylene welding, oxy-hydrogen welding, air-acetylene welding, Gas cutting, powder cutting.
Inspection methods: Methods used for inspection of casting and welding. Visual, magnetic particle, fluorescent particle, ultrasonic. Radiography, eddy current, holography methods of inspection.
10 Hours
TEXT BOOKS:
1. “Manufacturing Process-I”, Dr.K. Radhakrishna, Sapna Book House, 5th Revised Edition 2009.
2. “Manufacturing & Technology: Foundry Forming and Welding”, P.N. Rao, 3rd Ed., Tata McGraw Hill, 2003.
REFERENCE BOOKS:
1. “Process and Materials of Manufacturing”, Roy A Lindberg, 4th Ed. Pearson Edu. 2006.
2. “Manufacturing Technology”, Serope Kalpakjian, Steuen. R. Sechmid, Pearson Education Asia, 5th Ed. 2006.
3. “Principles of metal casting”, Rechard W. Heine, Carl R. Loper Jr., Philip C. Rosenthal, Tata McGraw Hill Education Private Limited Ed.1976.
Question paper pattern:
• The question paper will have ten questions.
• Each full question consisting of 16 marks.
• There will be 2 full questions (with a maximum of 4 sub questions) from each module.
• Each full question will have sub questions covering all the topics under a module.
• The students will have to answer 5 full questions, selecting one full question from each module.
COURSE OBJECTIVES:
- To introduce students to different machine tools in order to produce components having different shapes and sizes.
- To enrich the knowledge pertaining to relative motion and mechanics required for various machine tools.
- To develop the knowledge on mechanics of machining process and effect of various parameters on economics of machining.
COURSE OUTCOMES:
- Explain the construction & specification of various machine tools.
- Describe various machining processes pertaining to relative motions between tool & work piece.
- Discuss different cutting tool materials, tool nomenclature & surface finish.
- Apply mechanics of machining process to evaluate machining time.
- Analyze tool wear mechanisms and equations to enhance tool life and minimize machining cost.
MODULE 1
MACHINE TOOLS
Introduction, Classification, construction and specifications of lathe, drilling machine, milling machine, boring machine, broaching machine, shaping machine, planing machine, grinding machine [Simple sketches showing major parts of the machines] 10 hours
MODULE 2
MACHINING PROCESSES
Introduction, Types of motions in machining, turning and Boring, Shaping, Planing and Slotting, Thread cutting, Drilling and reaming, Milling, Broaching, Gear cutting and Grinding, Machining parameters and related quantities. [Sketches pertaining to relative motions between tool and work piece only] 10 Hours
MODULE 3
CUTTING TOOL MATERIALS, GEOMETRY AND SURFACE FINISH
Introduction, desirable Properties and Characteristics of cutting tool materials, cutting tool geometry, cutting fluids and its applications, surface finish, effect of machining parameters on surface finish.
Machining equations for cutting operations: Turning, Shaping, Planing, slab milling, cylindrical grinding and internal grinding, Numerical Problems 10 Hours
MODULE 4
MECHANICS OF MACHINING PROCESSES
Introduction, Chip formation, Orthogonal cutting, Merchants model for orthogonal cutting, Oblique cutting, Mechanics of turning process, Mechanics of drilling process, Mechanics of milling process, Numerical problems. 10 Hours
MODULE 5
TOOL WEAR, TOOL LIFE: Introduction, tool wear mechanism, tool wear equations, tool life equations, effect of process parameters on tool life, machinability, Numerical problems
ECONOMICS OF MACHINING PROCESSES: Introduction, choice of feed, choice of cutting speed, tool life for minimum cost and minimum production time, machining at maximum efficiency, Numerical problems 10 Hours
TEXT BOOKS:
1. Fundamentals of metal cutting and Machine Tools, B.L. Juneja, G.S. Sekhon and Nitin Seth, New Age International Publishers 2nd Edition, 2003
2. All about Machine Tools, Heinrich Gerling, New Age International Publishers revised 2nd Edition, 2006
REFERENCE BOOKS:
1. Fundamental of Machining and Machine Tools, Geoffrey Boothroyd and Winston A. Knight, CRC Taylor & Francis, Third Edition.
2. Metal cutting principles, Milton C. Shaw, Oxford University Press, Second Edition, 2005.
Scheme of Examination:
Two questions to be set from each module. Students have to answer five full questions, choosing at least one full question from each module.
COMPUTER AIDED MACHINE DRAWING
[AS PER CHOICE ASED CREDIT SYSTEM (CBCS) SCHEME]
SEMESTER – III / IV
| Subject Code | 15ME36 A/46A | IA Marks | 20 |
|--------------|-------------|----------|----|
| Number of Lecture Hrs / Week | 02 L+ 04 P | Exam Marks | 80 |
| Total Number of Lecture Hrs | 50 | Exam Hours | 03 |
CREDITS – 04
COURSE OBJECTIVES
- To acquire the knowledge of CAD software and its features.
- To inculcate understanding of the theory of projection and make drawings using orthographic projections and sectional views.
- To familiarize the students with Indian Standards on drawing practices.
- To impart knowledge of thread forms, fasteners, keys, joints and couplings.
- To make the students understand and interpret drawings of machine components so as to prepare assembly drawings either manually and using CAD packages.
- To acquire the knowledge of limits fits and tolerance pertaining to machine drawings.
COURSE OUTCOMES
Having successfully completed this course, the student will be able to draw and use modelling software’s to generate
| Course Outcome | Cognitive Level | POs |
|-------------------------------------------------------------------------------|-----------------|-------|
| CO1 Sections of pyramids, prisms, cubes, cones and cylinders resting on their bases in 2D | U | PO1, PO5, |
| CO2 Orthographic views of machine parts with and without sectioning in 2D. | U | PO1, PO5, |
| CO3 Sectional views for threads with terminologies of ISO Metric, BSW, square and acme, sellers and American standard threads in 2D. | U | PO1, PO5, |
| CO4 Hexagonal and square headed bolt and nut with washer, stud bolts with nut and lock nut, flanged nut, slotted nut, taper and split pin for locking counter sunk head screw, grub screw, Allen screw assemblies in 2D | U | PO1, PO5, |
| CO5 Parallel key, Taper key, and Woodruff Key as per the ISO standards in 2D | U | PO1, PO5, |
| CO6 single and double riveted lap joints, butt joints with single/double cover straps, cotter and knuckle joint for two rods in 2D | U | PO1, PO5, |
| CO7 Sketch split muff, protected type flanged, pin type flexible, Oldham’s and universal couplings in 2D | U | PO1, PO5, |
| CO8 assemblies from the part drawings with limits, fits and tolerance given for Plummer block, Ram bottom safety valve, I.C. Engine connecting rod, Screw Jack, Tailstock of lathe, Machine Vice and Lathe square tool post in 2D and 3D | U | PO1, PO5, PO12 |
Total Hours of instruction: 50
INTRODUCTION TO COMPUTER AIDED SKETCHING
Review of graphic interface of the software. Review of basic sketching commands and navigational commands.
PART A
UNIT I
Sections of Solids: Sections of Pyramids, Prisms, Cubes, Tetrahedrons, Cones and Cylinders resting only on their bases (No problems on, axis inclinations, spheres and hollow solids), True shape of section. 04 Hours
Orthographic views: Conversion of pictorial views into orthographic projections of simple machine parts with or without section. (Bureau of Indian Standards conventions are to be followed for the drawings), Hidden line conventions, Precedence of lines. 04 Hours
UNIT II
Thread forms: Thread terminology, sectional views of threads. ISO Metric (Internal & External), BSW (Internal and External), square, Acme and Sellers thread, American Standard thread.
Fasteners: Hexagonal headed bolt and nut with washer (assembly), square headed bolt and nut with washer (assembly) simple assembly using stud bolts with nut and lock nut. Flanged nut, slotted nut, taper and split pin for locking, counter sunk head screw, grub screw, Allen screw. 08 Hours
PART B
UNIT III
Keys and Joints: Parallel, Taper, Feather Key, Gib head key and Woodruff key
Riveted joints: Single and double riveted lap joints, Butt joints with single/double cover straps (Chain and zigzag using snap head riveters).
Joints: Cotter joint (socket and spigot), Knuckle joint (pin joint) for two rods. 08 Hours
UNIT IV
Couplings: Split muff coupling, Protected type flange coupling, Pin (bush) type flexible coupling, Oldham’s coupling and Universal coupling (Hook’s Joint). 06 Hours
PART C
Limits, Fits and Tolerances: Introduction, Fundamental tolerances, Deviations, Methods of placing limit dimensions, Types of fits with symbols and applications, Geometrical tolerances on drawings, Standards followed in industry. 03 Hours
Assembly Drawings: (Part drawings shall be given)
1. Plummer block (Pedestal Bearing)
2. Rams Bottom Safety Valve
3. I.C. Engine connecting rod
4. Screw jack (Bottle type)
5. Tailstock of lathe
6. Machine vice
7. Lathe square tool post 15 Hours
TEXT BOOKS:
1. ‘A Primer on Computer Aided Machine Drawing-2007’, Published by VTU, Belgaum.
2. ‘Machine Drawing’, N.D.Bhat & V.M.Panchal, Published by Charotar Publishing House, 1999.
3. ‘Machine Drawing’, N.Siddeshwar, P.Kannaih, V.V.S. Sastri, published by Tata Mc.Grawhill, 2006.
REFERENCE BOOK:
1. “A Text Book of Computer Aided Machine Drawing”, S. Trymbakaa Murthy, CBS Publishers, New Delhi, 2007.
2. ‘Machine Drawing’, K.R. Gopala Krishna, Subhash publication.
Note:
Internal Assessment: 20 Marks
Sketches shall be in sketch books and drawing shall through use of software on A3/A4 sheets. Sketch book and all the drawing printouts shall be submitted.
Scheme of Evaluation for Internal Assessment (20 Marks)
(a) Class work (Sketching and Computer Aided Machine drawing printouts in A4/A3 size sheets): 10Marks.
(b) Internal Assessment test in the same pattern as that of the main examination (Better of the two Tests): 10 marks.
Scheme of Examination:
Two questions to be set from each Part A, part B and Part C.
Student has to answer one question each from Part A, Part B for 15 marks each and one question from Part C for 50 marks.
\[
\begin{align*}
\text{Part A} & \quad 1 \times 15 = 15 \text{ Marks} \\
\text{Part B} & \quad 1 \times 15 = 15 \text{ Marks} \\
\text{Part C} & \quad 1 \times 50 = 50 \text{ Marks} \\
\text{Total} & \quad = 80 \text{ Marks}
\end{align*}
\]
INSTRUCTION FOR COMPUTER AIDED MACHINE DRAWING (15ME36A/46A) EXAMINATION
1. No restriction of timing for sketching/computerization of solutions. The total duration is 3 hours.
2. It is desirable to do sketching of all the solutions before computerization.
3. Drawing instruments may be used for sketching.
4. For Part A and Part B 2D drafting environment should be used.
5. For Part C 3D part environment should be used for parts assembly drawing and extract 2D views.
# MECHANICAL MEASUREMENTS AND METROLOGY
[AS PER CHOICE ASED CREDIT SYSTEM (CBCS) SCHEME]
**SEMESTER – III / IV**
| Subject Code | 15 ME 36 B / 46B | IA Marks | 20 |
|--------------|-----------------|----------|----|
| Number of Lecture Hrs / Week | 04 | Exam Marks | 80 |
| Total Number of Lecture Hrs | 50 | Exam Hours | 03 |
**CREDITS – 03**
## COURSE OBJECTIVES
Students are expected to –
- Understand metrology, its advancements & measuring instruments,
- Acquire knowledge on different standards of length, calibration of End Bars, linear and angular measurements, Screw thread and gear measurement & comparators.
- Equip with knowledge of limits, fits, tolerances and gauging.
- Acquire knowledge of measurement systems and methods with emphasis on different transducers, intermediate modifying and terminating devices.
- Understand the measurement of Force, Torque, Pressure, Temperature and Strain.
## COURSE OUTCOMES
*At the end of the course students will be able to –*
| CO | Description | CL | POs |
|------|-----------------------------------------------------------------------------|----|---------|
| CO1 | Understand the objectives of metrology, methods of measurement, selection of measuring instruments, standards of measurement and calibration of end bars. | U | PO1, PO6 |
| CO2 | Describe slip gauges, wringing of slip gauges and building of slip gauges, angle measurement using sine bar, sine center, angle gauges, optical instruments and straightness measurement using Autocollimator. | U | PO1, PO6 |
| CO3 | Explain tolerance, limits of size, fits, geometric and position tolerances, gauges and their design. | U | PO1, PO6 |
| CO4 | Understand the principle of Johnson Mikrokator, sigma comparator, dial indicator, LVDT, back pressure gauges, Solex comparators and Zeiss Ultra Optimeter | U | PO1, PO6 |
| CO5 | Describe measurement of major diameter, minor diameter, pitch, angle and effective diameter of screw threads by 2 – wire, 3 – wire methods, screw thread gauges and tool maker’s microscope. | U | PO1, PO6 |
| CO6 | Explain measurement of tooth thickness using constant chord method, addendum comparator methods and base tangent method, composite error using gear roll tester and measurement of pitch, concentricity, run out and involute profile. | U | PO1, PO6 |
| CO7 | Understand laser interferometers and Coordinate measuring machines. | U | PO1, PO6 |
| CO8 | Explain measurement systems, transducers, intermediate modifying devices and terminating devices. | U | PO1, PO6 |
| CO9 | Describe functioning of force, torque, pressure, strain and temperature measuring devices. | U | PO1, PO6 |
**Total Hours of Instructions** 50
MODULE -1
Introduction to Metrology: Definition, objectives and concept of metrology, Need of inspection, Principles, process, methods of measurement, Classification and selection of measuring instruments and systems. Accuracy, precision and errors in measurement.
System of measurement, Material Standard, Wavelength Standards, Subdivision of standards, Line and End standards, Classification of standards and Traceability, calibration of End bars (Numericals), standardization.
Linear Measurement and angular measurements:
Slip gauges- Indian standards on slip gauge, method of selection of slip gauge, stack of slip gauge, adjustable slip gauge, wringing of slip gauge, care of slip gauge, slip gauge accessories, problems on building of slip gauges (M87, M112).
Measurement of angles- sine bar, sine center, angle gauges, optical instruments for angular measurements, Auto collimator-applications for measuring straightness and squareness.
MODULE -2
System of Limits, Fits, Tolerance and Gauging:
Definition of tolerance, Specification in assembly, Principle of interchangeability and selective assembly, limits of size, Indian standards, concept of limits of size and tolerances, definition of fits, hole basis system, shaft basis system, types of fits and their designation (IS 919-1963), geometric tolerance, position-tolerances.
Classification of gauges, brief concept of design of gauges (Taylor’s principles), Wear allowance on gauges, Types of gauges-plain plug gauge, ring gauge, snap gauge, limit gauge and gauge materials.
Comparators:
Functional requirements, classification, mechanical- Johnson Mikrokator, sigma comparators, dial indicator, electrical-principles, LVDT, Pneumatic- back pressure gauges, solex comparators and optical comparators-Zeiss ultra-optimeter.
MODULE -3
Measurement of screw thread and gear:
Terminology of screw threads, measurement of major diameter, minor diameter, pitch, angle and effective diameter of screw threads by 2-wire and 3-wire methods, best size wire. Screw thread gauges, Tool maker’s microscope.
Gear tooth terminology, tooth thickness measurement using constant chord method, addendum comparator method and base tangent method, measurement of pitch, concentricity, run out, and involute profile. Gear roll tester for composite error.
Advances in metrology:
Basic concepts of lasers, advantages of lasers, laser interferometers, types, applications. Basic concepts of Coordinate Measuring Machines-constructional features, applications.
MODULE -4
Measurement systems and basic concepts of measurement methods:
Definition, significance of measurement, generalized measurement system, definitions and concept of accuracy, precision, calibration, threshold, sensitivity, hysteresis, repeatability, linearity, loading effect, system response-time delay. Errors in measurement, classification of errors. Transducers, transfer efficiency, primary and secondary transducers, electrical, mechanical, electronic transducers, advantages of each type transducers.
Intermediate modifying and terminating devices: Mechanical systems, inherent problems, electrical intermediate modifying devices, input circuitry, ballast circuit, electronic amplifiers. Terminating devices, Cathode ray oscilloscope, Oscillographs.
MODULE -5
Force, Torque and Pressure Measurement:
Direct methods and indirect method, force measuring inst. Torque measuring inst., Types of dynamometers, Absorption dynamometer, Prony brake and rope brake dynamometer, and power measuring instruments. Pressure measurement, principle, use of elastic members, Bridgeman gauge, McLeod gauge, Pirani gauge.
Measurement of strain and temperature:
Theory of strain gauges, types, electrical resistance strain gauge, preparation and mounting of strain gauges, gauge factor, methods of strain measurement. Temperature Compensation, Wheatstone bridge circuit, orientation of strain gauges for force and torque, Strain gauge based load cells and torque sensors.
Resistance thermometers, thermocouple, law of thermocouple, materials used for construction, pyrometer, optical pyrometer.
**10 Hours**
**TEXT BOOKS:**
1. *Mechanical Measurements*, Beckwith Marangoni and Lienhard, Pearson Education, 6th Ed., 2006.
2. *Engineering Metrology*, R.K. Jain, Khanna Publishers, Delhi, 2009.
**REFERENCE BOOKS:**
1. *Engineering Metrology and Measurements*, Bentley, Pearson Education.
2. *Theory and Design for Mechanical Measurements, III edition*, Richard S Figliola, Donald E Beasley, WILEY India Publishers.
3. *Engineering Metrology*, Gupta I.C., Dhanpat Rai Publications.
4. *Deoblin’s Measurement system*, Ernest Deoblin, Dhanesh manick, McGraw –Hill.
5. *Engineering Metrology and Measurements*, N.V.Raghavendra and L.Krishnamurthy, Oxford University Press.
**Scheme of Examination:**
Two questions to be set from each module. Students have to answer five full questions, choosing at least one full question from each module.
COURSE OBJECTIVES
Students are expected-
1. To learn the concept of the preparation of samples to perform characterization such as microstructure, volume fraction of phases and grain size.
2. To understand mechanical behavior of various engineering materials by conducting standard tests.
3. To learn material failure modes and the different loads causing failure.
4. To learn the concepts of improving the mechanical properties of materials by different methods like heat treatment, surface treatment etc.
COURSE OUTCOMES
At the end of the course, the students will be able to:
1. Acquire experimentation skills in the field of material testing.
2. Develop theoretical understanding of the mechanical properties of materials by performing experiments.
3. Apply the knowledge to analyze a material failure and determine the failure inducing agent/s.
4. Apply the knowledge of testing methods in related areas.
5. Know how to improve structure/behavior of materials for various industrial applications.
PART – A
1. Preparation of specimen for Metallographic examination of different engineering materials.
To report microstructures of plain carbon steel, tool steel, gray C.I, SG iron, Brass, Bronze & composites.
2. Heat treatment: Annealing, normalizing, hardening and tempering of steel.
Metallographic specimens of heat treated components to be supplied and students should report microstructures of furnace cooled, water cooled, air cooled, tempered steel.
Students should be able to distinguish the phase changes in a heat treated specimen compared to untreated specimen.
3. Brinell, Rockwell and Vickers’s Hardness tests on untreated and heat treated specimens.
4. To study the defects of Cast and Welded components using Non-destructive tests like:
a) Ultrasonic flaw detection
b) Magnetic crack detection
c) Dye penetration testing.
PART – B
5. Tensile, shear and compression tests of steel, aluminum and cast iron specimens using Universal Testing Machine
6. Torsion Test on steel bar.
7. Bending Test on steel and wood specimens.
8. Izod and Charpy Tests on Mild steel and C.I Specimen.
9. To study the wear characteristics of ferrous and non-ferrous materials under different parameters.
10. Fatigue Test (demonstration only).
Students should make observations on nature of failure and manifestations of failure in each of the experiments apart from reporting values of mechanical properties determined after conducting the tests.
**Scheme of Examination:**
| Question Type | Marks |
|--------------------------------|-------|
| ONE question from part -A | 25 |
| ONE question from part -B | 40 |
| Viva -Voice | 15 |
Total : 80 Marks
MECHANICAL MEASUREMENTS AND METROLOGY LAB
[AS PER CHOICE ASED CREDIT SYSTEM (CBCS) SCHEME]
SEMESTER – III / IV
| Subject Code | 15MEL 37B / 47B | IA Marks | 20 |
|--------------------|-----------------|----------|----|
| Number of Lecture Hrs / Week | 01 | Exam Marks | 80 |
| No of Practical Hours / Week | 02 | Exam Hours | 03 |
CREDITS – 02
COURSE OBJECTIVES:
1. To illustrate the theoretical concepts taught in Mechanical Measurements & Metrology through experiments.
2. To illustrate the use of various measuring tools measuring techniques.
3. To understand calibration techniques of various measuring devices.
COURSE OUTCOMES
At the end of the course, the students will be able to
| | Description | CL | POs |
|---|-----------------------------------------------------------------------------|----|---------|
| CO1| To calibrate pressure gauge, thermocouple, LVDT, load cell, micrometer. | U | PO1, PO6|
| CO2| To measure angle using Sine Center/ Sine Bar/ Bevel Protractor, alignment | U | PO1, PO6|
| | using Autocollimator/ Roller set. | | |
| CO3| To demonstrate measurements using Optical Projector/Tool maker microscope, | U | PO1, PO6|
| | Optical flats. | | |
| CO4| To measure cutting tool forces using Lathe/Drill tool dynamometer. | U | PO1, PO6|
| CO5| To measure Screw thread parameters using 2-Wire or 3-Wire method, gear | U | PO1, PO6|
| | tooth profile using gear tooth vernier/Gear tooth micrometer. | | |
| CO6| To measure surface roughness using Tally Surf/ Mechanical Comparator. | U | PO1, PO6|
PART-A: MECHANICAL MEASUREMENTS
1. Calibration of Pressure Gauge
2. Calibration of Thermocouple
3. Calibration of LVDT
4. Calibration of Load cell
5. Determination of modulus of elasticity of a mild steel specimen using strain gauges.
PART-B: METROLOGY
1. Measurements using Optical Projector / Toolmaker Microscope.
2. Measurement of angle using Sine Center / Sine bar / bevel protractor
3. Measurement of alignment using Autocollimator / Roller set
4. Measurement of cutting tool forces using
a) Lathe tool Dynamometer OR
b) Drill tool Dynamometer.
5. Measurements of Screw thread Parameters using two wire or Three-wire methods.
6. Measurements of Surface roughness, Using Tally Surf/Mechanical Comparator
7. Measurement of gear tooth profile using gear tooth Vernier /Gear tooth micrometer
8. Calibration of Micrometer using slip gauges
9. Measurement using Optical Flats
Scheme of Examination:
ONE question from part -A: 25 Marks
ONE question from part -B: 40 Marks
Viva -Voice: 15 Marks
Total : 80 Marks
COURSE OBJECTIVES:
- To provide an insight into different sand preparation and foundry equipment’s.
- To provide an insight into different forging tools and equipment’s.
- To provide training to students to enhance their practical skills.
- To practically demonstrate precautions to be taken during casting and hot working.
- To develop team qualities and ethical principles.
COURSE OUTCOMES
Students will be able to
- Demonstrate various skills of sand preparation, molding.
- Demonstrate various skills of forging operations.
- Work as a team keeping up ethical principles.
PART A
1. Testing of Molding sand and Core sand
Preparation of sand specimens and conduction of the following tests:
1. Compression, Shear and Tensile tests on Universal Sand Testing Machine.
2. Permeability test
3. Sieve Analysis to find Grain Fineness Number (GFN) of Base Sand
4. Clay content determination in Base Sand.
PART B
2. Foundry Practice
1. Use of foundry tools and other equipment’s.
2. Preparation of molding sand mixture.
3. Preparation of green sand molds using two molding boxes kept ready for pouring.
- Using patterns (Single piece pattern and Split pattern)
- Without patterns.
- Incorporating core in the mold. (Core boxes).
- Preparation of one casting (Aluminum or cast iron-Demonstration only)
PART C
3. Forging Operations :
Use of forging tools and other equipment’s
- Calculation of length of the raw material required to prepare the model considering scale loss.
- Preparing minimum three forged models involving upsetting, drawing and bending operations.
- Demonstration of forging model using Power Hammer.
Question paper pattern:
One question is to be set from Part-A 15 Marks
One question is to be set from either Part-B or Part-C 35 Marks
Calculation of length of the raw material required for forging model is compulsory irrespective of the student preparing part-B or part-C model
Calculation of length for Forging 10 Marks
Viva – Voce 20 Marks
Total 20 Marks
MACHINE SHOP
[AS PER CHOICE ASED CREDIT SYSTEM (CBCS) SCHEME]
SEMESTER – III / IV
| Subject Code | 15MEL38 B | IA Marks | 20 |
|--------------------|-----------|----------|----|
| Number of Lecture Hrs / Week | 01 | Exam Marks | 80 |
| No of Practical Hours / Week | 02 | Exam Hours | 03 |
CREDITS – 02
COURSE OBJECTIVES
- To provide an insight to different machine tools, accessories and attachments
- To train students into machining operations to enrich their practical skills
- To inculcate team qualities and expose students to shop floor activities
- To educate students about ethical, environmental and safety standards
COURSE OUTCOMES
At the end of the course, the students will be able to
| COs | Description | CL | POs |
|-----|-----------------------------------------------------------------------------|----|---------|
| CO1 | Perform turning, facing, knurling, thread cutting, tapering, eccentric | A | PO1, PO6, PO9 |
| | turning and allied operations | | |
| CO2 | Perform keyways/slots, grooves etc using shaper | A | PO1, PO6, PO9 |
| CO3 | Perform gear tooth cutting using milling machine | A | PO1, PO6, PO9 |
| CO4 | Understand the formation of cutting tool parameters of single point | U | PO1, PO6 |
| | cutting tool using bench grinder/tool and cutter grinder | | |
| CO5 | Understand Surface Milling/Slot Milling | U | PO1, PO6 |
| CO6 | Demonstrate precautions and safety norms followed in Machine Shop | U | PO8 |
| CO7 | Exhibit interpersonal skills towards working in a team | U | PO9 |
PART – A
Preparation of three models on lathe involving
Plain turning, Taper turning, Step turning, Thread cutting, Facing, Knurling, Drilling, Boring, Internal Thread cutting and Eccentric turning.
PART – B
Cutting of V Groove/dovetail/Rectangular groove using a shaper
Cutting of Gear Teeth using Milling Machine
PART – C
For demonstration
Demonstration of formation of cutting parameters of single point cutting tool using bench grinder/tool & cutter grinder. Demonstration of surface milling/slot milling
One Model from Part – A 40 Marks
One Model from Part – B 20 Marks
Viva – Voce 20 Marks
Total 80 Marks
| Sl. No | Subject Code | Title | Teaching Hours /Week | Examination | Credits |
|--------|----------------|--------------------------------------------|----------------------|------------------------------|---------|
| | | | Lecture Tutorial Practical | Duration (Hours) | Theory/Practical Marks | I.A. Marks | Total Marks | |
| 1 | 15MAT41 | Engineering Mathematics – III | 04 | | 03 | 80 | 20 | 100 | 04 |
| 2 | 15ME42 | Kinematics of Machinery | 03 02 | | 03 | 80 | 20 | 100 | 04 |
| 3 | 15ME43 | Applied Thermodynamics | 03 02 | | 03 | 80 | 20 | 100 | 04 |
| 4 | 15ME44 | Fluid mechanics | 03 02 | | 03 | 80 | 20 | 100 | 04 |
| 5 | 15ME45A/15ME45B | Metal Casting and Welding / Machine Tools and Operations | 04 | | 03 | 80 | 20 | 100 | 04 |
| 6 | 15ME46 A/15ME46B | Computer Aided Machine Drawing / Mechanical Measurements and Metrology | 02 04 | 4 | 03 | 80 | 20 | 100 | 03 |
| 7 | 15MEL47A/15MEL47B | Materials Testing Lab/ Mechanical Measurements and Metrology Lab | 1 | 2 | 03 | 80 | 20 | 100 | 02 |
| 8 | 15MEL48A/15MEL48B | Foundry and Forging Lab / Machine Shop/ | 1 | 2 | 03 | 80 | 20 | 100 | 02 |
| | TOTAL | | 19/21 06 08/04 | | | 640 | 160 | 800 | 27 |
Course objectives
Students will
1. Familiarize with mechanisms and motion analysis of mechanisms.
2. Understand methods of mechanism motion analysis and their characteristics.
3. Analyse motion of planar mechanisms, gears, gear trains and cams.
MODULE - 1
Introduction: Definitions: Link, kinematic pairs, kinematic chain, mechanism, structure, degrees of freedom, Classification links, Classification of pairs based on type of relative motion, Grubler’s criterion, mobility of mechanism, Groshoff’s criteria, inversions of Grashoff’s chain.
Mechanisms: Quick return motion mechanisms – Drag link mechanism, Whitworth mechanism and Crank and slotted lever Mechanism. Oldham’s coupling. Straight line motion mechanisms Peaucellier’s mechanism and Robert’s mechanism. Intermittent Motion mechanisms: Geneva wheel mechanism, Ratchet and Pawl mechanism, toggle mechanism, pantograph, condition for correct steering, Ackerman steering gear mechanism.
10 Hours
MODULE - 2
Velocity and Acceleration Analysis of Mechanisms (Graphical Method): Velocity and acceleration analysis of four bar mechanism, slider crank mechanism. Mechanism illustrating Coriolis component of acceleration. Angular velocity and angular acceleration of links, velocity of rubbing.
Velocity Analysis by Instantaneous Center Method: Definition, Kennedy's theorem, Determination of linear and angular velocity using instantaneous center method.
Klein’s Construction: Analysis of velocity and acceleration of single slider crank mechanism.
10 Hours
MODULE – 3
Velocity and Acceleration Analysis of Mechanisms (Analytical Method): Velocity and acceleration analysis of four bar mechanism, slider crank mechanism using complex algebra method.
Freudenstein’s equation for four bar mechanism and slider crank mechanism.
Function Generation for four bar mechanism.
10 Hours
Module – 4
**Spur Gears:** Gear terminology, law of gearing, path of contact, arc of contact, contact ratio of spur gear. Interference in involute gears, methods of avoiding interference, back lash, condition for minimum number of teeth to avoid interference, expressions for arc of contact and path of contact.
**Gear Trains:** Simple gear trains, compound gear trains. Epicyclic gear trains: Algebraic and tabular methods of finding velocity ratio of epicyclic gear trains, torque calculation in epicyclic gear trains.
10 Hours
**Cams:** Types of cams, types of followers. Displacement, velocity and acceleration curves for uniform velocity, Simple Harmonic Motion, Uniform Acceleration Retradation, Cycloidal motion. Cam profiles: disc cam with reciprocating / oscillating follower having knife-edge, roller and flat-face follower inline and offset.
**Analysis of Cams:** Analysis of arc cam with flat faced follower.
10 Hours
*Graphical Solutions may be obtained either on the Graph Sheets or in the Answer Book itself.*
Course outcomes
Students will be able to
1. Identify mechanisms with basic understanding of motion.
2. Comprehend motion analysis of planar mechanisms, gears, gear trains and cams.
3. Carry out motion analysis of planar mechanisms, gears, gear trains and cams.
TEXT BOOKS:
1. Rattan S.S, Theory of Machines, Tata McGraw-Hill Publishing Company Ltd., New Delhi, 4th Edition, 2014.
2. Ambekar A. G., Mechanism and Machine Theory, PHI, 2009.
REFERENCE BOOKS:
1. Michael M Stanisic, Mechanisms and Machines-Kinematics, Dynamics and Synthesis, Cengage Learning, 2016.
2. Sadhu Singh, *Theory of Machines*, Pearson Education (Singapore) Pvt. Ltd, Indian Branch New Delhi, 2nd Edi. 2006.
Course learning objectives:
- To have a working knowledge of basic performance of Gas power cycles.
- To calculate the forces exerted by a fluid at rest on submerged surfaces and understand the force of buoyancy.
- To understand and evaluate the performance of steam power cycles and their various engineering applications.
- To know how fuel burns and their thermodynamic properties.
- To understand the mechanism of power transfer through belt, rope, chain, and gear drives in IC Engines.
- To determine performance parameters of refrigeration and air-conditioning systems.
- Evaluate the performance parameters of reciprocating air compressors as a function of receiver pressure.
**Module - I**
**Gas Power Cycles:** Air standard cycles; Carnot, Otto, Diesel, Dual, and Stirling cycles, p-v and T-s diagrams, description, efficiencies, and mean effective pressures. Comparison of Otto and Diesel cycles. Gas turbine (Brayton) cycle; description and analysis. Regenerative gas turbine cycle. Inter-cooling and reheating in gas turbine cycles.
Jet propulsion: Introduction to the principles of jet propulsion, turbojet, turboprop, Ramjet, and turbofan engines and their processes. Principles of rocket propulsion, Introduction to rocket engine. 10 Hours
**Module – II**
**Vapour Power Cycles:** Carnot vapour power cycle, drawbacks as a reference cycle. Simple Rankine cycle; description, T-s diagram, analysis for performance. Comparison of Carnot and Rankine cycles. Effects of pressure and temperature on Rankine cycle performance. Actual vapour power cycles. Ideal and practical regenerative Rankine cycles, open and closed feed water heaters. Reheat Rankine cycle. Characteristics of an Ideal working fluid in Vapour power cycles, Binary Vapour cycles. 10 Hours
**Module – III**
**Combustion Thermodynamics:** Theoretical (Stoichiometric) air for combustion of fuels. Excess air, mass balance, Exhaust gas analysis, A/F ratio. Energy balance for a chemical reaction, enthalpy of formation, enthalpy and internal energy of combustion. Combustion efficiency. Dissociation and equilibrium, emissions.
**I.C. Engines:** Classification of IC engines, Combustion of SI engine and CI engine, Detonation and factors affecting detonation, Performance analysis of IC Engines, heat balance, Morse test, IC Engine fuels, Ratings and Alternate Fuels. Automotive Pollutions and its effects on environment.
Module –IV
Refrigeration Cycles: Vapour compression refrigeration system; description, analysis, refrigerating effect. Capacity, power required, units of refrigeration, COP, Refrigerants and their desirable properties, alternate Refrigerants. Any one case study on cold storage or industrial refrigerator. Air cycle refrigeration; reversed Carnot cycle, reversed Brayton cycle, Vapour absorption refrigeration system. Steam jet refrigeration.
Psychrometrics and Air-conditioning Systems: Properties of Atmospheric air, and Psychometric properties of Air, Psychometric Chart, Analyzing Air-conditioning Processes; Heating, Cooling, Dehumidification and Humidification, Evaporative Cooling. Adiabatic mixing of two moist air streams. Cooling towers.
10 Hours
Module –V
Reciprocating Compressors: Operation of a single stage reciprocating compressors. Work input through p-v diagram and steady state steady flow analysis. Effect of Clearance and Volumetric efficiency. Adiabatic, Isothermal and Mechanical efficiencies. Multi-stage compressor, saving in work, Optimum intermediate pressure, Inter-cooling, Minimum work for compression.
Steam nozzles: Flow of steam through nozzles, Shape of nozzles, effect of friction, Critical pressure ratio, Supersaturated flow.
10 Hours
Course outcomes
Students will be able to
- Apply thermodynamic concepts to analyze the performance of gas power cycles including propulsion systems.
- Evaluate the performance of steam turbine components.
- Understand combustion of fuels and combustion processes in I C engines including alternate fuels and pollution effect on environment.
- Apply thermodynamic concepts to analyze turbo machines.
- Determine performance parameters of refrigeration and air-conditioning systems.
- Understand the principles and applications of refrigeration systems.
- Analyze air-conditioning processes using the principles of psychrometry and Evaluate cooling and heating loads in an air-conditioning system.
- Understand the working, applications, relevance of air and identify methods for performance improvement.
Text Books:
1. Thermodynamics an engineering approach, by Yunus A. Cengel and Michael A. Boles. Tata McGraw hill Pub. Sixth edition, 2008.
2. *Basic and Applied Thermodynamics* by P.K. Nag, Tata McGraw Hill, 2nd Edi. 2009
3. *Fundamentals of Thermodynamics* by G.J. Van Wylen and R.E. Sonntag, Wiley Eastern. Fourth edition 19993.
**Reference Books:**
1. *Thermodynamics for engineers*, Kenneth A. Kroos and Merle C. Potter, Cengage Learning, 2016
2. *Principles of Engineering Thermodynamics*, Michael J. Moran, Howard N. Shapiro, Wiley, 8th Edition
3. *An Introduction to Thermo Dynamics* by Y.V.C.Rao, Wiley Eastern Ltd, 2003.
4. *Thermodynamics* by Radhakrishnan. PHI, 2nd revised edition.
5. *I.C Engines* by Ganeshan.V. Tata McGraw Hill, 4th Edi. 2012.
6. *I.C. Engines* by M.L.Mathur & Sharma. Dhanpat Rai & sons- India
**E-Learning**
- Nptel.ac.in
- VTU, E-learning
- MOOCS
- Open courseware
**Scheme of Examination:**
Two questions to be set from each module. Students have to answer five full questions, choosing at least one full question from each module.
Course objectives:
- To have a working knowledge of the basic properties of fluids and understand the continuum approximation.
- To calculate the forces exerted by a fluid at rest on submerged surfaces and understand the force of buoyancy.
- To understand the flow characteristic and dynamics of flow field for various engineering applications.
- To know how velocity changes and energy transfers in fluid flows are related to forces and torques and to understand why designing for minimum loss of energy in fluid flows is so important.
- To discuss the main properties of laminar and turbulent pipe flow and appreciate their differences and the concept of boundary layer theory.
- Understand the concept of dynamic similarity and how to apply it to experimental modeling.
- To appreciate the consequences of compressibility in gas flow and understand the effects of friction and heat transfer on compressible flows.
**MODULE - I**
**Basics:** Introduction, Properties of fluids—mass density, weight density, specific volume, specific gravity, viscosity, surface tension, capillarity, vapour pressure, compressibility and bulk modulus. Concept of continuum, types of fluids etc., pressure at a point in the static mass of fluid, variation of pressure, Pascal’s law, Absolute, gauge, atmospheric and vacuum pressures, pressure measurement by simple, differential manometers and mechanical gauges.
**Fluid Statics:** Total pressure and center of pressure for horizontal plane, vertical plane surface and inclined plane surface submerged in static fluid. Buoyancy, center of buoyancy, meta center and meta centric height, its application in shipping, stability of floating bodies.
**MODULE -2**
**Fluid Kinematics and Dynamics:**
**Fluid Kinematics:** Types of Flow – steady, unsteady, uniform, non-uniform, laminar, turbulent, one, two, and three-dimensional, compressible, incompressible, rotational, irrotational, stream lines, path lines, streak lines, velocity components, convective and local acceleration, velocity potential, stream function, continuity equation in Cartesian coordinates. Rotation, vorticity and circulation, Laplace equation in velocity potential and Poisson equation in stream function, flow net, Problems.
**Fluid Dynamics:**
Momentum equation, Impacts of jets – force on fixed and moving vanes, flat and curved. Numericals. Euler’s equation, Integration of Euler’s equation to obtain Bernoulli’s equation, Bernoulli’s theorem, Application of Bernoulli’s theorem such as venture meter, orifice meter, rectangular and triangular notch, pitot tube, orifices etc., related numericals.
12 Hrs
**MODULE -3**
**Laminar and turbulent flow:** Reynolds Number, Entrance flow and Developed flow, Navier-Stokes Equation (no derivation), Laminar flow between parallel plates, Poiseuille equation – velocity profile, Couette flow, Fully developed laminar flow in circular pipes, Hagen - Poiseuille equation, related numericals.
Energy consideration in pipe flow, Loss of Pressure Head due to Fluid Friction, Darcy Weishach formula, major and minor losses in pipes, Commercial pipe, Colebrook equation, Moody equation/diagram. Pipes in series, parallel, equivalent pipe, Related Numericals and simple pipe design problems.
10 Hrs
**MODULE -4**
**Flow over bodies:** Development of boundary layer, Prandtl’s boundary layer equations, Blasius solution, laminar layer over a flat plate, boundary layer separation and its control.
Basic concept of Lift and Drag, Types of drag, Co-efficient of drag and lift, streamline body and bluff body, flow around circular bodies and airfoils, Lift and drag on airfoil, Numericals.
Dimensional analysis: Need for dimensional analysis, Dimensions and units, Dimensional Homogeneity and dimensionless ratios, methods of dimensional analysis, Rayleigh’s method, Buckingham Pi theorem, Similitude and Model studies. Numericals.
10 Hrs
Compressible Flows: Introduction, thermodynamic relations of perfect gases, internal energy and enthalpy, speed of sound, pressure field due to a moving source, basic Equations for one-dimensional flow, stagnation and sonic Properties, normal and oblique shocks.
Introduction to CFD: Necessity, limitations, philosophy behind CFD, applications.
08 Hrs
Course outcomes:
Students will be able to
- CO1: Identify and calculate the key fluid properties used in the analysis of fluid behavior.
- CO2: Understand and apply the principles of pressure, buoyancy and floatation
- CO3: Apply the knowledge of fluid statics, kinematics and dynamics while addressing problems of mechanical and chemical engineering.
- CO4: Understand and apply the principles of fluid kinematics and dynamics.
- CO5: Understand the concept of boundary layer in fluid flow and apply dimensional analysis to form dimensionless numbers in terms of input output variables.
- CO6: Understand the basic concept of compressible flow and CFD
Text Books:
1. Fluid Mechanics (SI Units), Yunus A. Cengel John M.Cimbala, 3rd Ed., Tata McGraw Hill, 2014.
2. Fluid Mechanics, F M White, McGraw Hill Publications Eighth edition. 2016
3. Mechanics of Fluids, Merle C. Potter, Devid C. Wiggertt, Bassem H. Ramadan, Cengage learning, Fourth editions 2016.
Reference Books:
1. Fundamentals of Fluid Mechanics by Munson, Young, Okiishi& Huebsch, John Wiley Publications, 7th edition.
2. Fluid Mechanics, Pijush.K Kundu, IRAM COCHEN, ELSEVIER, 3rd Ed. 2005.
3. Fluid Mechanics, John F.Douglas, Janul and M.Gasiosek and john A.Swaffield, Pearson Education Asia, 5th ed., 2006.
4. Introduction to Fluid Mechanics by Fox, McDonald, John Wiley Publications, 8th edition.
E-Learning
- Nptel.ac.in
- VTU, E-learning
- MOOCS
- Open courseware
Scheme of Examination:
Two questions to be set from each module. Students have to answer five full questions, choosing at least one full question from each module.
COURSE OBJECTIVE
- To provide detailed information about the moulding processes.
- To provide knowledge of various casting process in manufacturing.
- To impart knowledge of various joining process used in manufacturing.
- To provide adequate knowledge of quality test methods conducted on welded and casted components.
MODULE -1
INTRODUCTION & BASIC MATERIALS USED IN FOUNDRY
**Introduction:** Definition, Classification of manufacturing processes. Metals cast in the foundry-classification, factors that determine the selection of a casting alloy.
Introduction to casting process & steps involved. Patterns: Definition, classification, materials used for pattern, various pattern allowances and their importance.
**Sand molding:** Types of base sand, requirement of base sand. Binder, Additives definition, need and types.
**Preparation of sand molds:** Molding machines- Jolt type, squeeze type and Sand slinger. Study of important molding process: Green sand, core sand, dry sand, sweep mold, CO2 mold, shell mold, investment mold, plaster mold, cement bonded mold. Cores: Definition, need, types. Method of making cores, concept of gating (top, bottom, parting line, horn gate) and risering (open, blind) Functions and types
10 Hours
MODULE -2
MELTING & METAL MOLD CASTING METHODS
**Melting furnaces:** Classification of furnaces, Gas fired pit furnace, Resistance furnace, Coreless induction furnace, electric arc furnace, constructional features & working principle of cupola furnace.
**Casting using metal molds:** Gravity die casting, pressure die casting, centrifugal casting, squeeze casting, slush casting, thixocasting, and continuous casting processes
10 Hours
MODULE -3
SOLIDIFICATION & NON FERROUS FOUNDRY PRACTICE
**Solidification:** Definition, Nucleation, solidification variables, Directional solidification-need and methods. Degasification in liquid metals-Sources of gas, degasification methods.
**Fettling and cleaning of castings:** Basic steps involved. Sand Casting defects- causes, features and remedies. Advantages & limitations of casting process.
**Nonferrous foundry practice:** Aluminum castings - Advantages, limitations, melting of aluminum using lift-out type crucible furnace. Hardeners used, dressing, gas absorption, fluxing and flushing, grain refining, pouring temperature. Stir casting set up, procedure, uses, advantages and limitations.
10 Hours
MODULE -4
WELDING PROCESS
**Welding process:** Definition, Principles, Classification, Application, Advantages & limitations of welding. Arc welding: Principle, Metal arc welding (MAW), Flux Shielded Metal Arc Welding (FSMAW), Inert Gas Welding (TIG & MIG) Submerged Arc Welding (SAW) and Atomic Hydrogen Welding (AHW).
**Special type of welding:** Resistance welding principles, Seam welding, Butt welding, Spot welding and Projection welding. Friction welding, Explosive welding, Thermit welding, Laser welding and electron beam welding.
10 Hours
MODULE -5
**SOLDERING , BRAZING AND METALLURGICAL ASPECTS IN WELDING**
Structure of welds, Formation of different zones during welding, Heat Affected Zone (HAZ), Parameters affecting HAZ. Effect of carbon content on structure and properties of steel, Shrinkage in welds & Residual stresses, Concept of electrodes, filler rod and fluxes. Welding defects- Detection, causes & remedy.
**Soldering, brazing, gas welding:** Soldering, Brazing, Gas Welding: Principle, oxy-Acetylene welding, oxy-hydrogen welding, air-acetylene welding, Gas cutting, powder cutting.
**Inspection methods:** Methods used for inspection of casting and welding. Visual, magnetic particle, fluorescent particle, ultrasonic. Radiography, eddy current, holography methods of inspection.
10 Hours
| CO No. | Course Outcomes | Blooms level | PO |
|--------|---------------------------------------------------------------------------------|--------------|-----|
| CO1 | Describe the casting process, preparation of Green, Core, dry sand molds and Sweep, Shell, Investment and plaster molds. | U | PO1 |
| CO2 | Explain the Pattern, Core, Gating, Riser system and Jolt, Squeeze, Sand Slinger Molding Machines. | U | PO1 |
| CO3 | Compare the Gas fired pit, Resistance, Coreless, Electrical and Cupola Metal Furnaces. | U | PO1 |
| CO4 | Compare the Gravity, Pressure die, Centrifugal, Squeeze, slush and Continuous Metal mold castings. | U | PO1 |
| CO5 | Explain the Solidification process and Casting of Non-Ferrous Metals. | U | PO1 |
| CO6 | Describe the Metal Arc, TIG, MIG, Submerged and Atomic Hydrogen Welding processes used in manufacturing. | U | PO1 |
| CO7 | Explain the Resistance spot, Seam, Butt, Projection, Friction, Explosive, Thermit, Laser and Electron Beam Special type of welding process used in manufacturing. | U | PO1 |
| CO8 | Describe the Metallurgical aspects in Welding and inspection methods for the quality assurance of components made of casting and joining process. | U | PO1 |
TEXT BOOKS:
1. “Manufacturing Process-I”, Dr.K.Radhakrishna, Sapna Book House, 5th Revised Edition 2009.
2. “Manufacturing & Technology: Foundry Forming and Welding”, P.N.Rao, 3rd Ed., Tata McGraw Hill, 2003.
3. “Introduction to Manufacturing Process” – John A.Schey, 3rd Edition, McGraw Hills Education.
REFERENCE BOOKS:
1. “Machining And Machine Tools” – A.B.Chattopadhyay, FNA (E) Wiley.
2. “Process and Materials of Manufacturing”, Roy A Lindberg, 4th Ed. Pearson Edu. 2006.
3. “Manufacturing Technology, Vol 1, P N Rao, McGraw Hill Education, 4th Edition
4. “Principles of metal casting”, Rechard W. Heine, Carl R. Loper Jr., Philip C. Rosenthal, Tata McGraw Hill Education Private Limited
MACHINE TOOLS AND OPERATIONS
| Course | Code | Credits | L-T-P | Assessment | Exam Duration |
|-------------------------|------------|---------|-------|------------|---------------|
| Machine Tools and Operations | 15ME35B / 45B | 04 | 4-0-0 | SEE 80, CIA 20 | 3 Hrs |
**COURSE OBJECTIVES:**
- To introduce students to different machine tools in order to produce components having different shapes and sizes.
- To enrich the knowledge pertaining to relative motion and mechanics required for various machine tools.
- To develop the knowledge on mechanics of machining process and effect of various parameters on economics of machining.
**MODULE 1**
**MACHINE TOOLS**
Introduction, Classification, construction and specifications of lathe, drilling machine, milling machine, boring machine, broaching machine, shaping machine, planing machine, grinding machine [Simple sketches showing major parts of the machines]
10 hours
**MODULE 2**
**MACHINING PROCESSES**
Introduction, Types of motions in machining, turning and Boring, Shaping, Planing and Slotting, Thread cutting, Drilling and reaming, Milling, Broaching, Gear cutting and Grinding, Machining parameters and related quantities.
[Sketches pertaining to relative motions between tool and work piece only]
10 Hours
**MODULE 3**
**CUTTING TOOL MATERIALS, GEOMETRY AND SURFACE FINISH**
Introduction, desirable Properties and Characteristics of cutting tool materials, cutting tool geometry, cutting fluids and its applications, surface finish, effect of machining parameters on surface finish.
*Machining equations for cutting operations:* Turning, Shaping, Planing, slab milling, cylindrical grinding and internal grinding, Numerical Problems
10 Hours
**MODULE 4**
**MECHANICS OF MACHINING PROCESSES**
Introduction, Chip formation, Orthogonal cutting, Merchants model for orthogonal cutting, Oblique cutting, Mechanics of turning process, Mechanics of drilling process, Mechanics of milling process, Numerical problems.
10 Hours
**MODULE 5**
**TOOL WEAR, TOOL LIFE:** Introduction, tool wear mechanism, tool wear equations, tool life equations, effect of process parameters on tool life, machinability, Numerical problems
**ECONOMICS OF MACHINING PROCESSES:** Introduction, choice of feed, choice of cutting speed, tool life for minimum cost and minimum production time, machining at maximum efficiency, Numerical problems
10 Hours
COURSE OUTCOMES:
- Explain the construction & specification of various machine tools.
- Describe various machining processes pertaining to relative motions between tool & work piece.
- Discuss different cutting tool materials, tool nomenclature & surface finish.
- Apply mechanics of machining process to evaluate machining time.
Analyze tool wear mechanisms and equations to enhance tool life and minimize machining cost.
TEXT BOOKS:
1. Fundamentals of metal cutting and Machine Tools, B.L. Juneja, G.S. Sekhon and Nitin Seth, New Age International Publishers 2\textsuperscript{nd} Edition, 2003
2. All about Machine Tools, Heinrich Gerling, New Age International Publishers revised 2\textsuperscript{nd} Edition, 2006
REFERENCE BOOKS:
1. Fundamental of Machining and Machine Tools, Geoffrey Boothroyd and Winston A. Knight, CRC Taylor & Francis, Third Edition.
2. “Manufacturing Technology, Vol 2, P N Rao, McGraw Hill Education, 3\textsuperscript{rd} Edition
3. Metal cutting principles, Milton C. Shaw, Oxford University Press, Second Edition, 2005.
Scheme of Examination:
Two questions to be set from each module. Students have to answer five full questions, choosing at least one full question from each module.
## Course Objectives:
1. To improve the visualisation skills and understand the conventions used in engineering drawing.
2. To inculcate understanding of the theory of projection and make drawings using orthographic projections and sectional views.
3. To impart fundamental knowledge of drawing of different machine parts.
4. To enable the students with concepts of dimensioning and standards related to drawings.
5. To enable the students draw the assembly of various machine components.
6. Recognize to use engineering tools, software for drawing and engage in life long learning.
### Introduction to Computer Aided Sketching
Review of graphic interface of the software. Review of basic sketching commands and navigational commands.
02 Hours
### PART A
**Unit I**
**Sections of Solids**: Sections of Pyramids, Prisms, Cubes, Tetrahedrons, Cones and Cylinders resting only on their bases (No problems on axis inclinations, spheres and hollow solids), True shape of section.
04 Hours
**Orthographic views**: Conversion of pictorial views into orthographic projections of simple machine parts with or without section. (Bureau of Indian Standards conventions are to be followed for the drawings), Hidden line conventions, Precedence of lines.
04 Hours
**Unit II**
**Thread forms**: Thread terminology, sectional views of threads. ISO Metric (Internal & External), BSW (Internal and External), square, Acme and Sellers thread, American Standard thread.
**Fasteners**: Hexagonal headed bolt and nut with washer (assembly), square headed bolt and nut with washer (assembly) simple assembly using stud bolts with nut and lock nut. Flanged nut, slotted nut, taper and split pin for locking, counter sunk head screw, grub screw, Allen screw.
08 Hours
### PART B
**Unit III**
**Keys and Joints**: Parallel, Taper, Feather Key, Gibhead key and Woodruff key
**Riveted joints**: Single and double riveted lap joints, Butt joints with single/double cover straps (Chain and zigzag using snap head riveters).
**Joints**: Cotter joint (socket and spigot), Knuckle joint (pin joint) for two rods.
08 Hours
**Unit IV**
**Couplings**: Split muff coupling, Protected type flange coupling, Pin (bush) type flexible coupling, Oldham’s coupling and Universal coupling (Hook’s Joint).
**PART C**
**Limits, Fits and Tolerances**: Introduction, Fundamental tolerances, Deviations, Methods of placing limit dimensions, Types of fits with symbols and applications, Geometrical tolerances on drawings, Standards followed in industry.
**Assembly Drawings: (Part drawings shall be given)**
1. Plummer block (Pedestal Bearing)
2. Rams Bottom Safety Valve
3. I.C. Engine connecting rod
4. Screw jack (Bottle type)
5. Tailstock of lathe
6. Machine vice
7. Lathe square tool post
---
**Course Outcomes: Students will be able to**
1. Improve their visualization skills.
2. Understand the theory of projection.
3. Make component drawings.
4. Produce the assembly drawings using part drawings.
5. Engage in life long learning using sketching and drawing as communication tool.
**Text Books:**
1. ‘A Primer on Computer Aided Machine Drawing-2007’, Published by VTU, Belgaum.
2. ‘Machine Drawing’, N.D.Bhat & V.M.Panchal, Published by Charotar Publishing House, 1999.
3. ‘Machine Drawing’, N.Siddeshwar, P.Kannaih, V.V.S. Sastri, published by Tata Mc.Grawhill, 2006.
**Reference Book:**
1. “A Text Book of Computer Aided Machine Drawing”, S. Trymbakaa Murthy, CBS Publishers, New Delhi, 2007.
2. ‘Machine Drawing’, K.R. Gopala Krishna, Subhash publication.
**Note:**
**Internal Assessment: 20 Marks**
Sketches shall be in sketch books and drawing shall through use of software on A3/A4 sheets. Sketch book and all the drawing printouts shall be submitted.
**Scheme of Evaluation for Internal Assessment (20 Marks)**
(a) Class work (Sketching and Computer Aided Machine drawing printouts in A4/A3 size sheets): 10Marks.
(b) Internal Assessment test in the same pattern as that of the main examination(Better of the two Tests): 10 marks.
Scheme of Examination:
Two questions to be set from each PartA, partB and PartC.
Student has to answer one question each from PartA, PartB for 15 marks each and one question from Part C for 50 marks.
Part A 1X15 = 15 Marks
Part B 1X15 = 15 Marks
Part C 1X50 = 50 Marks
Total = 80 Marks
INSTRUCTION FOR
COMPUTER AIDED MACHINE DRAWING (15ME36A/46A) EXAMINATION
1. No restriction of timing for sketching/computerization of solutions. The total duration is 3 hours.
2. It is desirable to do sketching of all the solutions before computerization.
3. Drawing instruments may be used for sketching.
4. For Part A and Part B 2D drafting environment should be used.
5. For Part C 3D part environment should be used for parts assembly drawing and extract 2D views.
## COURSE OBJECTIVES
**Students are expected to –**
- Understand metrology, its advancements & measuring instruments,
- Acquire knowledge on different standards of length, calibration of End Bars, linear and angular measurements, Screw thread and gear measurement & comparators.
- Equip with knowledge of limits, fits, tolerances and gauging.
- Acquire knowledge of measurement systems and methods with emphasis on different transducers, intermediate modifying and terminating devices.
- Understand the measurement of Force, Torque, Pressure, Temperature and Strain.
### MODULE -1
**Introduction to Metrology:** Definition, objectives and concept of metrology, Need of inspection, Principles, process, methods of measurement, Classification and selection of measuring instruments and systems. Accuracy, precision and errors in measurement. System of measurement, Material Standard, Wavelength Standards, Subdivision of standards, Line and End standards, Classification of standards and Traceability, calibration of End bars(Numericals), standardization.
**Linear Measurement and angular measurements:**
Slip gauges- Indian standards on slip gauge, method of selection of slip gauge, stack of slip gauge, adjustable slip gauge, wringing of slip gauge, care of slip gauge, slip gauge accessories, problems on building of slip gauges (M87, M112). Measurement of angles- sine bar, sine center, angle gauges, optical instruments for angular measurements, Auto collimator-applications for measuring straightness and squareness.
**MODULE -2**
**System of Limits, Fits, Tolerance and Gauging:**
Definition of tolerance, Specification in assembly, Principle of interchangeability and selective assembly, limits of size, Indian standards, concept of limits of size and tolerances, definition of fits, hole basis system, shaft basis system, types of fits and their designation (IS 919-1963), geometric tolerance, position-tolerances. Classification of gauges, brief concept of design of gauges (Taylor’s principles), Wear allowance on gauges, Types of gauges-plain plug gauge, ring gauge, snap gauge, limit gauge and gauge materials.
**Comparators:**
Functional requirements, classification, mechanical- Johnson Mikrokator, sigma comparators, dial indicator, electrical- principles, LVDT, Pneumatic- back pressure gauges, solex comparators and optical comparators- Zeiss ultra-optimeter.
**MODULE -3**
**Measurement of screw thread and gear:**
Terminology of screw threads, measurement of major diameter, minor diameter, pitch, angle and effective diameter of screw threads by 2-wire and 3- wire methods, best size wire. Screw thread gauges, Tool maker’s microscope.
Gear tooth terminology, tooth thickness measurement using constant chord method, addendum comparator method and base tangent method, measurement of pitch, concentricity, run out, and involute profile. Gear roll tester for composite error.
**Advances in metrology:**
Basic concepts of lasers, advantages of lasers, laser interferometers, types, applications. Basic concepts of Coordinate Measuring Machines- constructional features, applications.
**MODULE -4**
**Measurement systems and basic concepts of measurement methods:**
Definition, significance of measurement, generalized measurement system, definitions and concept of accuracy, precision, calibration, threshold, sensitivity, hysteresis, repeatability, linearity, loading effect, system response-time delay. Errors in measurement, classification of errors.
Transducers, transfer efficiency, primary and secondary transducers, electrical, mechanical, electronic transducers, advantages of each type transducers.
**Intermediate modifying and terminating devices:** Mechanical systems, inherent problems, electrical intermediate modifying devices, input circuitry, ballast circuit, electronic amplifiers. Terminating devices, Cathode ray oscilloscope, Oscillographs.
**MODULE -5**
**Force, Torque and Pressure Measurement:**
Direct methods and indirect method, force measuring inst. Torque measuring inst., Types of dynamometers, Absorption dynamometer, Prony brake and rope brake dynamometer, and power measuring instruments. Pressure measurement, principle, use of elastic members, Bridgeman gauge, McLeod gauge, Pirani gauge.
**Measurement of strain and temperature:**
Theory of strain gauges, types, electrical resistance strain gauge, preparation and mounting of strain gauges, gauge factor, methods of strain measurement. Temperature Compensation, Wheatstone bridge circuit, orientation of strain gauges for force and torque, Strain gauge based load cells and torque sensors.
Resistance thermometers, thermocouple, law of thermocouple, materials used for construction, pyrometer, optical pyrometer.
## COURSE OUTCOMES
**At the end of the course students will be able to –**
| CO | Description | CL | POs |
|------|-----------------------------------------------------------------------------|----|---------|
| CO1 | Understand the objectives of metrology, methods of measurement, selection of measuring instruments, standards of measurement and calibration of end bars. | U | PO1, PO6|
| CO2 | Describe slip gauges, wringing of slip gauges and building of slip gauges, angle measurement using sine bar, sine center, angle gauges, optical instruments and straightness measurement using Autocollimator. | U | PO1, PO6|
| CO3 | Explain tolerance, limits of size, fits, geometric and position tolerances, gauges and their design. | U | PO1, PO6|
| CO4 | Understand the principle of Johnson Mikrokator, sigma comparator, dial indicator, LVDT, back pressure gauges, Solex comparators and Zeiss Ultra Optimeter | U | PO1, PO6|
| CO5 | Describe measurement of major diameter, minor diameter, pitch, angle and effective diameter of screw threads by 2 – wire, 3 – wire methods, screw thread gauges and tool maker’s microscope. | U | PO1, PO6|
| CO6 | Explain measurement of tooth thickness using constant chord method, addendum comparator methods and base tangent method, composite error using gear roll tester and measurement of pitch, concentricity, run out and involute profile. | U | PO1, PO6|
| CO7 | Understand laser interferometers and Coordinate measuring machines. | U | PO1, PO6|
| CO8 | Explain measurement systems, transducers, intermediate modifying devices and terminating devices. | U | PO1, PO6|
| CO9 | Describe functioning of force, torque, pressure, strain and temperature measuring devices. | U | PO1, PO6|
### TEXT BOOKS:
1. **Mechanical Measurements**, Beckwith Marangoni and Lienhard, Pearson Education, 6th Ed., 2006.
2. **Instrumentation, Measurement and Analysis**, B C Nakra, K K Chaudhry, 4th Edition, McGraw –Hill
3. **Engineering Metrology**, R.K. Jain, Khanna Publishers, Delhi, 2009.
### REFERENCE BOOKS:
1. **Engineering Metrology and Measurements**, Bentley, Pearson Education.
2. **Theory and Design for Mechanical Measurements, III edition**, Richard S Figliola, Donald E Beasley, WILEY India Publishers.
3. **Engineering Metrology**, Gupta I.C., Dhanpat Rai Publications.
4. **Deoblin’s Measurement system**, Ernest Deoblin, Dhanesh manick, McGraw –Hill.
5. **Engineering Metrology and Measurements**, N.V.Raghavendra and L.Krishnamurthy, Oxford University Press.
### Scheme of Examination:
Two question to be set from each module. Students have to answer five full questions, choosing at least one full question from each module.
COURSE OBJECTIVES
Students are expected-
1. To learn the concept of the preparation of samples to perform characterization such as microstructure, volume fraction of phases and grain size.
2. To understand mechanical behavior of various engineering materials by conducting standard tests.
3. To learn material failure modes and the different loads causing failure.
4. To learn the concepts of improving the mechanical properties of materials by different methods like heat treatment, surface treatment etc.
PART – A
1. Preparation of specimen for Metallographic examination of different engineering materials.
To report microstructures of plain carbon steel, tool steel, gray C.I, SG iron, Brass, Bronze & composites.
2. Heat treatment: Annealing, normalizing, hardening and tempering of steel.
Metallographic specimens of heat treated components to be supplied and students should report microstructures of furnace cooled, water cooled, air cooled, tempered steel.
Students should be able to distinguish the phase changes in a heat treated specimen compared to untreated specimen.
3. Brinell, Rockwell and Vickers’s Hardness tests on untreated and heat treated specimens.
4. To study the defects of Cast and Welded components using
Non-destructive tests like:
a) Ultrasonic flaw detection
b) Magnetic crack detection
c) Dye penetration testing.
PART – B
5. Tensile, shear and compression tests of steel, aluminum and cast iron specimens using Universal Testing Machine
6. Torsion Test on steel bar.
7. Bending Test on steel and wood specimens.
8. Izod and Charpy Tests on Mild steel and C.I Specimen.
9. To study the wear characteristics of ferrous and non-ferrous materials under different parameters.
10. Fatigue Test (demonstration only).
COURSE OUTCOMES
At the end of the course, the students will be able to:
1. Acquire experimentation skills in the field of material testing.
2. Develop theoretical understanding of the mechanical properties of materials by performing experiments.
3. Apply the knowledge to analyze a material failure and determine the failure inducing agent/s.
4. Apply the knowledge of testing methods in related areas.
5. Know how to improve structure/behavior of materials for various industrial applications.
Students should make observations on nature of failure and manifestations of failure in each of the experiments apart from reporting values of mechanical properties determined after conducting the tests.
Scheme of Examination:
| Question | Marks |
|----------|-------|
| ONE question from part -A: | 25 Marks |
| ONE question from part -B: | 40 Marks |
| Viva -Voice: | 15 Marks |
Total: 80 Marks
### COURSE OBJECTIVES:
1. To illustrate the theoretical concepts taught in Mechanical Measurements & Metrology through experiments.
2. To illustrate the use of various measuring tools and measuring techniques.
3. To understand calibration techniques of various measuring devices.
### PART-A: MECHANICAL MEASUREMENTS
1. Calibration of Pressure Gauge
2. Calibration of Thermocouple
3. Calibration of LVDT
4. Calibration of Load cell
5. Determination of modulus of elasticity of a mild steel specimen using strain gauges.
### PART-B: METROLOGY
1. Measurements using Optical Projector / Toolmaker Microscope.
2. Measurement of angle using Sine Center / Sine bar / bevel protractor
3. Measurement of alignment using Autocollimator / Roller set
4. Measurement of cutting tool forces using
- Lathe tool Dynamometer OR
- Drill tool Dynamometer.
5. Measurements of Screw thread Parameters using two wire or Three-wire methods.
6. Measurements of Surface roughness, Using Tally Surf/Mechanical Comparator
7. Measurement of gear tooth profile using gear tooth Vernier / Gear tooth micrometer
8. Calibration of Micrometer using slip gauges
9. Measurement using Optical Flats
COURSE OUTCOMES
At the end of the course, the students will be able to
| Description | CL | POs |
|------------------------------------------------------------------------------|----|-------|
| CO1 To calibrate pressure gauge, thermocouple, LVDT, load cell, micrometer. | U | PO1, PO6 |
| CO2 To measure angle using Sine Center/ Sine Bar/ Bevel Protractor, alignment using Autocollimator/ Roller set. | U | PO1, PO6 |
| CO3 To demonstrate measurements using Optical Projector/Tool maker microscope, Optical flats. | U | PO1, PO6 |
| CO4 To measure cutting tool forces using Lathe/Drill tool dynamometer. | U | PO1, PO6 |
| CO5 To measure Screw thread parameters using 2-Wire or 3-Wire method, gear tooth profile using gear tooth vernier/Gear tooth micrometer. | U | PO1, PO6 |
| CO6 To measure surface roughness using Tally Surf/ Mechanical Comparator. | U | PO1, PO6 |
Scheme of Examination:
ONE question from part -A: 25 Marks
ONE question from part -B: 40 Marks
Viva -Voice: 15 Marks
Total : 80 Marks
COURSE OBJECTIVES:
- To provide an insight into different sand preparation and foundry equipment’s.
- To provide an insight into different forging tools and equipment’s.
- To provide training to students to enhance their practical skills.
- To practically demonstrate precautions to be taken during casting and hot working.
- To develop team qualities and ethical principles.
PART A
1. Testing of Molding sand and Core sand
Preparation of sand specimens and conduction of the following tests:
1. Compression, Shear and Tensile tests on Universal Sand Testing Machine.
2. Permeability test
3. Sieve Analysis to find Grain Fineness Number (GFN) of Base Sand
4. Clay content determination in Base Sand.
PART B
2. Foundry Practice
1. Use of foundry tools and other equipment’s.
2. Preparation of molding sand mixture.
3. Preparation of green sand molds using two molding boxes kept ready for pouring.
- Using patterns (Single piece pattern and Split pattern)
- Without patterns.
- Incorporating core in the mold. (Core boxes).
- Preparation of one casting (Aluminum or cast iron-Demonstration only)
PART C
3. Forging Operations :
Use of forging tools and other equipment’s
- Calculation of length of the raw material required to prepare the model considering scale loss.
- Preparing minimum three forged models involving upsetting, drawing and bending operations.
- Demonstration of forging model using Power Hammer.
COURSE OUTCOMES
Students will be able to
- Demonstrate various skills of sand preparation, molding.
- Demonstrate various skills of forging operations.
- Work as a team keeping up ethical principles.
Question paper pattern:
One question is to be set from Part-A 15 Marks
One question is to be set from either Part-B or Part-C 35 Marks
Calculation of length of the raw material required for forging model is compulsory irrespective of the student preparing part-B or part-C model
Calculation of length for Forging 10 Marks
Viva – Voce 20 Marks
Total 20 Marks
## COURSE OBJECTIVES
- To provide an insight to different machine tools, accessories and attachments
- To train students into machining operations to enrich their practical skills
- To inculcate team qualities and expose students to shop floor activities
- To educate students about ethical, environmental and safety standards
### PART – A
Preparation of three models on lathe involving
Plain turning, Taper turning, Step turning, Thread cutting, Facing, Knurling, Drilling, Boring, Internal Thread cutting and Eccentric turning.
### PART – B
Cutting of V Groove/ dovetail / Rectangular groove using a shaper
Cutting of Gear Teeth using Milling Machine
### PART – C
**For demonstration**
Demonstration of formation of cutting parameters of single point cutting tool using bench grinder / tool & cutter grinder. Demonstration of surface milling /slot milling
## COURSE OUTCOMES
At the end of the course, the students will be able to
| COs | Description | CL | POs |
|-----|-----------------------------------------------------------------------------|----|-------|
| CO1 | Perform turning, facing, knurling, thread cutting, tapering, eccentric turning and allied operations | A | PO1, PO6, PO9 |
| CO2 | Perform keyways/slots, grooves etc using shaper | A | PO1, PO6, PO9 |
| CO3 | Perform gear tooth cutting using milling machine | A | PO1, PO6, PO9 |
| CO4 | Understand the formation of cutting tool parameters of single point cutting tool using bench grinder / tool and cutter grinder | U | PO1, PO6 |
| CO5 | Understand Surface Milling/Slot Milling | U | PO1, PO6 |
| CO6 | Demonstrate precautions and safety norms followed in Machine Shop | U | PO8 |
| CO7 | Exhibit interpersonal skills towards working in a team | U | PO9 |
One Model from Part – A 40 Marks
One Model from Part – B 20 Marks
Viva – Voce 20 Marks
Total 80 Marks
## V SEMESTER
| Sl. No | Subject Code | Title | Lecture | Tutorial | Practical | Duration (Hours) | Theory/Practical Marks | I.A. Marks | Total Marks | Credits |
|--------|--------------|------------------------------|---------|----------|-----------|------------------|------------------------|------------|------------|---------|
| 1 | 15ME51 | Management and Engineering Economics | 3 | 2 | 0 | 03 | 80 | 20 | 100 | 4 |
| 2 | 15ME52 | Dynamics of Machinery | 3 | 2 | 0 | 03 | 80 | 20 | 100 | 4 |
| 3 | 15ME53 | Turbo Machines | 3 | 2 | 0 | 03 | 80 | 20 | 100 | 4 |
| 4 | 15ME54 | Design of Machine Elements - I | 3 | 2 | 0 | 03 | 80 | 20 | 100 | 4 |
| 5 | 15ME55X | Professional Elective-I | 3 | 0 | 0 | 03 | 80 | 20 | 100 | 3 |
| 6 | 15ME56X | Open Elective-I | 3 | 0 | 0 | 03 | 80 | 20 | 100 | 3 |
| 7 | 15MEL57 | Fluid Mechanics & Machinery Lab | 1 | 0 | 2 | 03 | 80 | 20 | 100 | 2 |
| 8 | 15MEL58 | Energy Lab | 1 | 0 | 2 | 03 | 80 | 20 | 100 | 2 |
**TOTAL**
| Lecture | Tutorial | Practical | Duration (Hours) | Theory/Practical Marks | I.A. Marks | Total Marks | Credits |
|---------|----------|-----------|------------------|------------------------|------------|-------------|---------|
| 21 | 06 | 04 | | 640 | 160 | 800 | 26 |
### Professional Elective-I
| Subject Code | Title |
|--------------|------------------------------|
| 15ME551 | Refrigeration and Air-conditioning |
| 15ME552 | Theory of Elasticity |
| 15ME553 | Human Resource Management |
| 15ME554 | Non Traditional Machining |
### Open Elective-I
| Subject Code | Title |
|--------------|------------------------------|
| 15ME561 | Optimization Techniques |
| 15ME562 | Energy and Environment |
| 15ME563 | Automation and Robotics |
| 15ME564 | Project Managemet |
1. **Core subject**: This is the course, which is to be compulsorily studied by a student as a core requirement to complete the requirement of a programme in a said discipline of study.
2. **Professional Elective**: Elective relevant to chosen specialization/ branch
3. **Open Elective**: Electives from other technical and/or emerging subject areas.
### MANAGEMENT AND ENGINEERING ECONOMICS
| Course | Code | Credits | L-T-P | Assessment | Exam Duration |
|---------------------------------------|--------|---------|-------|------------|---------------|
| Management And Engineering Economics | 15ME51 | 04 | 3-2-0 | SEE 80, CIA 20 | 3Hrs |
#### MODULE – 1
**Management:** Introduction - Meaning - nature and characteristics of Management, Scope and Functional areas of management - Management as ascience, art of profession - Management & Administration - Roles of Management, Levels of Management, Development of Management Thought- early management approaches – Modern management approaches.
**Planning:** Nature, importance and purpose of planning process Objectives -Types of plans (Meaning Only) - Decision making Importance of planning - steps in planning & planning premises - Hierarchy of plans.
**MODULE - 2**
**Organizing And Staffing:** Nature and purpose of organization Principles of organization - Types of organization - Departmentation Committees-Centralization Vs Decentralization of authority and responsibility - Span of control - MBO and MBE (Meaning Only) Nature and importance of staffing--:Process of Selection & Recruitment (in brief).
**Directing & Controlling:** Meaning and nature of directing Leadership styles, Motivation Theories, Communication - Meaning and importance - coordination, meaning and importance and Techniques of Coordination. Meaning and steps in controlling - Essentials of a sound control system - Methods of establishing control (in brief)
**MODULE - 3**
**Introduction:** Engineering and economics, Problem solving and decision making, Laws of demand and supply, Difference between Microeconomics & Macroeconomics, equilibrium between demand & supply, elasticity of demand, price elasticity, income elasticity. Law of Returns, Interest and interest factors, simple and compound interest, Cash flow diagrams, personal loans and EMI payment calculation with flexible interest rates, Discussion and problems
MODULE -4
**Present, future and annual worth and rate of returns**: Basic present worth comparisons, Present worth-equivalence, Assets with unequal lives and infinite lives, future worth comparisons, payback comparisons, Equivalent annual worth comparisons, situations for annual worth comparisons. Asset life, Rate of return, minimum acceptable rate of return, IRR anomalies and misconceptions, Cost of capital, comparisons of all present future and annual worth with IRR, product costing, Discussions and problems
10 Hours
MODULE -5
**Costing and depreciation**: Components of costs, estimation of selling price, marginal cost, first cost, all kinds of overheads, indirect cost estimation with depreciation, mensuration and estimation of material cost, cost estimation of mechanical process, idling time.
Product costing (approaches to product costing), causes of depreciation, methods of computing depreciation charges, straight line method, declining balance method, sum of years method, sinking fund method, service output methods, taxation concepts, personal income taxes and corporate taxes, Discussions and problems.
10 Hours
**Course outcomes**
On completion of this subject students will be able to
1. Understand needs, functions, roles, scope and evolution of Management
2. Understand importance, purpose of Planning and hierarchy of planning and also analyze its types
3. Discuss Decision making, Organizing, Staffing, Directing and Controlling
4. Select the best economic model from various available alternatives
5. Understand various interest rate methods and implement the suitable one.
6. Estimate various depreciation values of commodities
7. Prepare the project reports effectively.
**TEXT BOOKS**
1. Principles of Management by Tripathy and Reddy
2. Mechanical estimation and costing, T.R. Banga & S.C. Sharma, 17th edition 2015
3. Engineering Economy, Riggs J.L. McGraw Hill, 2002
4. Engineering Economy, Thuesen H.G. PHI, 2002
**REFERENCE BOOKS**
1. Management Fundamentals- Concepts, Application, Skill Development - RobersLusier - Thomson
2. Basics of Engineering Economy, Leland Blank & Anthony Tarquin, McGraw Hill Publication (India) Private Limited
3. Engineering Economics, R.Paneerselvam, PHI publication
4. Fundamentals of Management: Essential Concepts and Applications, Pearson Education, Robbins S.P. and Decenzo David A.
5. Economics: Principles of Economics, N Gregory Mankiw, Cengage Learning
6. Modern Economic Theory, By Dr. K. K. Dewett & M. H. Navalur, S. Chand Publications
Course Objectives
1. To gain the knowledge static and dynamic equilibrium conditions of mechanisms subjected forces and couple, with and without friction.
2. Analyse the mechanisms for static and dynamic equilibrium.
3. To understand the balancing principles of rotating and reciprocating masses, governors and gyroscopes.
4. Analyse the balancing of rotating and reciprocating masses, governors and gyroscopes.
5. To understand vibrations characteristics of single degree of freedom systems.
6. Characterise the single degree freedom systems subjected to free and forced vibrations with and without damping.
MODULE 1
Static force Analysis: Static equilibrium. Equilibrium of two and three force members. Members with two forces and torque, Free body diagrams, Static force analysis of four bar mechanism and Slider-crank mechanism with and without friction.
Dynamic force Analysis: D’Alembert’s principle, Inertia force, Inertia torque. Dynamic force analysis of four-bar mechanism and Slider crank mechanism without friction, numerical problems.
MODULE 2
Balancing of Rotating Masses: Static and dynamic balancing, balancing of single rotating mass by balancing masses in same plane and in different planes. Balancing of several rotating masses by balancing masses in same plane and in different planes.
Balancing of Reciprocating Masses: Inertia effect of crank and connecting rod, Single cylinder engine, balancing in multi cylinder-inline engine (primary and secondary forces), numerical problems.
MODULE 3
Governors: Types of governors, force analysis of Porter and Hartnell governors. Controlling force, Stability, Sensitiveness, Isochronism, Effort and Power.
Gyroscope: Vectorial representation of angular motion, Gyroscopic couple. Effect of gyroscopic couple on plane disc, aeroplane, ship, stability of two wheelers and four wheelers, numerical problems.
MODULE - 4
Introduction & Undamped free Vibrations (Single Degree of Freedom)
Types of vibrations, Definitions, Simple Harmonic Motion (SHM), Work done by harmonic force, Principle of super position applied to SHM. Methods of analysis – (Newton’s, Energy & Rayleigh’s methods). Derivations for spring mass systems, Natural frequencies of simple systems, Springs in series and parallel, Torsional and transverse vibrations, Effect of mass of spring and problems.
MODULE – 5
Damped free Vibrations (Single Degree of Freedom)
Types of damping, Analysis with viscous damping - Derivations for over, critical and under damped systems, Logarithmic decrement and numerical problems.
Forced Vibrations (Single Degree of Freedom):
Analysis of forced vibration with constant harmonic excitation, Magnification factor (M.F.), Vibration isolation - Transmissibility ratio, Excitation of support (absolute and relative), Numerical problems. 10 Hours
Course outcomes
On completing the course the student will be able to
1. Determine the forces and couples for static and dynamic conditions of four bar and slider crank mechanisms to keep the system in equilibrium.
2. Determine magnitude and angular position of balancing masses under static and dynamic condition of rotating masses in same and different planes.
3. Determine unbalanced primary, secondary forces and couples in single and multi-cylinder engine.
4. Determine sensitiveness, isochronism, effort and power of porter and hartnell governors.
5. Determine gyroscopic couple and effects related to 2, 4 wheeler, plane disc, ship and aeroplanes.
6. Understand types of vibration, SHM and methods of finding natural frequencies of simple mechanical systems.
7. Determine equation of motion, natural frequency, damping factor, logarithmic decrement of damped free vibration (SDOF) systems.
8. Determine the natural frequency, force and motion transmissibility of single degree freedom systems.
9. Determine equation of motion of rotating and reciprocating unbalance systems, magnification factor, and transmissibility of forced vibration (SDOF) systems.
Text Books:
1. Theory of Machines, Sadhu Singh, Pearson Education, 2nd Edition. 2007.
2. Mechanism and Machine Theory, A. G. Ambekar PHI, 2007
3. Mechanical Vibrations, V. P. Singh, Dhanpat Rai and Company,
4. Mechanical Vibrations, G. K.Grover, Nem Chand and Bros.
Reference Books:
1. Theory of Machines, Rattan S.S. Tata McGraw Hill Publishing Company Ltd., New Delhi, 3rd Edition, 2009.
2. Mechanical Vibrations, S. S. Rao, Pearson Education Inc, 4edition, 2003.
Course Objectives:
- The course aims at giving an overview of different types of turbomachinery used for energy transformation, such as pumps, fans, compressors, as well as hydraulic and steam turbines.
- Explain the working principles of turbomachines and apply it to various types of machines.
- It will focus on application of turbo machinery in power generation, power absorption and transportation sectors.
Module 1
**Introduction**: Definition of turbo machine, parts of turbo machines, Comparison with positive displacement machines, Classification, Dimensionless parameters and their significance, Effect of Reynolds number, Unit and specific quantities, model studies.
(Note: Since dimensional analysis is covered in Fluid Mechanics subject, questions on dimensional analysis may not be given. However, dimensional parameters and model studies may be given more weightage.)
**Thermodynamics of fluid flow**: Application of first and second law of thermodynamics to turbo machines, Efficiencies of turbo machines, Static and Stagnation states, Incompressible fluids and perfect gases, overall isentropic efficiency, stage efficiency (their comparison) and polytropic efficiency for both compression and expansion processes. Reheat factor for expansion process
(10 Hours)
Module 2
**Energy exchange in Turbo machines**: Euler’s turbine equation, Alternate form of Euler’s turbine equation, Velocity triangles for different values of degree of reaction, Components of energy transfer, Degree of Reaction, utilization factor, Relation between degree of reaction and Utilization factor, Problems.
**General Analysis of Turbo machines**: Radial flow compressors and pumps – general analysis, Expression for degree of reaction, velocity triangles, Effect of blade discharge angle on energy transfer and degree of reaction, Effect of blade discharge angle on performance, Theoretical head – capacity relationship, General analysis of axial flow pumps and compressors, degree of reaction, velocity triangles, Problems.
(10 Hours)
Module 3
**Steam Turbines**: Classification, Single stage impulse turbine, condition for maximum blade efficiency, stage efficiency, Need and methods of compounding, Multi-stage impulse turbine, expression for maximum utilization factor.
**Reaction turbine** – Parsons’s turbine, condition for maximum utilization factor, reaction staging. Problems.
(10 Hours)
Module 4
Hydraulic Turbines: Classification, various efficiencies. **Pelton turbine** – velocity triangles, design parameters, Maximum efficiency.
Francis turbine - velocity triangles, design parameters, runner shapes for different blade speeds. Draft tubes- Types and functions. **Kaplan and Propeller turbines** - velocity triangles, design parameters. Problems.
(10 Hours)
Module 5
Centrifugal Pumps: Classification and parts of centrifugal pump, different heads and efficiencies of centrifugal pump, Minimum speed for starting the flow, Maximum suction lift, Net positive suction head, Cavitation, Need for priming, Pumps in series and parallel. Problems.
Centrifugal Compressors: Stage velocity triangles, slip factor, power input factor, Stage work, Pressure developed, stage efficiency and surging and problems. Axial flow Compressors: Expression for pressure ratio developed in a stage, work done factor, efficiencies and stalling. Problems.
(10 Hours)
Course Outcomes:
- Able to give precise definition of turbomachinery
- Identify various types of turbo machinery
- Apply the Euler’s equation for turbomachinery to analyse energy transfer in turbomachines
- Understand the principle of operation of pumps, fans, compressors and turbines.
- Perform the preliminary design of turbomachines (pumps, rotary compressors and turbines)
- Analyze the performance of turbo machinery.
TEXT BOOKS:
1. An Introduction to Energy Conversion, Volume III, Turbo machinery, V. Kadambi and Manohar Prasad, New Age International Publishers, reprint 2008.
2. Turbines, Compressors & Fans, S. M. Yahya, Tata McGraw Hill Co. Ltd., 2nd edition, 2002
REFERENCE BOOKS:
1. Principals of Turbo machines, D. G. Shepherd, The Macmillan Company (1964).
2. Fluid Mechanics & Thermodynamics of Turbo machines, S. L. Dixon, Elsevier (2005).
3. Text Book of Turbo machines, M. S. Govindegouda and A. M. Nagaraj, M. M. Publications, 4Th Ed, 2008.
Course Objectives
1. Able to understand mechanical design procedure, materials, codes and use of standards.
2. Able to design machine components for static, impact and fatigue strength.
3. Able to design fasteners, shafts, joints, couplings, keys, threaded fasteners riveted joints, welded joints and power screws.
Module-1
Fundamentals of Mechanical Engineering Design
Mechanical engineering design, Phases of design process, Design considerations, Engineering Materials and their Mechanical properties, Standards and Codes, Factor of safety, Material selection.
Static Stresses: Static loads, Normal, Bending, Shear and Combined stresses. Stress concentration and determination of stress concentration factor.
10 Hours
Module -2
Design for Impact and Fatigue Loads
Impact stress due to Axial, Bending and Torsional loads.
Fatigue failure: Endurance limit, S-N Diagram, Low cycle fatigue, High cycle fatigue, modifying factors: size effect, surface effect. Stress concentration effects, Notch sensitivity, fluctuating stresses, Goodman and Soderberg relationship, stresses due to combined loading, cumulative fatigue damage.
10 Hours
Module -3
Design of Shafts, Joints, Couplings and Keys
Torsion of shafts, design for strength and rigidity with steady loading, ASME codes for power transmission shafting, shafts under combined loads.
Design of Cotter and Knuckle joints, Rigid and flexible couplings, Flange coupling, Bush and Pin type coupling and Oldham’s coupling. Design of keys-square, saddle, flat and father.
10 Hours
Module - 4
Riveted Joints and Weld Joints
Rivet types, rivet materials, failures of riveted joints, Joint Efficiency, Boiler Joints, Lozanze Joints, Riveted Brackets, eccentrically loaded joints. Types of welded joints, Strength of butt and fillet welds, welded brackets with transverse and parallel fillet welds, eccentrically loaded welded joints.
10 Hours
Module -5
Threaded Fasteners and Power Screws
Stresses in threaded fasteners, Effect of initial tension, Design of threaded fasteners under static loads, Design of eccentrically loaded bolted joints. Types of power screws, efficiency and self-locking, Design of power screw, Design of screw jack: (Complete Design).
10 Hours
Course outcomes
On completion of the course the student will be able to
1. Describe the design process, choose materials.
2. Apply the codes and standards in design process.
3. Analyze the behavior of machine components under static, impact, fatigue loading using failure theories.
4. Design shafts, joints, couplings.
5. Design of riveted and welded joints.
6. Design of threaded fasteners and power screws
Text Books:
1. Design of Machine Elements, V.B. Bhandari, Tata McGraw Hill Publishing Company Ltd., New Delhi, 2nd Edition 2007.
2. Mechanical Engineering Design, Joseph E Shigley and Charles R. Mischke. McGraw Hill International edition, 6th Edition, 2009.
Design Data Handbook:
1. Design Data Hand Book, K. Lingaiah, McGraw Hill, 2nd Ed.
2. Data Hand Book, K. Mahadevan and Balaveera Reddy, CBS Publication
3. Design Data Hand Book, S C Pilli and H. G. Patil, I. K. International Publisher, 2010.
Reference Books:
1. Machine Design, Robert L. Norton, Pearson Education Asia, 2001.
2. Engineering Design, George E. Dieter, Linda C Schmidt, McGraw Hill Education, Indian Edition, 2013.
3. Design of Machined Elements, S C Pilli and H. G. Patil, I. K. International Publisher, 2017.
4. Machine Design, Hall, Holowenko, Laughlin (Schaum’s Outline series) adapted by S.K Somani, tata McGraw Hill Publishing company Ltd., New Delhi, Special Indian Edition, 2008
**REFRIGERATION AND AIR-CONDITIONING**
*(Professional Elective-I)*
| Course | Code | Credits | L-T-P | Assessment | Exam Duration |
|---------------------------------------------|--------|---------|-------|------------|---------------|
| Refrigeration And Air-Conditioning | 15ME551| 03 | 3-0-0 | SEE 80 | 20 | 3Hrs |
**Pre-requisites:** Basic and Applied Thermodynamics
**Course objectives**
1. Study the basic definition, ASHRAE Nomenclature for refrigerating systems
2. Understand the working principles and applications of different types of refrigeration systems
3. Study the working of air conditioning systems and their applications
4. Identify the performance parameters and their relations of an air conditioning system
**Module – I**
*Introduction to Refrigeration* – Basic Definitions, ASHRAE Nomenclature, Air Refrigeration Cycles – reversed Carnot cycle, Bell-Coleman cycle analysis, Air Refrigeration systems – merits and demerits and applications: Aircraft refrigeration cycles, Joule Thompson coefficient and Inversion Temperature, Linde, Claude and Stirling cycles for liquefaction of air.
*Industrial Refrigeration* – Chemical and process industries, Dairy plants, Petroleum refineries, Food processing and food chain, Miscellaneous
8 Hours
**Module – II**
*Vapour Compression Refrigeration System (VCRS)*: Comparison of Vapour Compression Cycle and Gas cycle, Vapour Compression Refrigeration system Working and analysis, Limitations, Superheat horn and throttling loss for various refrigerants, efficiency, Modifications to standard cycle – liquid-suction heat exchangers, Grindlay cycle and Lorenz cycle, Optimum suction condition for optimum COP – Ewing’s construction and Gosney’s method. Actual cycles with pressure drops, Complete Vapour Compression Refrigeration System, Multi-Pressure, Multi-evaporator systems or Compound Vapour Compression Refrigeration Systems – Methods like Flash Gas removal, Flash inter cooling and water Inter cooling.
10 Hours
**Module – III**
*Vapour Absorption Refrigeration Systems*: Absorbent – Refrigerant combinations, Water-Ammonia Systems, Practical problems, Lithium-Bromide System, Contrast between the two systems, Modified Version of Aqua-Ammonia System with Rectifier and Analyzer Assembly, Practical problems – crystallization and air leakage, Commercial systems
*Other types of Refrigeration systems*: Brief Discussion on (i) Steam-Jet refrigeration system and (ii) Thermoelectric refrigeration, pulse tube refrigeration, thermo acoustic refrigeration systems
8 Hours
**Module – IV**
Refrigerants: Primary and secondary refrigerants, Designation of Refrigerants, Desirable properties of refrigerants including solubility in water and lubricating oil, material compatibility, toxicity, flammability, leak detection, cost, environment and performance issues. Thermodynamic properties of refrigerants, Synthetic and natural refrigerants, Comparison between different refrigerants vis a vis applications, Special issues and practical implications. Refrigerant mixtures – zeotropic and azeotropic mixtures
Refrigeration systems Equipment: Compressors, Condensers, Expansion Devices and Evaporators, A brief look at other components of the system.
Module – V
Air-Conditioning: Introduction to Air-Conditioning, Basic Definition, Classification, power rating, ASHRAE Nomenclature pertaining to Air-Conditioning, Applications of Air-Conditioning, Mathematical Analysis of Air-Conditioning Loads, Related Aspects, Different Air-Conditioning Systems-Central – Station Air-Conditioning System, Unitary Air-Conditioning System, Window Air-Conditioner and Packaged Air-Conditioner, Components related to Air-Conditioning Systems.
Transport air conditioning Systems: Air conditioning systems for automobiles (cars, buses etc.), Air conditioning systems for trains, Air conditioning systems for ships.
Course Outcomes
At the end of the course, the student will be able to:
1. Illustrate the principles, nomenclature and applications of refrigeration systems.
2. Explain vapour compression refrigeration system and identify methods for performance improvement.
3. Study the working principles of air, vapour absorption, thermoelectric and steam-jet and thermo-acoustic refrigeration systems.
4. Estimate the performance of air-conditioning systems using the principles of psychrometry.
5. Compute and Interpret cooling and heating loads in an air-conditioning system.
6. Identify suitable refrigerant for various refrigerating systems.
TEXT BOOKS
1. Roy J. Dossat, Principles of Refrigeration, Wiley Limited.
2. Arora C.P., Refrigeration and Air-conditioning, Tata Mc Graw –Hill, New Delhi, 2nd Edition, 2001.
3. Stoeker W.F., and Jones J.W., Refrigeration and Air-conditioning, Mc Graw - Hill, New Delhi 2nd edition, 1982.
REFERENCE BOOKS
1. Dossat, Principles of Refrigeration Pearson-2006.
2. McQuistion, Heating, Ventilation and Air Conditioning, Wiley Students edition, 5th edition 2000.
3. PITA, Air conditioning 4th edition, pearson-2005.
4. Refrigeration and Air-Conditioning’ by Manoharprasad.
5. S C Arora & S Domkundwar, Refrigeration and Air-Conditioning Dhanpat Rai Publication.
6. http://nptel.ac.in/courses/112105128/#
Data Book:
1. Shan K. Wang, Handbook of Air Conditioning and Refrigeration, 2/e, 2001 McGraw-Hill Education.
2. Mathur M.L. & Mehta, Refrigerant and Psychrometric Properties (Tables & Charts) SI Units, F.S., Jain Brothers, 2008.
E-Learning
- VTU, E-learning, MOOCS, Open courseware.
Course objectives
1. To gain knowledge of stresses and strains in 3D and their relations and thermal stresses.
2. To understand the 2D analysis of elastic structural members.
3. To gain knowledge of thermal stresses and stability of columns
4. To analyse elastic members for the stresses and strains induced under direct loading conditions.
5. To analyse the axisymmetric and torsional members.
6. To analyse the thermal stresses induced in disks and cylinders.
7. To analyse the stability of columns
Module –1
Analysis of Stress: Definition and notation of stress, equations of equilibrium in differential form, stress components on an arbitrary plane, equality of cross shear, stress invariants, principal stresses, octahedral stress, planes of maximum shear, stress transformation, plane state of stress, Numerical problems.
8 Hours
Module - 2
Analysis of Strain: Displacement field, strains in term of displacement field, infinitesimal strain at a point, engineering shear strains, strain invariants, principal strains, octahedral strains, plane state of strain, compatibility equations, strain transformation, Numerical Problems.
8 Hours
Module –3
Two-Dimensional classical elasticity Problems: Cartesian co-ordinates - Relation between plane stress and plane strain, stress functions for plane stress and plane strain state, Airy’s stress functions, Investigation of Airy’s stress function for simple beams, bending of a narrow cantilever beam of rectangular cross section under edge load. Bending of simply supported beam under UDL. General equations in polar coordinates, stress distribution symmetrical about an axis, Thick wall cylinder subjected to internal and external pressures. Numerical Problems.
10 Hours
Module – 4
Axisymmetric and Torsion problems: Stresses in rotating discs of uniform thickness and cylinders. Torsion of circular, elliptical and triangular bars, Prandtl’s membrane analogy, torsion of thin walled thin tubes, torsion of thin walled multiple cell closed sections. Numerical Problems.
8 Hours
Module -5
**Thermal stress and Elastic stability:** Thermo elastic stress strain relations, equations of equilibrium, thermal stresses in thin circular discs and in long circular cylinders, Euler’s column buckling load: clamped-free, clamped-hinged, clamped-clamped and pin-ended, Numerical Problems
8 Hours
**Course outcomes**
At the end of course student able to:
1. Describe the state of stress and strain in 2D and 3D elastic members subjected to direct loads and thermal loads.
2. Analyse the structural members: beam, rotating disks, columns
3. Analyse the torsional rigidity of circular and non-circular sections.
4. Analyse the stability of columns
**Text Books:**
1. Theory of Elasticity, S. P. Timoshenko and J. N Goodier, Mc. Graw, Hill International, 3rd Ed., 2010.
2. Theory of Elasticity, Dr. Sadhu Singh, Khanna Publications, 2004.
**References Books:**
1. Advanced Mechanics of solids, L. S. Srinath, Tata Mc. Graw Hill, 2009.
2. Theory of Elastic stability, Stephen P. Timoshenko, Mc Graw Hill, 2nd Ed. 2014.
Course Objectives:
1. To develop a meaningful understanding of HRM theory, functions and practices.
2. To apply HRM concepts and skills across various types of organizations.
Module – 1
**Human Resource Management**
Introduction, meaning, nature, scope of HRM. Importance and Evolution of the concept of HRM. Major functions of HRM, Principles of HRM, Organization of Personnel department, Role of HR Manager.
**Job Analysis:** Meaning, process of job analysis, methods of collecting job analysis data, Job Description and Specification, Role Analysis.
08 hours
Module – 2
**Human Resource Planning:** Objectives, Importance and process of Human Resource planning, Effective HRP
**Recruitment:** Definition, Constraints and Challenges, Sources and Methods of Recruitment, New Approaches to recruitment.
**Selection:** Definition and Process of Selection.
08 hours
Module – 3
**Placement:** Meaning, Induction/Orientation, Internal Mobility, Transfer, Promotion, Demotion and Employee Separation.
**Training and development:** Training v/s development, Training v/s Education, Systematic Approach to Training, Training Methods, Executive Development, Methods and Development of Management Development, Career and Succession Planning.
08 hours
Module – 4
**Performance Appraisal:** Concept of Performance Appraisal, the Performance Appraisal process, Methods of Performance Appraisal, Essential Characteristic of an Effective Appraisal System.
**Compensation:** Objectives of Compensation Planning, Job Evaluation, Compensation Pay Structure in India, Wage and Salary Administration, Factors Influencing Compensation Levels, Executive Compensation.
09 hours
Module – 5
**Employee Welfare:** Introduction, Types of Welfare Facilities and Statutory Provisions.
**Employee Grievances:** Employee Grievance procedure, Grievances management in Indian Industry.
**Discipline:** Meaning, approaches to discipline, essential of a good disciplinary system, managing difficult employees.
09 hours
**Course Outcomes**
On completion of the course the student will be able to
1. Understand the importance, functions and principles Human Resource Management and process of Job analysis
2. Summarize the objectives of Human Resource planning, Recruitment and selection process
3. Understand the process involved in Placement, Training and development activities.
4. Understand the characteristics of an effective appraisal system and compensation planning.
5. Understand the issues related to employee welfare, grievances and discipline.
**TEXTBOOKS**
1. Human Resource Management- Rao V.S.P, Excel books, 2010
2. Human Resource Management- Cynthia D. Fisher, 3/e, AIPD, Chennai
3. Human Resource Management: A South Asian Perspective, Snell, Bohlander&Vohra, 16th Rep., Cengage Learning, 2012
4. Human Resource Management- Lawrence S Kleeman, Biztantra, 2012
5. Human Resource Management- Aswathappa K, HPH
**REFERENCE BOOKS**
1. Human Resource Management- John M. Ivancevich, 10/e, McGraw Hill.
2. Human Resource Management in Practice- Srinivas R. Kandulla, PHI
3. Human Resource Management- Luis R Gomez-Mejia, David B. Balkin, Robert L Cardy, 6/e, PHI, 2010
NON TRADITIONAL MACHINING
(Professional Elective-I)
| Course | Code | Credits | L-T-P | Assessment SEE | CIA | Exam Duration |
|-------------------------|--------|---------|-------|----------------|-----|---------------|
| Non Traditional Machining | 15ME554 | 03 | 3-0-0 | 80 | 20 | 3Hrs |
**MODULE 1**
**INTRODUCTION**
Introduction to Non-traditional machining, Need for Non-traditional machining process, Comparison between traditional and non-traditional machining, general classification Non-traditional machining processes, classification based on nature of energy employed in machining, selection of non-traditional machining processes, Specific advantages, limitations and applications of non-traditional machining processes.
**MODULE 2**
**Ultrasonic Machining (USM):** Introduction, Equipment and material process, Effect of process parameters: Effect of amplitude and frequency, Effect of abrasive grain diameter, effect of slurry, tool & work material. Process characteristics: Material removal rate, tool wear, accuracy, surface finish, applications, advantages & limitations of USM.
**Abrasive Jet Machining (AJM):** Introduction, Equipment and process of material removal, process variables: carrier gas, type of abrasive, work material, stand-off distance (SOD). Process characteristics-Material removal rate, Nozzle wear, accuracy & surface finish. Applications, advantages & limitations of AJM.
**Water Jet Machining (WJM):** Equipment & process, Operation, applications, advantages and limitations of WJM.
**MODULE 3**
**ELECTROCHEMICAL MACHINING (ECM)**
Introduction, Principle of electro chemical machining: ECM equipment, elements of ECM operation, Chemistry of ECM. ECM Process characteristics: Material removal rate, accuracy, surface finish.
Process parameters: Current density, Tool feed rate, Gap between tool & work piece, velocity of electrolyte flow, type of electrolyte, its concentration temperature, and choice of electrolytes. ECM Tooling: ECM tooling technique & example, Tool & insulation materials.
Applications ECM: Electrochemical grinding and electrochemical honing process. Advantages, disadvantages and application of ECG, ECH.
CHEMICAL MACHINING (CHM)
Elements of the process: Resists (maskants), Etchants. Types of chemical machining process-chemical blanking process, chemical milling process. Process characteristics of CHM: material removal rate, accuracy, surface finish, advantages, limitations and applications of chemical machining process.
MODULE 4
ELECTRICAL DISCHARGE MACHINING (EDM)
Introduction, mechanism of metal removal. EDM equipment: spark erosion generator (relaxation type), dielectric medium-its functions & desirable properties, electrode feed control system. Flushing types; pressure flushing, suction flushing, side flushing, pulsed flushing. EDM process parameters: Spark frequency, current & spark gap, surface finish, Heat Affected Zone. Advantages, limitations & applications of EDM, Electrical discharge grinding, Traveling wire EDM.
PLASMA ARC MACHINING (PAM)
Introduction, non-thermal generation of plasma, equipment mechanism of metal removal, Plasma torch, process parameters, process characteristics. Safety precautions. Safety precautions, applications, advantages and limitations.
MODULE 5
LASER BEAM MACHINING (LBM)
Introduction, generation of LASER, Equipment and mechanism of metal removal, LBM parameters and characteristics, Applications, Advantages & limitations.
ELECTRON BEAM MACHINING (EBM)
Introduction, Principle, equipment and mechanism of metal removal, applications, advantages and limitations.
Course Outcomes
On completion of the course, the students will be able to
1. Understand the compare traditional and non-traditional machining process and recognize the need for Non-traditional machining process.
2. Understand the constructional features, performance parameters, process characteristics, applications, advantages and limitations of USM, AJM and WJM.
3. Identify the need of Chemical and electro-chemical machining process along with the constructional features, process parameters, process characteristics, applications, advantages and limitations.
4. Understand the constructional feature of the equipment, process parameters, process characteristics, applications, advantages and limitations EDM & PAM.
5. Understand the LBM equipment, LBM parameters, and characteristics. EBM equipment and mechanism of metal removal, applications, advantages and limitations LBM & EBM.
Text Books:
1. Modern Machining Process by P.C Pandey and H S Shah, McGraw Hill Education India Pvt. Ltd. 2000
2. Production technology, HMT, McGraw Hill Education India Pvt. Ltd. 2001
Reference Books
1. New Technology, Dr. Amitabha Bhattacharyya, The Institute of Engineers (India), 2000
2. Modern Machining process, Aditya, 2002.
COURSE OBJECTIVES
Course Objective:
The general objectives of the course is to
1. Introduce the fundamental concepts of Optimization Techniques;
2. Make the learners aware of the importance of optimizations in real scenarios;
3. Provide the concepts of various classical and modern methods of for constrained and unconstrained problems in both single and multivariable.
MODULE I
Introduction to Classical Optimization Techniques
Statement of an Optimization problem – design vector – design constraints – constraint surface – objective function – objective function surfaces – classification of Optimization problems.
Classical Optimization Techniques
Single variable Optimization, Multi variable Optimization with and without constraints, Multivariable Optimization with equality constraints - solution by method of Lagrange multipliers, Multivariable Optimization with inequality constraints - Kuhn – Tucker conditions.
(8 Hours)
MODULE II
Linear Programming
Various definitions, statements of basic theorems and properties, Advantages, Limitations and Application areas of Linear Programming, Graphical method of Linear Programming problem.
Simplex Method – Phase I and Phase II of the Simplex Method, The Revised Simplex method, Primal and Dual Simplex Method, Big –M method.
(10 Hours)
MODULE III
Transportation Problem
Finding initial basic feasible solution by north – west corner rule, least cost method and Vogel’s approximation method – testing for optimality of balanced transportation problems. (Including assignment and travelling salesman problems) (No degeneracy problems)
Queuing
Queuing Models: Essential features of queuing systems, operating characteristics of queuing system, probability distribution in queuing systems, classification of queuing models, solution of queuing M/M/1 : ∞ /FCFS, M/M/1 : N/FCFS, M/M/C : ∞/FCFS, M/M/C : N/FCFS.
MODULE IV
Dynamic Programming
Dynamic programming multistage decision processes – types – concept of sub optimization and the principle of optimality – computational procedure in dynamic programming – examples illustrating the calculus method of solution - examples illustrating the tabular method of solution.
Integer Programming
Pure and mixed integer programming problems. Solution of Integer programming problems – Gomory’s all integer cutting plane method and mixed integer method, branch and bound method, Zero-one programming.
MODULE V
Simulation Modeling
Introduction, Definition and types, Limitations, Various phases of modeling, Monte Carlo method, Applications, advantages and limitations of simulation
Inventory Models
Role of demand in the development of inventory models, objectives, inventory costs, quantity discount, Economic Order Quantity (EOQ), EOQ when stock replenishment is not instantaneous, Economic lot size when shortages are allowed, economic lot size with different rate of demand in different cycles (Instantaneous replenishment). (No Dynamic EOQ Models)
COURSE OUTCOMES
Upon successful completion of this course, students will be able to
1. Understand the overview of optimization techniques, concepts of design space, constraint surfaces and objective function.
2. Review differential calculus in finding the maxima and minima of functions of several variables.
3. Formulate real-life problems with Linear Programming.
4. Solve the Linear Programming models using graphical and simplex methods.
5. Formulate real-life transportation, assignment and travelling salesman problems to find the optimum solution using transportation algorithms
6. Analyze the Queuing model for effective customer satisfaction
7. Apply dynamic programming to optimize multi stage decision problems.
8. Determine the level of inventory that a business must maintain to ensure smooth operation.
9. Construct precedence diagram for series of activities in a huge project to find out probability of expected completion time using PERT-CPM networks. Also reduce the duration of project by method of crashing.
TEXT BOOKS
1. Engineering optimization: Theory and practice” by S.S.Rao, New Age International (P) Limited.
2. Operations Research: An Introduction” by H A Taha, 5th Edition, Macmillan, New York.
3. Operations Research by NVR Naidu, G Rajendra, T Krishna Rao, I K International Publishing house, New Delhi.
REFERENCE BOOKS
1. Optimization Methods in Operations Research and systems Analysis” – by K.V. Mittal and C. Mohan, New Age, International (P) Limited, Publishers
2. Operations Research – by S.D.Sharma, KedarnathRamanath& Co
3. Linear programming, G. Hadley, Narosa Publishing House, New Delhi.
4. Industrial Engineering and Production Management, M. Mahajan, Dhanpat Rai & co
Course Objectives
1. Understand energy scenario, energy sources and their utilization
2. Learn about methods of energy storage, energy management and economic analysis
3. Have proper awareness about environment and eco system.
4. Understand the environment pollution along with social issues and acts.
Module – I
Basic Introduction to Energy: Energy and power, forms of energy, primary energy sources, energy flows, world energy production and consumption, Key energy trends in India: Demand, Electricity, Access to modern energy, Energy production and trade, Factors affecting India’s energy development: Economy and demographics Policy and institutional framework, Energy prices and affordability, Social and environmental aspects, Investment.
8 Hours
Module – II
Energy storage systems: Thermal energy storage methods, Energy saving, Thermal energy storage systems
Energy Management: Principles of Energy Management, Energy demand estimation, Energy pricing
Energy Audit: Purpose, Methodology with respect to process Industries, Characteristic method employed in Certain Energy Intensive Industries
Economic Analysis: Scope, Characterization of an Investment Project
10 Hours
Module – III
Environment: Introduction, Multidisciplinary nature of environmental studies- Definition, scope and importance, Need for public awareness.
Ecosystem: Concept, Energy flow, Structure and function of an ecosystem, Food chains, food webs and ecological pyramids, Forest ecosystem, Grassland ecosystem, Desert ecosystem and Aquatic ecosystems, Ecological succession.
8 Hours
Module – IV
Environmental Pollution: Definition, Cause, effects and control measures of - Air pollution, Water pollution, Soil pollution, Marine pollution, Noise pollution, Thermal pollution and Nuclear hazards, Solid waste Management, Disaster management Role of an individual in prevention of pollution, Pollution case studies.
8 Hours
Module – V
Social Issues and the Environment: Climate change, global warming, acid rain, ozone layer depletion, nuclear accidents and holocaust. Case Studies. Wasteland reclamation, Consumerism and waste products, Environment Protection Act, Air (Prevention and Control of Pollution) Act, Water (Prevention and control of Pollution) Act, Wildlife Protection Act, Forest Conservation Act, Issues involved in enforcement of environmental legislation.
8 Hours
Course Outcomes
At the end of the course, the student will be able to:
1. Summarize the basic concepts of energy, its distribution and general Scenario.
2. Explain different energy storage systems, energy management, audit and economic analysis.
3. Summarize the environment eco system and its need for awareness.
4. Identify the various types of environment pollution and their effects.
5. Discuss the social issues of the environment with associated acts.
TEXT BOOKS:
1. Textbook for Environmental Studies For Undergraduate Courses of all Branches of Higher Education by University grant commission and Bharathi Vidyapeeth Institute of environment education and Research, Pune
2. De, B. K., Energy Management audit & Conservation, 2nd Edition, Vrinda Publication, 2010.
REFERENCE BOOKS:
1. Turner, W. C., Doty, S. and Truner, W. C., Energy Management Hand book, 7th edition, Fairmont Press, 2009.
2. Murphy, W. R., Energy Management, Elsevier, 2007.
3. Smith, C. B., Energy Management Principles, Pergamum, 2007
4. Environment pollution control Engineering by C S rao, New Age Inytermnational, 2006, reprint 2015, 2nd edition
5. Environmental studies, by Benny Joseph, Tata McGraw Hill, 2008, 2nd edition.
E- Learning
• India Energy Outlook 2015(www.iea.org/.../IndiaEnergyOutlook_WEO2015.pdf)
• Open courseware
## Module - 1
### Automation
History of Automation, Reasons for automation, Disadvantages of automation, Automation systems, Types of automation – Fixed, Programmable and Flexible automation, Automation strategies.
Automated Manufacturing Systems: Components, classification and overview of manufacturing Systems, Flexible Manufacturing Systems (FMS). Types of FMS, Applications and benefits of FMS.
**08 Hours**
### Module - 2
### Robotics
Definition of Robot, History of robotics, Robotics market and the future prospects, Robot Anatomy, Robot configurations: Polar, Cartesian, cylindrical and Jointed-arm configuration.
Robot motions, Joints, Work volume, Robot drive systems, Precision of movement – Spatial resolution, Accuracy, Repeatability, End effectors – Tools and grippers.
**08 Hours**
### Module - 3
### Controllers and Actuators
Basic Control System concepts and Models, Transfer functions, Block diagrams, characteristic equation. Types of Controllers: on-off, Proportional, Integral, Differential, P-I, P-D, P-I-D controllers. Control system and analysis.
### Robot actuation and feedback components
Position sensors – Potentiometers, resolvers, encoders, velocity sensors. Actuators - Pneumatic and Hydraulic Actuators, Electric Motors, Stepper motors, Servomotors, Power Transmission systems.
**09 Hours**
### Module - 4
### Robot Sensors and Machine vision system
Sensors in Robotics - Tactile sensors, Proximity and Range sensors, use of sensors in robotics.
Machine Vision System: Introduction to Machine vision, the sensing and digitizing function in Machine vision, Image processing and analysis, Training and Vision systems.
**08 Hours**
Module - 5
**Robots Technology of the future**: Robot Intelligence, Advanced Sensor capabilities, Telepresence and related technologies, Mechanical design features, Mobility, locomotion and navigation, the universal hand, system integration and networking.
**Artificial Intelligence**: Goals of AI research, AI techniques – Knowledge representation, Problem representation and problem solving, LISP programming, AI and Robotics, LISP in the factory.
**Course Outcomes**
On completion of the course student will be able to
1. Classify various types of automation & manufacturing systems
2. Discuss different robot configurations, motions, drive systems and its performance parameters.
3. Describe the basic concepts of control systems, feedback components, actuators and power transmission systems used in robots.
4. Explain the working of transducers, sensors and machine vision systems.
5. Discuss the future capabilities of sensors, mobility systems and Artificial Intelligence in the field of robotics.
**Text Books**
1. Automation, Production Systems and Computer Integrated Manufacturing M.P. Groover, Pearson Education, 5th edition, 2009
2. Industrial Robotics, Technology, Programming and Applications by M.P. Groover, Weiss, Nagel, McGraw Hill International, 2nd edition, 2012.
**Reference Books**
1. Robotics, control vision and intelligence-Fu, Lee and Gonzalez. McGraw Hill International, 2nd edition, 2007.
2. Robotic Engineering - An Integrated approach, Klafter, Chmielewski and Negin, PHI, 1st edition, 2009.
## PROJECT MANAGEMENT
**OPEN ELECTIVE – I**
| Course | Code | Credits | L-T-P | Assessment | Exam Duration |
|-------------------------|-------|---------|-------|------------|---------------|
| Project Management | 15ME564 | 03 | 3-0-0 | SEE 80, CIA 20 | 3Hrs |
### MODULE – 1
**Introduction:** Definition of project, characteristics of projects, understand projects, types of projects, scalability of project tools, project roles.
**Project Selection And Prioritization** – Strategic planning process, Strategic analysis, strategic objectives, portfolio alignment – identifying potential projects, methods of selecting projects, financial mode / scoring models to select projects, prioritizing projects, securing and negotiating projects. **08 Hours**
### MODULE – 2
**Planning Projects:** Defining the project scope, Project scope checklist, Project priorities, Work Breakdown Structure (WBS), Integrating WBS with organisation, coding the WBS for the information system.
**Scheduling Projects:** Purpose of a project schedule, historical development, how project schedules are limited and created, develop project schedules, uncertainty in project schedules, Gantt chart. **08 Hours**
### MODULE – 3
**Resourcing Projects:** Abilities needed when resourcing projects, estimate resource needs, creating staffing management plant, project team composition issues, Budgeting Projects: Cost planning, cost estimating, cost budgeting, establishing cost control.
**Project Risk Planning:** Risk Management Planning, risk identification, risk analysis, risk response planning. Project Quality Planning and Project Kickoff: Development of quality concepts, project quality management plan, project quality tools, kickoff project, baseline and communicate project management plan, using Microsoft Project for project baselines. **08 Hours**
### MODULE – 4
**Performing Projects:** Project supply chain management: - Plan purchasing and acquisitions, plan contracting, contact types, project partnering and collaborations, project supply chain management.
Project Progress and Results: Project Balanced Scorecard Approach, Internal project, customer, financial issues, Finishing the project: Terminate project early, finish projects on time, secure customer feedback and approval, knowledge management, perform administrative and contract closure.
MODULE - 5
Network Analysis
Introduction, network construction - rules, Fulkerson’s rule for numbering the events, AON and AOA diagrams; Critical path method (CPM) to find the expected completion time of a project, floats; PERT for finding expected duration of an activity and project, determining the probability of completing a project, predicting the completion time of project; crashing of simple projects.
Course Outcomes
On completion of the course the student will be able to
1. Understand the selection, prioritization and initiation of individual projects and strategic role of project management.
2. Understand the work breakdown structure by integrating it with organization.
3. Understand the scheduling and uncertainty in projects.
4. Students will be able to understand risk management planning using project quality tools.
5. Understand the activities like purchasing, acquisitions, contracting, partnering and collaborations related to performing projects.
6. Determine project progress and results through balanced scorecard approach
7. Draw the network diagram to calculate the duration of the project and reduce it using crashing.
TEXT BOOKS
1. Project Management, Timothy J Kloppenborg, Cengage Learning, Edition 2009.
2. Project Management, A systems approach to planning scheduling and controlling by Harold kerzner, CBS publication.
3. Project Management by S Choudhury, Mc Graw Hill Education (India) Pvt. Ltd. New Delhi, 2016
REFERENCE BOOKS
1. Project Management, Pennington Lawrence, Mc Graw hill
2. Project Management, A Moder Joseph and Phillips New York Van Nostrand, Reinhold.
3. Project Management, Bhavesh M. Patal, Vikas publishing House,
Co-requisite Courses: Turbo Machines
Prerequisites: Fluid Mechanics and Thermodynamics
Course Objectives:
1. This course will provide a basic understanding of flow measurements using various types of flow measuring devices, calibration and losses associated with these devices.
2. Energy conversion principles, analysis and understanding of hydraulic turbines and pumps will be discussed. Application of these concepts for these machines will be demonstrated. Performance analysis will be carried out using characteristic curves.
PART – A
1. Lab layout, calibration of instruments and standards to be discussed
2. Determination of coefficient of friction of flow in a pipe.
3. Determination of minor losses in flow through pipes.
4. Application of momentum equation for determination of coefficient of impact of jets on flat and curved blades
5. Calibration of flow measuring devices.
6. Orifice meter
- Nozzle
- Venturimeter
- V-notch
PART – B
7. Performance on hydraulic Turbines
a. Pelton wheel
b. Francis Turbine
c. Kaplan Turbines
8. Performance hydraulic Pumps
d. Single stage and Multi stage centrifugal pumps
e. Reciprocating pump
9. Performance test on a two stage Reciprocating Air Compressor
10. Performance test on an Air Blower
PART – C (Optional)
11. Visit to Hydraulic Power station/ Municipal Water Pump House and Case Studies
12. Demonstration of cut section models of Hydraulic turbines and Pumps.
Course Outcomes:
At the end of this course students are able to,
1. Perform experiments to determine the coefficient of discharge of flow measuring devices.
2. Conduct experiments on hydraulic turbines and pumps to draw characteristics.
3. Test basic performance parameters of hydraulic turbines and pumps and execute the knowledge in real life situations.
4. Determine the energy flow pattern through the hydraulic turbines and pumps
5. Exhibit his competency towards preventive maintenance of hydraulic machines
Reading:
1. K.L.Kumar. “Engineering Fluid Mechanics” Experiments, Eurasia Publishing House, 1997
2. Jagdish Lal, Hydraulic Machines, Metropolitan Book Co, Delhi, 1995
3. George E. Totten, Victor J. De Negri “Handbook of Hydraulic Fluid Technology, Second Edition, 2011.
Scheme of Examination:
ONE question from part -A: 25 Marks
ONE question from part -B: 40 Marks
Viva –Voice : 15 Marks
Total: 80 Marks
**ENERGY LAB**
| Course | Code | Credits | L-T-P | Assessment | Exam Duration |
|-----------------|--------|---------|-------|------------|---------------|
| Energy Lab | 15MEL58| 02 | 1-0-2 | SEE 80 | CIA 20 | 3Hrs |
**Prerequisites:** Basic and Applied Thermodynamics
**Course Objectives:**
1. This course will provide a basic understanding of fuel properties and its measurements using various types of measuring devices.
2. Energy conversion principles, analysis and understanding of I C Engines will be discussed. Application of these concepts for these machines will be demonstrated. Performance analysis will be carried out using characteristic curves.
3. Exhaust emissions of I C Engines will be measured and compared with the standards.
**PART – A**
1. Lab layout, calibration of instruments and standards to be discussed.
2. Determination of Flash point and Fire point of lubricating oil using Abel Pensky and Marten’s (closed) / Cleveland’s (Open Cup) Apparatus.
3. Determination of Calorific value of solid, liquid and gaseous fuels.
4. Determination of Viscosity of a lubricating oil using Redwoods, Sayboltand Torsion Viscometers.
5. Analysis of moisture, volatile matter, ash content and fixed carbon of solid and liquid fuel samples.
6. Valve Timing/port opening diagram of an I.C. Engine.
**PART - B**
7. Performance Tests on I.C. Engines, Calculations of IP, BP, Thermal efficiency, Volumetric efficiency, Mechanical efficiency, SFC, FP, A:F Ratio, heat balance sheet for
a. Four stroke Diesel Engine
b. Four stroke Petrol Engine
c. Multi Cylinder Diesel/Petrol Engine, (Morse test)
d. Two stroke Petrol Engine
e. Variable Compression Ratio I.C. Engine.
8. Measurements of Exhaust Emissions of Petrol engine.
9. Measurements of Exhaust Emissions of Diesel engine.
10. Measurement of pθ, pV plots using Computerized IC engine test rig.
PART – C (Optional)
11. Visit to Automobile Industry/service stations.
12. CFD Analysis of design, development, performance evaluation and process optimization in I C Engines.
Course Outcomes: At the end of this course students are able to,
1. Perform experiments to determine the properties of fuels and oils.
2. Conduct experiments on engines and draw characteristics.
3. Test basic performance parameters of I.C. Engine and implement the knowledge in industry.
4. Identify exhaust emission, factors affecting them and report the remedies.
5. Determine the energy flow pattern through the I C Engine
6. Exhibit his competency towards preventive maintenance of IC engines.
References
1. E.F. Obert, Internal combustion engines and air pollution intext educational publishers (1973). John Heywood, Internal combustion engine fundamentals, McGraw- Hill (1988) - USA.
2. Colin R Ferguson and Allan T. Kirkpatrick Internal combustion engines Applied Thermodynamics, John Wiley & sons – 2001.
3. Richard stone, Introduction to internal combustion engines, MacMillan (1992) – USA
4. M. L. Mathur And R.P. Sharma A course in internal combustion engines, Dhanpat Rai& sons- India.
5. C. F. Taylor The internal combustion engines in theory and practice, 2 vols. by:, pub.: Wily.
6. C. F. Taylor The internal combustion engines in theory and practice, 2 vols. by:, pub.: Wily.
7. Ganesan, V., Fundamentals of IC Engines, Tata McGraw Hill, 2003
8. Bosch, Automotive hand book, 9th edition.
Scheme of Examination:
ONE question from part -A: 25 Marks
ONE question from part -B: 40 Marks
Viva –Voice : 15 Marks
Total: 80 Marks
## VI SEMESTER
| Sl. No | Subject Code | Title | Teaching Hours /Week | Examination | Credits |
|--------|--------------|------------------------------|----------------------|-------------|---------|
| | | | Lecture | Tutorial | Practical | Duration (Hours) | Theory/Practical Marks | I.A. Marks | Total Marks | |
| 1 | 15ME61 | Finite Element Analysis | 3 | 2 | 0 | 03 | 80 | 20 | 100 | 4 |
| 2 | 15ME62 | Computer integrated Manufacturing | 4 | 0 | 0 | 03 | 80 | 20 | 100 | 4 |
| 3 | 15ME63 | Heat Transfer | 3 | 2 | 0 | 03 | 80 | 20 | 100 | 4 |
| 4 | 15ME64 | Design of Machine Elements -II | 3 | 2 | 0 | 03 | 80 | 20 | 100 | 4 |
| 5 | 15ME65X | Professional Elective-II | 3 | 0 | 0 | 03 | 80 | 20 | 100 | 3 |
| 6 | 15ME66X | Open Elective-II | 3 | 0 | 0 | 03 | 80 | 20 | 100 | 3 |
| 7 | 15MEL67 | Heat Transfer Lab | 1 | 0 | 2 | 03 | 80 | 20 | 100 | 2 |
| 8 | 15MEL68 | Modeling and Analysis Lab(FEA) | 1 | 0 | 2 | 03 | 80 | 20 | 100 | 2 |
**TOTAL**
| | Lecture | Tutorial | Practical | Duration (Hours) | Theory/Practical Marks | I.A. Marks | Total Marks | |
|--------|---------|----------|-----------|------------------|------------------------|------------|-------------|---------|
| | 21 | 6 | 04 | | 640 | 160 | 800 | 26 |
### Professional Elective-II
- 15ME651: Computational Fluid Dynamics
- 15ME652: Mechanics of Composite Materials
- 15ME653: Metal Forming
- 15ME654: Tool Design
- 15ME655: Automobile Engineering
### Open Elective-II
- 15ME661: Energy Auditing
- 15ME662: Industrial Safety
- 15ME663: Maintenance Engineering
- 15ME664: Total Quality Management
1. **Core subject**: This is the course, which is to be compulsorily studied by a student as a core requirement to complete the requirement of a programme in a said discipline of study.
2. **Professional Elective**: Elective relevant to chosen specialization/ branch
3. **Open Elective**: Electives from other technical and/or emerging subject areas.
Course Objectives:
1. To learn basic principles of finite element analysis procedure.
2. To learn the theory and characteristics of finite elements that represent engineering structures.
3. To learn and apply finite element solutions to structural, thermal, dynamic problem to develop the knowledge and skills needed to effectively evaluate finite element analyses.
Module I
**Introduction to Finite Element Method**: General description of the finite element method. Engineering applications of finite element method. Boundary conditions: homogeneous and nonhomogeneous for structural, heat transfer and fluid flow problems. Potential energy method, Rayleigh Ritz method, Galerkin’s method, Displacement method of finite element formulation. Convergence criteria, Discretisation process, Types of elements: 1D, 2D and 3D, Node numbering, Location of nodes. Strain displacement relations, Stress strain relations, Plain stress and Plain strain conditions, temperature effects.
**Interpolation models**: Simplex, complex and multiplex elements, Linear interpolation polynomials in terms of global coordinates 1D, 2D, 3D Simplex Elements.
10 Hours
Module II
**One-Dimensional Elements-Analysis of Bars and Trusses**, Linear interpolation polynomials in terms of local coordinate’s for 1D, 2D elements. Higher order interpolation functions for 1D quadratic and cubic elements in natural coordinates, . Constant strain triangle, Four-Nodded Tetrahedral Element (TET 4), Eight-Nodded Hexahedral Element (HEXA
8). 2D isoparametric element, Lagrange interpolation functions, Numerical integration: Gaussian quadrature one point, two point formulae, 2D integrals. Fore terms: Body force, traction force and point loads,
**Numerical Problems:** Solution for displacement, stress and strain in 1D straight bars, stepped bars and tapered bars using elimination approach and penalty approach, Analysis of trusses.
**Module III**
**Beams and Shafts:** Boundary conditions, Load vector, Hermite shape functions, Beam stiffness matrix based on Euler-Bernoulli beam theory, Examples on cantilever beams, propped cantilever beams, Numerical problems on simply supported, fixed straight and stepped beams using direct stiffness method with concentrated and uniformly distributed load.
**Torsion of Shafts:** Finite element formulation of shafts, determination of stress and twists in circular shafts.
**Module IV**
**Heat Transfer:** Basic equations of heat transfer: Energy balance equation, Rate equation: conduction, convection, radiation, energy generated in solid, energy stored insolid, 1D finite element formulation using vibrational method, Problems with temperature gradient and heat fluxes, heat transfer in composite sections, straight fins.
**Fluid Flow:** Flow through a porous medium, Flow through pipes of uniform and stepped sections, Flow through hydraulic net works.
**Module V**
**Axi-symmetric Solid Elements:** Derivation of stiffness matrix of axisymmetric bodies with triangular elements, Numerical solution of axisymmetric triangular element(s) subjected to surface forces, point loads, angular velocity, pressure vessels.
**Dynamic Considerations:** Formulation for point mass and distributed masses, Consistent element mass matrix of one dimensional bar element, truss element, axisymmetric triangular element, quadrilateral element, beam element. Lumped mass matrix of bar element, truss element, Evaluation of eigen values and eigen vectors, Applications to bars, stepped bars, and beams.
**Course outcomes:**
Upon successful completion of this course you should be able to:
1. Understand the concepts behind formulation methods in FEM.
2. Identify the application and characteristics of FEA elements such as bars, beams, plane and iso-parametric elements.
3. Develop element characteristic equation and generation of global equation.
4. Able to apply suitable boundary conditions to a global equation for bars, trusses, beams, circular shafts, heat transfer, fluid flow, axi symmetric and dynamic problems and solve them displacements, stress and strains induced.
**Text Books:**
1. Logan, D. L., *A first course in the finite element method*, 6th Edition, Cengage Learning, 2016.
2. Rao, S. S., *Finite element method in engineering*, 5th Edition, Pergaman Int. Library of Science, 2010.
3. Chandrupatla T. R., *Finite Elements in engineering*, 2nd Edition, PHI, 2013.
**Reference Books:**
1. J.N.Reddy, “*Finite Element Method*”, McGraw -Hill International Edition. Bathe K. J, Finite Elements Procedures, PHI.
2. Cook R. D., et al. “*Conceptsand Application of Finite Elements Analysis*”, 4th Edition, Wiley & Sons, 2003.
## Computer Integrated Manufacturing
| Course | Code | Credits | L-T-P | Assessment | Exam Duration |
|---------------------------------|--------|---------|-------|------------|---------------|
| Computer Integrated Manufacturing | 15ME62 | 04 | 3-2-0 | 80 | 20 | 3Hrs |
### Course Objectives:
| CLO1 | To impart knowledge of CIM and Automation and different concepts of automation by developing mathematical models. |
|--------------------------------|-------------------------------------------------------------------------------------------------------------|
| CLO2 | To make students to understand the Computer Applications in Design and Manufacturing [CAD / CAM] leading to Computer integrated systems. Enable them to perform various transformations of entities on display devices. |
| CLO3 | To expose students to automated flow lines, assembly lines, Line Balancing Techniques, and Flexible Manufacturing Systems. |
| CLO4 | To expose students to computer aided process planning, material requirement planning, capacity planning etc. |
| CLO5 | To expose the students to CNC Machine Tools, CNC part programming, and industrial robots. |
| CLO6 | To introduce the students to concepts of Additive Manufacturing, Internet of Things, and Industry 4.0 leading to Smart Factory. |
### Module - 1
1. **Introduction to CIM and Automation:**
- Automation in Production Systems, automated manufacturing systems - types of automation, reasons for automating, Computer Integrated Manufacturing, computerized elements of a CIM system, CAD/CAM and CIM.
- Mathematical models and matrices: production rate, production capacity, utilization and availability, manufacturing lead time, work-in-process, numerical problems.
2. **Automated Production Lines and Assembly Systems:**
- Fundamentals, system configurations, applications, automated flow lines, buffer storage, control of production line, analysis of transfer lines, analysis of flow lines without storage, partial automation, analysis of automated flow lines with storage buffer, fundamentals of automated assembly systems, numerical problems.
### Module – 2
3. **CAD and Computer Graphics Software**: The design process, applications of computers in design, software configuration, functions of graphics package, constructing the geometry.
Transformations: 2D transformations, translation, rotation and scaling, homogeneous transformation matrix, concatenation, numerical problems on transformations.
*5 Hours*
4. **Computerized Manufacture Planning and Control System**: Computer Aided Process Planning, Retrieval and Generative Systems, benefits of CAPP, Production Planning and Control Systems, typical activities of PPC System, computer integrated production management system, Material Requirement Planning, inputs to MRP system, working of MRP, outputs and benefits, Capacity Planning, Computer Aided Quality Control, Shop floor control.
*5 Hours*
**Module-3**
5. **Flexible Manufacturing Systems**: Fundamentalsof Group Technology and Flexible Manufacturing Systems, types of FMS, FMS components, Material handling and storage system, applications, benefits, computer control systems, FMS planning and design issues, Automated Storage and Retrieval Systems, AS/RS and Automatic parts identification systems and data capture.
*5 Hours*
6. **Line Balancing**: Line balancing algorithms, methods of line balancing, numerical problems on largest candidate rule, Kilbridge and Wester method, and Ranked Positional Weights method, Mixed Model line balancing, computerized line balancing methods.
*5 Hours*
**Module-4**
7. **Computer Numerical Control**: Introduction, components of CNC, CNC programming, manual part programming, G Codes, M Codes, programming of simple components turning, drilling and milling systems, programming with canned cycles, Cutter radius compensations.
*5 Hours*
8. **Robot Technology**: Robot anatomy, joints and links, common robot configurations, robot control systems, accuracy and repeatability, end effectors, sensors in robotics.
Robot programming methods: on-line and off-line methods.
Robot industrial applications: material handling, processing and assembly and inspection.
*5 Hours*
Module – 5
9. **Additive Manufacturing Systems:** Basic principles of additive manufacturing, slicing CAD models for AM, advantages and limitations of AM technologies, Additive manufacturing processes: Photo polymerization, material jetting, binder jetting, material extrusion, Powder bed sintering techniques, sheet lamination, direct energy deposition techniques, applications of AM. Recent trends in manufacturing, Hybrid manufacturing.
10. **Future of Automated Factory:** Industry 4.0, functions, applications and benefits. Components of Industry 4.0, Internet of Things (IOT), IOT applications in manufacturing, Big Data and Cloud Computing for IOT, IOT for smart manufacturing, influence of IOT on predictive maintenance, industrial automation, supply chain optimization, supply-chain & logistics, cyber-physical manufacturing systems.
**Course Outcomes:**
After studying this course, students will be able to:
| CO1 | Able to define Automation, CIM, CAD, CAM and explain the differences between these concepts. Solve simple problems of transformations of entities on computer screen. |
|-----|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| CO2 | Explain the basics of automated manufacturing industries through mathematical models and analyze different types of automated flow lines. |
| CO3 | Analyze the automated flow lines to reduce down time and enhance productivity. |
| CO4 | Explain the use of different computer applications in manufacturing, and able to prepare part programs for simple jobs on CNC machine tools and robot programming. |
| CO5 | Visualize and appreciate the modern trends in Manufacturing like additive manufacturing, Industry 4.0 and applications of Internet of Things leading to Smart Manufacturing. |
**Text Books:**
1. *Automation, Production Systems and Computer-Integrated Manufacturing*, by Mikell P Groover, 4th Edition, 2015, Pearson Learning.
2. *CAD / CAM Principles and Applications* by P N Rao, 3rd Edition, 2015, Tata McGraw-Hill.
3. *CAD/CAM/CIM*, Dr. P. Radhakrishnan, 3rd edition, New Age International Publishers, New Delhi.
**Reference Books:**
1. “CAD/CAM” by Ibrahim Zeid, Tata McGraw Hill.
2. “Principles of Computer Integrated Manufacturing”, S. Kant Vajpayee, 1999, Prentice Hall of India, New Delhi.
3. “Work Systems And The Methods, Measurement And Management of Work”, Groover M. P., Pearson/Prentice Hall, Upper Saddle River, NJ, 2007.
4. “Computer Automation in Manufacturing”, Boucher, T. O., Chapman & Hall, London, UK, 1996.
5. “Introduction to Robotics: Mechanics And Control”, Craig, J. J., 2nd Ed., Addison-Wesley Publishing Company, Readong, MA, 1989.
6. Internet of Things (IoT): Digitize or Die: Transform your organization. Embrace the digital evolution. Rise above the competition, by Nicolas Windpassinger, Amazon.
7. "Internet of Things: A Hands-on Approach", by Arshdeep Bahga and Vijay Madisetti (Universities Press)
8. Additive Manufacturing Technologies: Rapid Prototyping to Direct Digital Manufacturing, 2nd Ed. (2015), Ian Gibson, David W. Rosen, Brent Stucker
9. “Understanding Additive Manufacturing”, Andreas Gebhardt, Hanser Publishers, 2011
10. Industry 4.0: The Industrial Internet of Things, Apress, 2017, by Alasdair Gilchrist
**Heat Transfer**
| Course | Code | Credits | L-T-P | Assessment | Exam Duration |
|-----------------|-------|---------|-------|------------|---------------|
| Heat Transfer | 15ME63| 04 | 3-2-0 | SEE 80 | CIA 20 |
| | | | | | 3Hrs |
**Pre-requisites:** Basic and Applied Thermodynamics
**Course learning objectives:**
- Study the modes of heat transfer.
- Learn how to formulate and solve 1-D steady and unsteady heat conduction problems.
- Apply empirical correlations for fully-developed laminar, turbulent internal flows and external boundary layer convective flow problems.
- Study the basic principles of heat exchanger analysis and thermal design.
- Understand the principles of boiling and condensation including radiation heat transfer related engineering problems.
**Module – I**
Introductory concepts and definitions: Modes of heat transfer; Basic laws governing conduction, convection, and radiation heat transfer; Thermal conductivity; convective heat transfer coefficient; radiation heat transfer combined heat transfer mechanism, Types of boundary conditions. General Heat Conduction Equation: Derivation of the equation in (i) Cartesian, (ii) Polar and (iii) Spherical Co-ordinate Systems. Steady-state one-dimensional heat conduction problems in Cartesian System: Steady-state one-dimensional heat conduction problems (i) with and without heat generation and (ii) with and without varying thermal conductivity - in Cartesian system with various possible boundary conditions. Thermal Resistances in Series and in Parallel.
**8 Hours**
**Module – II**
Critical Thickness of Insulation: Concept, Derivation, Extended Surfaces or Fins: Classification, Straight Rectangular and Circular Fins, Temperature Distribution and Heat Transfer Calculations, Fin Efficiency and Effectiveness, Applications. Transient [Unsteady-state] heat conduction: Definition, Different cases - Negligible internal thermal resistance, negligible surface resistance, comparable internal thermal and surface resistance, Lumped body, Infinite Body and Semi-infinite Body, Numerical Problems, Heisler and Grober charts.
**9 Hours**
**Module – III**
Numerical Analysis of Heat Conduction: Introduction, one-dimensional steady conduction, one dimensional unsteady conduction, two-dimensional steady and unsteady conduction, the difference equation, boundary conditions, solution methods, cylindrical coordinates and irregular boundaries. Thermal Radiation: Fundamental principles - Gray, White, Opaque, Transparent and Black bodies, Spectral emissive power, Wien’s, Rayleigh-Jeans’ and Planck’s laws, Hemispherical Emissive Power, Stefan-Boltzmann law for the total emissive power of a black body, Emissivity and Kirchhoff’s Laws, View factor, Net radiation exchange in a two-body enclosure, Typical examples for these enclosures, Radiation Shield.
**9 Hours**
Module – IV
Forced Convection: Boundary Layer Theory, Velocity and Thermal Boundary Layers, Prandtl number, Governing Equations – Continuity, Navier-Stokes and Energy equations, Boundary layer assumptions, Integral and Analytical solutions to above equations, Turbulent flow, Various empirical solutions, Forced convection flow over cylinders and spheres, Internal flows – laminar and turbulent flow solutions, Forced Convection Cooling of Electronic Devices.
Free convection: Laminar and Turbulent flows, Vertical Plates, Vertical Tubes and Horizontal Tubes, Empirical solutions.
8 Hours
Module – V
Heat Exchangers: Definition, Classification, applications, LMTD method, Effectiveness - NTU method, Analytical Methods, Fouling Factors, Chart Solution Procedures for solving Heat Exchanger problems: Correction Factor Charts and Effectiveness-NTU Charts, compact heat exchangers.
Heat Transfer with Phase Change: Introduction to boiling, pool boiling, Bubble Growth Mechanisms, Nucleate Pool Boiling, Critical Heat Flux in Nucleate Pool Boiling, Pool Film Boiling, Critical Heat Flux, Heat Transfer beyond the Critical Point, filmwise and dropwise Condensation, heat pipes, entrainment, wicking and boiling limitations.
9 Hours
Course Outcomes
At the end of the course, the student will be able to:
• Understand the basic modes of heat transfer.
• Compute temperature distribution in steady-state and unsteady-state heat conduction
• Understand and interpret heat transfer through extended surfaces.
• Interpret and compute forced and free convective heat transfer.
• Explain the principles of radiation heat transfer and understand the numerical formula for heat conduction problems.
• Design heat exchangers using LMTD and NTU methods.
TEXT BOOKS:
1. Principals of heat transfer, Frank Kreith, Raj M. Manglik, Mark S. Bohn, Seventh Edition, Cengage learning, 2011.
2. Yunus A. Cengel - Heat transfer, a practical approach, Fifth edition, Tata Mc Graw Hill.
REFERENCE BOOKS:
1. Heat nd mass transfer, Kurt C. Rolle, second edition, Cengage learning.
2. Heat Transfer, M. Necati Ozisik, A Basic Approach, McGraw Hill, New York, 2005.
3. Fundamentals of Heat and Mass Transfer, Incropera, F. P. and De Witt, D. P., 5th Edition, John Wiley and Sons, New York, 2006.
4. Heat Transfer, Holman, J. P., 9th Edition, Tata McGraw Hill, New York, 2008.
E-Books/Web references:
1. A Text book of Heat Transfer, John H Lienhard, 4th Edition,
2. NPTEL Heat Transfer course for Mechanical Engineering, http://nptel.ac.in/courses/112101097/
3. Heat Transfer, Chris Long & Naser Sayma, Bookboon.com
**MOOCs:**
1. Fluid flow, Heat and Mass Transfer- http://ocw.tudelft.nl/courses/applied-earth-sciences/fluid-flow-heat-mass-transfer/course
2. Heat transfer course- https://legacy.saylor.org/me204/Intro/
**Scheme of Examination:**
Two questions to be set from each module. Students have to answer five full questions, choosing at least one full question from each module.
**DESIGN OF MACHINE ELEMENTS II**
| Course | Code | Credits | L-T-P | Assessment | Exam Duration |
|---------------------------------|--------|---------|-------|------------|---------------|
| Design of Machine Elements II | 15ME64 | 04 | 3-2-0 | SEE 80 | 20 | 3Hrs |
**Course Objectives:**
| CLO1 | To understand various elements involved in a mechanical system. |
|--------------------------------|-----------------------------------------------------------------|
| CLO2 | To analyze various forces acting on the elements of a mechanical system and design them using appropriate techniques, codes, and standards. |
| CLO3 | To select transmission elements like gears, belts, pulleys, bearings from the manufacturers’ catalogue. |
| CLO4 | To design completely a mechanical system integrating machine elements. |
| CLO5 | To produce assembly and working drawings of various mechanical systems involving machine elements like belts, pulleys, gears, springs, bearings, clutches and brakes. |
**MODULE I**
*Curved Beams:* Stresses in curved beams of standard cross sections used in crane hook, punching presses & clamps, closed rings and links.
*Cylinders & Cylinder Heads:* Review of Lame’s equations; compound cylinders, stresses due to different types of fit on cylinders; cylinder heads and flats.
**MODULE 2**
*Belts:* Materials of construction of flat and V belts, power rating of belts, concept of slip and creep, initial tension, effect of centrifugal tension, maximum power condition.
Selection of flat and V belts-length & cross section from manufacturers’ catalogues.
Construction and application of timing belts.
*Wire ropes:* Construction of wire ropes, stresses in wire ropes, and selection of wire ropes.
(Only theoretical treatment)
*Chain drive:* Types of power transmission chains, modes of failure for chain, and lubrication of chains. (Only theoretical treatment)
**Springs:** Types of springs, spring materials, stresses in helical coil springs of circular and non-circular cross sections. Tension and compression springs, concentric springs; springs under fluctuating loads.
Leaf Springs: Stresses in leaf springs, equalized stresses, and nipping of leaf springs.
Introduction to torsion and Belleville springs.
**MODULE 3**
**Gear drives:** Classification of gears, materials for gears, standard systems of gear tooth, gear tooth failure modes and lubrication of gears.
**Spur Gears:** Definitions, stresses in gear tooth: Lewis equation and form factor, design for strength, dynamic load and wear.
**Helical Gears:** Definitions, transverse and normal module, formative number of teeth, design based on strength, dynamic load and wear.
**Bevel Gears:** Definitions, formative number of teeth, design based on strength, dynamic load and wear.
**MODULE 4**
**Worm Gears:** Definitions, types of worm and worm gears, and materials for worm and worm wheel. Design based on strength, dynamic, wear loads and efficiency of worm gear drives.
**Design of Clutches:** Types of clutches and their applications, single plate and multi-plate clutches.
(Numerical examples only on single and multi-plate clutches)
**Design of Brakes:** Types of Brakes, Block and Band brakes, self-locking of brakes, and heat generation in brakes.
**MODULE 5**
**Lubrication and Bearings:** Lubricants and their properties, bearing materials and properties; mechanisms of lubrication, hydrodynamic lubrication, pressure development in oil film, bearing modulus, coefficient of friction, minimum oil film thickness, heat generated, and heat dissipated.
Numerical examples on hydrodynamic journal and thrust bearing design.
**Anti-friction bearings:** Types of rolling contact bearings and their applications, static and dynamic load carrying capacities, equivalent bearing load, load life relationship; selection of deep groove ball bearings from the manufacturers’ catalogue; selection of bearings subjected to cyclic loads and speeds; probability of survival.
**Course Outcomes:**
After learning the course the students should be able to:
| CO1 | Apply engineering design tools to product design. |
|------|--------------------------------------------------|
| CO2 | Design mechanical systems involving springs, belts and pulleys. |
| CO3 | Design different types of gears and simple gear boxes for different applications. |
| CO4 | Design brakes and clutches. |
| CO5 | Design hydrodynamic bearings for different applications. |
| CO6 | Select Anti friction bearings for different applications using the manufacturers’ catalogue. |
| CO7 | Develop proficiency to generate production drawings using CAD software. |
| CO8 | Become good design engineers through learning the art of working in a team with morality and ethics. |
**Scheme of Examination:**
Two questions to be set from each module. Students have to answer five full questions, choosing one full question from each module.
**Assignment:**
Course work includes a **Design project**. Design project should enable the students to design a mechanical system (like single stage reduction gear box with spur gears, single stage worm reduction gear box, V-belt and pulley drive system, machine tool spindle with bearing mounting, C-clamp, screw jack, single plate clutch, etc.) A group of students (maximum number in a group should be 4) should submit assembly drawing and part drawings, completely dimensioned, indicating the necessary manufacturing tolerances, surface finish symbols and geometric tolerances wherever necessary. Design project must be completed using appropriate solid modeling software. Computer generated drawings must be submitted. Design calculations must be hand written and should be included in the report.
Design project should be given due credit (5 marks) in internal assessment.
**Textbooks:**
[1] Richard G. Budynas, and J. Keith Nisbett, “Shigley’s Mechanical Engineering Design”, McGraw-Hill Education, 10th Edition, 2015.
[2] Juvinall R.C. and Marshek K.M., “Fundamentals of Machine Component Design”, John Wiley & Sons, Third Edition, Wiley student edition, 2007.
[3] V. B. Bhandari, “Design of Machine Elements”, 4th Ed., Tata Mcgraw Hill, 2016.
**References:**
[1] Robert L. Norton “Machine Design- an integrated approach”, Pearson Education, 2nd edition.
[2] Spotts M.F., Shoup T.E “Design and Machine Elements”, Pearson Education, 8th edition, 2006.
[3] Orthwein W, “Machine Component Design”, Jaico Publishing Co, 2003.
[4] Hall, Holowenko, Laughlin (Schaum’s Outline Series), “Machine design” adapted by S.K.Somani, Tata McGrawHill Publishing Company Ltd., Special Indian Edition, 2008.
[5] G. M. Maithra and L.V.Prasad, “Hand book of Mechanical Design”, Tata McGraw Hill, 2\textsuperscript{nd} edition, 2004.
**Design Data Hand Book:**
[1] Design Data Hand Book, K.Lingaiah, McGraw Hill, 2\textsuperscript{nd} edition, 2003.
[2] Design Data Hand Book, K.Mahadevan and Balaveera Reddy, CBS publication.
[3] Design Data Hand Book, H.G.Patil, I.K.International Publisher, 2010
[4] PSG Design Data Hand Book, PSG College of technology, Coimbatore.
### Computational Fluid Dynamics
| Course | Code | Credits | L-T-P | Assessment | Exam duration |
|-------------------------------|--------|---------|-------|------------|---------------|
| | | | | SEE | CIA | |
| Computational Fluid Dynamics | 15ME651| 03 | 3-0-0 | 80 | 20 | 3Hrs |
**Pre-requisites:** Fluid Mechanics, Vector Calculus, Linear Algebra.
**Course learning objectives:**
- Study the governing equations of fluid dynamics
- Learn how to formulate and solve Euler’s equation of motion.
- Become skilled at Representation of Functions on Computer
- Solve computational problems related to fluid flows
**Module – I**
**Introduction to CFD and Governing Equations**
Need of CFD as tool, role in R&D, continuum, material or substantial derivative or total derivative, gradient, divergence and curl operators, Linearity, Principle of Superposition. Derivation of Navier-Stokes equations in control volume (integral form) and partial differential form, Euler equations (governing inviscid equations). Mathematical classification of PDE (Hyperbolic, Parabolic, Elliptic). Method of characteristics, Introduction to Riemann Problem and Solution Techniques.
9 Hours
**Module – II**
**One-dimensional Euler’s equation**
Conservative, Non conservative form and primitive variable forms of Governing equations. Flux Jacobian, Is there a systematic way to diagonalise ‘A’. Eigenvalues and Eigenvectors of Flux Jacobian. Decoupling of Governing equations, introduction of characteristic variables. Relation between the two non-conservative forms. Conditions for genuinely nonlinear characteristics of the flux Jacobian.
**Introduction to Turbulence Modeling:** Derivation of RANS equations and k-epsilon model.
8 Hours
**Module – III**
**Representation of Functions on Computer**
Need for representation of functions, Box Function, Hat Function, Representation of sinx using hat functions: Aliasing, high frequency, low frequency. Representation error as a global error. Derivatives of hat functions, Haar functions, Machine Epsilon. Using Taylor series for representation of Derivatives.
7 Hours
**Module – IV**
**Finite difference method** – Applied to Linear Convection equation, Laplace Equations, Convection Diffusion equations, Burgers equations, modified equations • Explicit methods and Implicit methods – as applied to linear convection equation, Laplace equations, convection-diffusion equation- FTCS, FTFS, FTBS, CTCS ◦ Jacobi Method, Gauss-Siedel, Successive Over Relaxation Method, TDMA• VonNaumann stability (linear stability) analysis. Upwind Method in Finite Difference method.
**Module – V**
**Finite volume method**
Finite volume method. Finding the flux at interface.
**Central schemes** - Lax-Friedrichs Method, Lax-Wendroff Method, Two-Step Lax-Wendroff Method and Mac Cormack Method
**Upwind Method in Finite Volume methods** - Flux Splitting Method Steger and Warming, vanLeer, Roe’s Method and finding Roe’s Averages.
8 Hours
**Course Outcomes**
At the end of the course, the student will be able to:
- Understand mathematical characteristics of partial differential equations.
- Explain how to classify and computationally solve Euler and Navier-Stokes equations.
- Make use of the concepts like accuracy, stability, consistency of numerical methods for the governing equations.
- Identify and implement numerical techniques for space and time integration of partial differential equations.
- Conduct numerical experiments and carry out data analysis.
- Acquire basic skills on programming of numerical methods used to solve the Governing equations.
**Text Books**
1. T.j.chung, Computational Fluid Dynamics, , Cambridge University Press
2. Ghoshdastidar, Computational fluid dynamics and heat transfer, Cengage learning, 2017.
3. Charles Hirsch, Numerical Computation of Internal and External Flows: The Fundamentals of Computational Fluid Dynamics – Vol 1 & Vol 2, Butterworth- Heinemann, 2007
**Reference Books:**
1. Pletcher, r. H., Tannehill, j. C., Anderson, d., Computational fluid mechanics and heat transfer, 3rd ed., Crc press, 2011, ISBN 9781591690375.
2. Moin, p., Fundamentals of engineering numerical analysis, 2nd ed., Cambridge university press, 2010, ISBN 9780521805261 (e-book available).
3. Ferziger, j. H., Numerical methods for engineering application, 2nd ed., Wiley, 1998.
4. Ferziger, j. H., Peric, m., Computational methods for fluid dynamics, 3rd ed., Springer, 2002.
5. Leveque, r., Numerical methods for conservation laws, lectures in mathematics, eth Zurich, birkhauser, 199
6. Riemann Solvers and Numerical methods for Fluid Dynamics – A
7. Practical Introduction- Eleuterio F Toro, Springer Publications.
**MOOCs:**
1. Introduction to CFD by Prof M. Ramakrishna, Aerospace Engineering, IIT Madras.
2. Computational fluid dynamics by Prof Suman Chakraborty, Mechanical Engineering, IIT Kharagpur
**E-Books:**
1. Hirsch, c., *Numerical computation of internal and external flows*, 2nd ed., Butterworth-Heinemann, 2007, ISBN 9780750665940 (e-book available).
**Scheme of Examination:**
Two questions to be set from each module. Students have to answer five full questions, choosing at least one full question from each module.
Course objectives:
The course is intended to provide basic understanding of Composite Materials to engineering students with following aspects:
- To acquire basic understanding of composites and its manufacturing
- To develop an understanding of the linear elastic analysis of composite materials, which include concepts such as anisotropic material behavior and the analysis of laminated plates.
- Provides a methodology for stress analysis and progressive failure analysis of laminated composite structures for aerospace, automobile, marine and other engineering applications
- The students will undertake a design project involving application of fiber reinforced laminates.
MODULE -1
Introduction to composite materials: Definition and classification of composite materials: Polymer Matrix Composites, Metal Matrix Composites, Ceramic Matrix Composites, Carbon-Carbon Composites. Reinforcements and Matrix Materials.
Manufacturing Techniques of Composites:
Fiber Reinforced Plastic (FRP) Processing: Layup and curing, fabricating process, open and closed mould process, Hand layup techniques; structural laminate bag molding, production procedures for bag molding; filament winding, pultrusion, pulforming, thermo-forming, injection molding, blow molding.
Fabrication Process for Metal Matrix Composites (MMC’s): Powder metallurgy technique, liquid metallurgy technique and secondary processing, special fabrication techniques.
MODULE -2
Micromechanics of Composites: Density, Mechanical Properties; Prediction of Elastic Constants, Micromechanical Approach, Halpin-Tsai Equations, Transverse Stresses. Thermal Properties: Expression for Thermal Expansion Coefficients of Composites, Expression for Thermal Conductivity of Composites, Hygral and Thermal Stresses. Mechanics of Load Transfer from Matrix to Fiber; Fiber elastic-Matrix Elastic, Fiber Elastic-Matrix Plastic. Load transfer in Particulate Composites. Numerical Problems.
MODULE -3
**Macromechanics of Composites:** Elastic Constants of an Isotropic Material, Elastic Constants of a Lamina, Relationship between Engineering Constants and Reduced Stiffnesses and Compliances, Variation of Lamina Properties with Orientation, Analysis of Laminated Composites, Stresses and Strains in Laminate Composites, Inter-laminar Stresses and Edge Effects. Numerical Problems.
10 Hrs
MODULE -4
**Monotonic Strength, Fracture, Fatigue and Creep:** Tensile and Compressive strength of Unidirectional Fiber Composites. Fracture Modes in Composites; Single and Multiple Fracture, Debonding, Fiber Pullout and Delamination Fracture. Strength of an Orthotropic Lamina; Maximum Stress Theory, Maximum Strain Criterion, Tsai-Hill Criterion, Quadratic Interaction Criterion, Comparison of Failure Theories. Fatigue; S-N Curves, Fatigue Crack Propagation Tests, Damage Mechanics of Fatigue, Thermal Fatigue. Creep behavior of Composites.
10 Hrs
MODULE -5
**Failure Analysis and Design of Laminates:** Special cases of Laminates; Symmetric Laminates, Cross-ply laminates, Angle ply Laminates, Antisymmetric Laminates, Balanced Laminate. Failure Criterion for a Laminate. Design of a Laminated Composite. Numerical Problems.
10 Hrs
**Course outcomes:**
On completion of this subject students will be able to:
1. To identify the properties of fiber and matrix materials used in commercial composites, as well as some common manufacturing techniques.
2. To predict the failure strength of a laminated composite plate
3. Understand the linear elasticity with emphasis on the difference between isotropic and anisotropic material behaviour.
4. Acquire the knowledge for the analysis, design, optimization and test simulation of advanced composite structures and Components.
**TEXT BOOKS:**
1. Autar K. Kaw, Mechanics of Composite materials, CRC Taylor & Francis, 2nd Ed, 2005
2. Composite Material Science and Engineering, Krishan K. Chawla, Springer, 3e, 2012
3. Robert M. Jones, Mechanics of Composite Materials, Taylor & Francis, 1999.
**REFERENCE BOOKS:**
1. Madhujit Mukhopadhyay, Mechanics of Composite Materials & Structures, Universities Press, 2004
2. Michael W. Hyer, Stress analysis of fiber Reinforced Composite Materials, Mc-Graw Hill International, 2009
3. Fibre Reinforced Composites, P.C. Mallik, Marcel Decker, 1993
4. Hand Book of Composites, P.C. Mallik, Marcel Decker, 1993
**E-Learning**
- VTU, E-learning
**Scheme of Examination:**
Two question to be set from each module. Students have to answer five full questions, choosing at least one full question from each module.
METAL FORMING
| Course | Code | Credits | L-T-P | Assessment | Exam Duration |
|-----------------|--------|---------|-------|------------|---------------|
| Metal Forming | 15ME653| 3 | 3-0-0 | SEE 80 | CIA 20 | 3 Hrs |
**Course objectives:**
The course is intended to provide basic understanding of Metal Forming with following aspects:
- To acquaint with the basic knowledge on fundamentals of metal forming processes
- To study various metal forming processes
- Understanding plastic deformation during forming processes
**MODULE -1**
**Introduction to Metal Forming:** Classification of metal forming processes, advantages and limitations, stress-strain relations in elastic and plastic deformation. Concepts of true stress, true strain, triaxial & biaxial stresses. Determination of flow stress, principal stresses, yield criteria and their significance. Tresca & Von-Mises yield criteria, concepts of plane stress & plane strain. Deformation mechanisms, Hot and Cold working processes and its effect on mechanical properties.
**MODULE -2**
**Effects of Parameters:** Metallurgical aspects of metal forming, slip, twinning mechanics of plastic deformation. Effects of Temperature, strain rate, friction and lubrication, hydrostatic pressure in metalworking, Deformation zone geometry, workability of materials, Residual stresses in wrought products.
**Forging:** Classification of forging processes. Forging machines equipment. Expressions for forging pressures & load in open die forging and closed die forging by slab analysis, concepts of friction hill and factors affecting it. Die-design parameters. Material flow lines in forging, forging defects, residual stresses in forging. Simple problems.
**MODULE -3**
**Rolling:** Classification of rolling processes. Types of rolling mills, expression for rolling load. Roll separating force. Frictional losses in bearing, power required in rolling, effects of front & back tensions, friction, friction hill. Maximum possible reduction. Defects in rolled products. Rolling variables. Simple problems.
**Drawing:** Drawing equipment & dies, expression for drawing load by slab analysis, power requirement. Redundant work and its estimation, optimal cone angle & dead zone formation, drawing variables, Tube drawing, classification of tube drawing. Simple problems.
MODULE -4
**Extrusion:** Types of extrusion processes, extrusion equipment & dies, deformation, lubrication & defects in extrusion. Extrusion dies, extrusion of seamless tubes. Extrusion variables. Simple problems.
**Sheet Metal Forming:** Forming methods, dies & punches, progressive die, compound die, combination die. Rubber forming. Open back inclinable press (OBI press), piercing, blanking, bending, deep drawing, LDR in drawing, Forming limit criterion, defects of drawn products, stretch forming. Roll bending & contouring. Simple problems. **10 Hrs**
MODULE -5
**High Energy Rate Forming Methods & Powder Metallurgy:** High Energy Rate Forming Methods: Principles, advantages and applications, explosive forming, electro hydraulic forming. Electromagnetic forming.
**Powder Metallurgy:** Basic steps in Powder metallurgy brief description of methods of production of metal powders, conditioning and blending powders, compaction and sintering application of powder metallurgy components, advantages and limitations. **10 Hrs**
Course outcomes:
On completion of this subject, students will be:
5. Able to understand the concept of different metal forming process.
6. Able to approach metal forming processes both analytically and numerically
7. Able to design metal forming processes
8. Able to develop approaches and solutions to analyze metal forming processes and the associated problems and flaws.
**TEXT BOOKS:**
1. Mechanical metallurgy (SI Units), G.E.Dieter, McGraw hill Pub-2001.
2. Production Technology (Manufacturing process, technology and Automation), R.K Jain, Khanna Publishers-2004.
3. Manufacturing Science, Amitabh Gosh & A.K.Malik, East-West press 2001.
4. Production Technology Vol-II by O. P. Khanna & Lal, Dhanpat Rai Publications-2012.
5. A Course in Workshop Technology Vol: 1, Manufacturing Process, B.S Raghuvanshi, Published by Dhanpat Rai & Co (P) Ltd.-2014.
**REFERENCE BOOKS:**
1. Materials & Process in Manufacturing – E.Paul, Degramo, J.T.Black, Ranold, A.K. Prentice-hall of India 2002
2. Elements of Workshop Technology Vol:1, S.K.Hajra Choudhury, Media Promoters & Publishers Pvt Ltd.-2008.
3. Fundamentals of Manufacturing Processes by Lal G K , Narosa
4. Textbook of Production Engineering by P. C. Sharma, S Chand & Company Ltd.
**E-Learning**
- VTU, E-learning
**Scheme of Examination:**
Two questions to be set from each module. Students have to answer five full questions, choosing at least one full question from each module.
## TOOL DESIGN
| Course | Code | Credits | L-T-P | Assessment | Exam Duration |
|-----------------|--------|---------|-------|------------|---------------|
| Tool Design | 15ME63 | 03 | 3-0-0 | SEE 80 | CIA 20 | 3Hrs |
### Course Objectives:
| CLO1 | To develop capability to design and select single point and multipoint cutting tools for various machining operations. |
|-----------------|------------------------------------------------------------------------------------------------------------------|
| CLO2 | Exposure to variety of locating and clamping methods available. |
| CLO3 | To enable the students to design jigs and fixtures for simple components. |
| CLO4 | To expose the students to the design/selection procedure of press tools and die casting dies. |
### MODULE 1
**Introduction to tool design:** Tooling, requirements of a tool designer, general tool design procedure, tool engineering functions and its importance to enhance productivity and quality.
Review of cutting tool materials. Tool angles and signature, Carbide inserts grades - ISO designation and applications, tool holders for turning-ISO designation. Solid type tool, brazed tip tool, throwaway indexable insert types, coated carbides and chip breakers.
Design of single point cutting tools: Design of shank dimensions using strength and rigidity considerations for rectangular, square and round cross section and selection of tool geometry.
**MODULE 2**
**Design of Multi Point Cutting Tools:** Types of drills, Drill bit design - elements like back taper, web thickness, land width, margin, flute length and cross section and selection of tool geometry. Re-sharpening of drill bit.
Tool holders for milling, different tapers used for mounting tool holders in milling, ISO designation. Tool mounting systems.
Design of milling cutters: Design of elements like number of teeth and height, circular pitch, body thickness, chamfer width, fillet radius and selection of tool geometry. Profile sharpened and form relieved milling cutters. Re-sharpening of side and face milling cutter and end mill.
MODULE 3
**Jigs and Fixtures:** Functions and differences between jigs and fixtures, advantages in mass production, design principles, economics of jigs and fixtures.
Location: 3-2-1 Principle of location, different types of locating elements.
Clamping: Principles of clamping, types of clamping devices, and power clamping.
Drill bushes; Drill jigs: different types, exercises of designing jigs for simple components.
Fixture Design: Turning fixtures, milling fixtures, grinding fixtures, fixturing for CNC machining centers, and modular fixtures. Design exercises on fixtures for turning and milling for simple components.
08 Hours
MODULE 4
**Press tools:** Classification and working of power presses. Concept and calculations of press tonnage and shut height of a press, components of a simple die, press tool operation, die accessories, shearing action in punch & die, clearance, shear on punch and die, Centre of pressure, and strip layout.
Simple, progressive, compound, combination and inverted dies. Design problems on blanking and piercing dies for simple components.
**Bending dies** – Introduction, bend allowance, spring back, edge bending die design.
08 Hours
MODULE 5
**Drawing dies** – Single action, double action and triple action dies, factors affecting drawing and drawing die design. Design of drawing dies for simple components.
**Die casting:** Die casting alloys, terminology - core, cavity, sprue, slug, fixed and movable cores, finger cams, draft, ejector pins and plates, gate, goosenozzle, over-flow, platten, plunger, runner, vent, water-line etc.
Types of Dies: Single cavity, multicavity dies, combination dies, unit dies, advantages and disadvantages of types of dies; finishing, trimming and inspection of die casting components, safety, and modern trends in die casting dies.
08 hours
**Course Outcomes:**
After learning the course the students should be able to:
| CO1 | Selection appropriate cutting tools required for producing a component. |
|-----|------------------------------------------------------------------------|
| CO2 | Ability to interpret cutting tool and tool holder designation systems. |
| CO3 | Ability to design/select suitable locating and clamping devices for a given component for various operations. |
| CO4 | Capability to design a jig/fixture for a given simple component. |
| CO5 | Comprehensive understanding of various press tools and press tool operations. |
| CO6 | Classify and explain various die casting and injection moulding dies. |
Scheme of Examination:
Two questions to be set from each module. Students have to answer five full questions, choosing one full question from each module.
Assignment:
Course work includes a ToolDesign project. Tool design project should enable the students to design a tooling like Jig or a fixture for a simple component, fixture for a simple component on CNC machining centers, design of a simple blanking and piercing die, progressive die, drawing die etc. Any one of these exercises should be given as an assignment. A group of students (maximum number in a group should be 4) should submit assembly drawing and part drawings, completely dimensioned, indicating the necessary manufacturing tolerances, surface finish symbols and geometric tolerances wherever necessary. Tool design project must be completed using appropriate solid modeling software. Computer generated drawings must be submitted. Design calculations must be hand written and should be included in the report.
Design project should be given due credit (5 marks) in internal assessment.
Textbook:
[1] Cyril Donaldson, George H. Lecain, V.C. Goold, “Tool Design”, Mc Graw Hill Education, 5th edition, 2017.
[2] P.N. Rao, “Manufacturing technology”, Mc Graw Hill Education, 4th edition, 2013.
References:
[1] P.H. Joshi, “Jigs and Fixtures”, Mc Graw Hill Education, 3rd edition, 2010.
[2] John.G. Nee, William Dufraine, John W. Evans, Mark Hill, “Fundamentals of Tool Design”, Society of Manufacturing Engineers, 2010.
[3] Frank W. Wilson, “Fundamentals of Tool Design”, PHI publications.
[4] Kempester M.H.A., “An introduction to Jig and Tool design”, VIVABooksPvt.Ltd., 2004.
[5] Ranganath B.J., “Metal cutting and Tool Design”, Vikas publishing house.
[6] HMT, “Production Technology”, TataMc Graw Hill, 2013.
[7] V. Arshinov & G. Alekseev, “Metal cutting theory and practice”, MIR publishers, Moscow.
[8] Rodin, “Design and production of metal cutting tools”, Beekman publishers.
Course learning objectives: The student will be able to learn
- The layout and arrangement of principal parts of an automobile
- The working of transmission and brake systems
- The operation and working of steering and suspension systems
- To know the Injection system and its advancements
- To know the automobile emissions and its effects on environment
**MODULE 1**
**ENGINE COMPONENTS AND IT’S PRINCIPLE PARTS**: Spark Ignition (SI) & Compression Ignition (CI) engines, cylinder – arrangements and their relatives merits, Liners, Piston, connecting rod, crankshaft, valves, valve actuating mechanisms, valve and port timing diagrams, Types of combustion chambers for S.I.Engine and C.I.Engines, methods of a Swirl generation, choice of materials for different engine components, engine positioning. Concept of HCCI engines, hybrid engines, twin spark engine, electric car.
**COOLING AND LUBRICATION**: cooling requirements, types of cooling- thermo siphon system, forced circulation water cooling system, water pump, Radiator, thermostat valves. Significance of lubrication, splash and forced feed system.
**MODULE 2**
**TRANSMISSION SYSTEMS**: Clutch-types and construction, gear boxes- manual and automatic, gear shift mechanisms, Over drive, transfer box, fluid flywheel, torque converter, propeller shaft, slip joints, universal joints, Differential and rear axle, Hotchkiss Drive and Torque Tube Drive.
**BRAKES**: Types of brakes, mechanical compressed air, vacuum and hydraulic braking systems, construction and working of master and wheel cylinder, brake shoe arrangements, Disk brakes, drum brakes, Antilock –Braking systems, purpose and operation of antilock-braking system, ABS Hydraulic Unit, Rear-wheel antilock & Numerical
**MODULE 3**
**STEERING AND SUSPENSION SYSTEMS**: Steering geometry and types of steering gear box-Power Steering, Types of Front Axle, Suspension, Torsion bar suspension systems, leaf spring, coil spring, independent suspension for front wheel and rear wheel, Air suspension system.
**IGNITION SYSTEM**: Battery Ignition system, Magneto Ignition system, electronic Ignition system.
**MODULE 4**
**SUPERCHARGERS AND TURBOCHARGERS**: Naturally aspirated engines, Forced Induction, Types of superchargers, Turbocharger construction and operation, Intercooler, Turbocharger lag.
FUELS, FUEL SUPPLY SYSTEMS FOR SI AND CI ENGINES: Conventional fuels, alternative fuels, normal and abnormal combustion, cetane and octane numbers. Fuel mixture requirements for SI engines, types of carburetors, C.D.& C.C. carburetors, multi point and single point fuel injection systems, fuel transfer pumps, Fuel filters, fuel injection pumps and injectors. Electronic Injection system, Common Rail Direct Injection System.
MODULE 5
AUTOMOTIVE EMISSION CONTROL SYSTEMS: Different air pollutants, formation of photochemical smog and causes. Automotive emission controls, Controlling crankcase emissions, Controlling evaporative emissions, Cleaning the exhaust gas, Controlling the air-fuel mixture, Controlling the combustion process, Exhaust gas recirculation, Treating the exhaust gas, Air-injection system, Air-aspirator system, Catalytic converter.
EMISSION STANDARDS: Euro I, II, III and IV norms, Bharat Stage II, III, IV norms. Motor Vehicle Act
Course Outcomes: Student will be able
- To identify the different parts of an automobile and its working
- To understand the working of transmission and braking systems
- To comprehend the working of steering and suspension systems
- To learn various types of fuels and injection systems
- To know the cause of automobile emissions, its effects on environment and methods to reduce the emissions.
TEXT BOOKS:
1. Automobile engineering, Kirpal Singh, Vol I and II (12th Edition) Standard Publishers 2011
2. Automotive Mechanics, S. Srinivasan, (2nd Edition) Tata McGraw Hill 2003.
REFERENCE BOOKS:
1. Automotive mechanics, William H Crouse & Donald L Anglin (10th Edition) Tata McGraw Hill Publishing Company Ltd., 2007
2. Automotive mechanics: Principles and Practices, Joseph Heitner, D Van Nostrand Company, Inc
3. Fundamentals of Automobile Engineering, K.K.Ramalingam, Scitech Publications (India) Pvt. Ltd.
4. Automobile Engineering, R. B. Gupta, Satya Prakashan,(4th Edition) 1984.
Course learning objectives is to
- Understand energy scenario and general aspects of energy audit.
- Learn about methods and concept of energy audit.
- Understand the energy utilization pattern including wastage and its management.
**Module – I**
**General Aspects:** Review of energy scenario in India, General Philosophy and need of Energy Audit and Management, Basic elements and measurements - Mass and energy balances - Scope of energy auditing industries - Evaluation of energy conserving opportunities, Energy performance contracts, Fuel and Energy substitution, Need for Energy Policy for Industries, National & State level energy Policies
8 Hours
**Module – II**
**Energy Audit Concepts:** Need of Energy audit - Types of energy audit - Energy management (audit) approach - understanding energy costs - Benchmarking - Energy performance - Matching energy use to requirement - Maximizing system efficiencies - Optimizing the input energy requirements - Duties and responsibilities of energy auditors - Energy audit instruments - Procedures and Techniques.
8 Hours
**Module – III**
**Principles and Objectives of Energy Management:** Design of Energy Management Programmes - Development of energy management systems - Importance - Indian need of Energy Management - Duties of Energy Manager - Preparation and presentation of energy audit reports - Monitoring and targeting, some case study and potential energy savings.
8 Hours
**Module – IV**
**Thermal Energy Management:** Energy conservation in boilers - steam turbines and industrial heating systems - Application of FBC - Cogeneration and waste heat recovery - Thermal insulation - Heat exchangers and heat pumps - HVAC industries-Building Energy Management.
8 Hours
**Module – V**
**Electrical Energy Management:** Supply side Methods to minimize supply-demand gap - Renovation and modernization of power plants - Reactive power management - HVDC - FACTS - Demand side - Conservation in motors - Pumps and fan systems - Energy efficient motors.
8 Hours
**Note:** A case study involving energy audit may be taken up with suggestion for energy improvements as a part of assignment.
Course Outcomes
At the end of the course, the student will be able to:
- Understand the basic concepts of energy audit and energy management
- Explain different types of energy audit, maximizing and optimizing system efficiency.
- Summarize energy management systems, prepare and present energy audit report
- Identify energy saving potential of thermal and electrical systems
- Discuss Energy audit instruments, Procedures and Techniques.
TEXT BOOKS:
1. Murphy, W. R., Energy Management, Elsevier, 2007.
2. Smith, C. B., Energy Management Principles, Pergamum, 2007
REFERENCE BOOKS:
1. Turner, W. C., Doty, S. and Truner, W. C., Energy Management Hand book, 7th edition, Fairmont Press, 2009.
2. De, B. K., Energy Management audit & Conservation, 2nd Edition, Vrinda Publication, 2010.
3. Energy Management Handbook – W.C. Turner (John Wiley and Sons, A Wiley Interscience publication)
4. Industrial Energy Management and Utilisation – L.C. Witte, P.S. Schmidt, D.R. Brown (Hemisphere Publication, Washington, 1988)
5. Industrial Energy Conservation Manuals, MIT Press, Mass, 1982
6. Energy Conservation guide book Patrick/Patrick/Fardo (Prentice hall 1993)
E-Learning
https://beeindia.gov.in/content/energy-auditors
Scheme of Examination: Two questions to be set from each module. Students have to answer five full questions, choosing at least one full question from each module.
### INDUSTRIAL SAFETY
| Course | Code | Credits | L-T-P | Assessment | Exam Duration |
|----------------------|--------|---------|-------|------------|---------------|
| INDUSTRIAL SAFETY | 15ME662| 03 | 3-0-0 | SEE 80 | 20 | 3Hrs |
**Prerequisites:**
- Elements of Mechanical Engineering
- Electrical Engineering
- Elements of Civil Engineering
- Engineering Chemistry lab
- Workshop Practice
- Other labs of various courses
**Overview:**
Accidents lead to human tragedy, economical loss to individual, company and the nation. Safe acts lead to increase in productivity. The present course highlights the importance of general safety and its prevention, extended to mechanical, electrical sand chemical safety. The Industrial safety course helps in motivating the staff and students to understand the reason for fire, its prevention. Controlling of fire by various means are highlighted. Importance of chemical safety, labeling of chemicals, hand signals during forklift operations in industrial and aerodromes will help in to understand and apply the techniques in practical field. A visit to campus, various labs, workshops, local industries and fire stations helps in analyzing the importance of safety and corrective measures through case studies.
**MODULE-1 : INTRODUCTION TO SAFETY**
Terms used: accident, safety, hazard, safe, safety devices, safety guard, security, precaution, caution, appliance, slip, trip, fall.
Ladders and scaffolding. Unsafe acts, reason for accidents, MSDS (material safety data sheet), OSHA, WHO.
Lockout and tag out procedures. Safe material handling and storage.
Case studies: Student should identify the unsafe acts near their surroundings like housekeeping, lab layouts, road safety, campus layout, safety signs.
12 hours
**MODULE-2 : FIRE SAFETY**
Introduction, Class A, B, C, D and E fire. Fire triangle. Fire extinguishers, Fire hazard and analysis, prevention of fire. Fire protection and loss prevention, steps after occurrence of fire. Portable fire extinguishers. Fire detection, fire alarm and fire fighting systems.
Safety sign boards, instruction on portable fire extinguishers.
Case studies: demonstration of fire extinguishers, visit to local fire fighting stations. Visit to fire accident sites to analyze the cause of fire and its prevention for future.
10 hours
**MODULE-3 : MECHANICAL SAFETY**
PPE, safety guards, Safety while working with machine tools like lathe, drill press, power and band saws, grinding machines. Safety during welding, forging and pressing.
Safety while handling Material, compressed gas cylinders, corrosive substance, waste drum and containers.
Case studies: Visit to machine shop, workshops, foundry lab and local industries to record the practical observation and report the same with relevant figures and comments.
12 hours
**MODULE-4 : ELECTRICAL SAFETY**
Introduction to electrical safety, Electric hazards, effect of electric current on human body, causes of electrical accidents, prevention of electric accidents, PPE used.
Electric shock. Primary and secondary electric shocks, AC and DC current shocks.
Safety precautions against shocks. Safety precautions in small and residential building installations. Safety procedures in electric plant.
Case studies: To visit electrical sub stations, local distribution systems, observe and share the experience and report.
12 hours
**MODULE-5: CHEMICAL SAFETY AND OTHER SAFETY CHECKS**
Introduction to Chemical safety, Labeling of chemicals, acid hoods. Handling of acids, eye washers and showers. Safety thinking, accident investigation, safety policy of the company, safety, loss prevention and control, check list for LPG installations, safety precautions using CNG, fire prevention and safety audit, confined space entry, risk assessment.
Case studies: To visit chemical laboratory of the college and other chemical industries like LPG, CNG facilities and report.
10 hours
**Course Outcomes:**
At the end of the course, student is able to:
1- Understand the basic safety terms.
2- Identify the hazards around the work environment and industries.
3- Use the safe measures while performing work in and around the work area of the available laboratories.
4- Able to recognize the sign boards and its application.
5- Able to demonstrate the portable extinguishers used for different class of fires.
6- Able to write the case studies by sharing experience of the employees working in housekeeping, laboratories like workshops, electrical labs, machine shops, electronics and computer laboratories.
7- Able to understand and report the case studies from various references (text books, news report, journals, visiting industries like power stations, manufacturing and maintenance).
Text Books:
1- Industrial Safety and Management by L M Deshmukh by McGraw Hill Education (India) private Limited, ISBN-13: 978-0-07-061768-1, ISBN-10: 0-07-061768-6
2- Electrical Safety, fire safety and safety management by S.Rao, R K Jain and Saluja. Khanna Publishers, ISBN: 978-81-7409-306-6
Reference books:
1- Chemical process Industrial safety by K S N Raju by McGraw Hill Education (India) private Limited, ISBN-13: 978-93-329-0278-7, ISBN-10:93-329-0278-X
2- Industrial Safety and Management by L M Deshmukh. McGraw Hill Education (India) private Limited, ISBN-13: 978-0-07-061768-1, ISBN-10: 0-07-061768-6
3- Environmental engineering by Gerard Kiely by McGraw Hill Education (India) private Limited, ISBN-13: 978-0-07-063429-9
VISITS:
1- To visit respective Institution:
stores, office, housekeeping area, laboratories.
2- To visit local industries, workshops, district fire fighting system facility and local electrical power stations.
Course objectives:
The course is intended to provide basic concepts of maintenance engineering to engineering students with following aspects:
- To acquire basic understanding of Maintenance systems
- To develop an understanding of the principles of Preventive Maintenance & Predictive Maintenance
- Provides a methodology for reliability & probability concepts applied to maintenance engineering
- The students will learn concepts and procedures for Condition Monitoring in Mechanical and Electrical systems along with the analysis and processing techniques for machine fault identification
MODULE -1
**Maintenance systems:** Maintenance objectives and scopes; Maintenance strategies & organizations; Maintenance works; life cycle costs; Preventive Maintenance: Principles of preventive maintenance, procedures & selection; Preventive Maintenance planning, scheduling and control; Forms & resources; Maintenance work measurement: Modeling and analysis techniques in PM and inspections; Predictive maintenance.
**Computerized Maintenance Management systems:** Benefits and applications; Work order systems & plant registers; Maintenance reports, analysis and monitoring; Introduction to commercial packages Equipment maintenance: Installation, commissioning and testing of plant equipment, checking for alignment, lubrication and lubrication schedule; maintenance of typical rotating and process equipment systems like turbines, pumps and fans, centrifuges, heat exchangers, boilers and pressure vessels etc.
10 hrs
MODULE -2
**Reliability & probability Concepts:** Basic concepts of probability theory and distributions, definition of reliability, failure probability, reliability and hazard rate function, MTBF and MTTR, System reliability, series and parallel system, redundancy.
10 hrs
MODULE -3
**Reliability Centered Maintenance:** principles of RCM, Benefits of RCM, application of RCM Step-by-step procedure in conducting RCM analysis. The Plant Register. Functions and Failures. Failure mode and effect analysis (FMEA). Failure consequences. Maintenance and decision making. Actuarial analysis and Failure data. Perspective loops. Default action. The RCM Decision diagram. The nature of Failure and Technical history.
10 hrs
MODULE -4
Total Productive Maintenance: Goals of TPM and methodology, TPM improvement plan & procedures. The modern role of care and asset management through TPM. The use of TPM concepts consisting of Pareto ABC analysis, Fishbone diagrams, OEE and 5S. Fault analysis.
10 hrs
MODULE -5
Condition Monitoring:
Measurable phenomena from different Plant Items:
Measurable phenomena associated with degradation from a range of plant items including motors/generators, transformers, cables, bushings, connectors, capacitors and circuit breakers.
Fault diagnosis of Rotational Machines:
Unbalance, shaft and coupling misalignments, bent shafts, gear and bearing wear, oil whirls and shaft eccentricity.
Measurement Strategies and Techniques:
A wide range of strategies and associated technologies will be discussed including light emission (photo multipliers, fiber optic techniques etc.), heat emissions (IR, cameras, direct temperature measurement, etc.), electrical charges (tan d, electrical particle discharge, etc.), force, power and vibration.
Data Processing and Analysis:
For each of the approaches, options with respect to data processing and analysis will be discussed including digital signal processing and computational techniques. Close attention will be paid through examples of the cost benefits and the reliability which can be placed on data with respect to formulating a view on the condition of a given item of plant.
10 hrs
Course outcomes:
On completion of this subject students will be able to:
1. Understand maintenance objectives and evaluate various maintenance strategies for process plant application. Develop necessary planning and scheduling and control of preventive maintenance activities.
2. Evaluate reliability of a simple plant component and system.
3. Understand and apply the advanced concepts such as RCM and advantages for a company employing them.
4. Understand and apply the advanced concepts such as TPM and advantages for a company employing.
5. Apply the principles of condition monitoring systems.
6. Apply the mechanical condition monitoring techniques and analyze the data used in condition monitoring.
TEXT BOOKS:
1. Practical machinery Vibration Analysis & Predictive Maintenance, C. Scheffer and P. Girdhar., IDC technologies, 2004.
2. Introduction to Machinery Analysis and Monitoring, John S. Mitchell, PennWell Books, 1993.
3. Machinery Vibration, Measurement and Analysis, Victor Wowk, Mc Craw Hill, 1991
REFERENCE BOOKS:
1. Handbook of Condition Monitoring, B.K.N. Rao, 1996
2. Reliability Engineering, Srinath L S,
3. Maintenance Replacement and Reliability, Jardine AKS,
4. Practical reliability engineering, Oconnor, Patrick D T
5. Reliability and Maintainability Engineering, Charles E Ebeling
6. Introduction to Reliability Engineering Lewis E,
E- Learning
- VTU, E-learning
Scheme of Examination:
Two questions to be set from each module. Students have to answer five full questions, choosing at least one full question from each module.
## TOTAL QUALITY MANAGEMENT
| Course | Code | Credits | L-T-P | Assessment | Exam Duration |
|-------------------------|--------|---------|-------|------------|---------------|
| Total Quality Management| 15ME664| 03 | 3-0-0 | SEE: 80 | CIA: 20 | 3Hrs |
### COURSE LEARNING OBJECTIVES:
This course enables students to
1. Understand various approaches to TQM
2. Understand the characteristics of quality leaders and his role.
3. Develop feedback and suggestion systems for quality management.
4. Enhance the knowledge in Tools and Techniques of quality management.
### Module - 1
**Principles and Practice:** Definition, basic approach, gurus of TQM, TQM Framework, awareness, defining quality, historical review, obstacles, benefits of TQM.
**Quality Management Systems:** Introduction, benefits of ISO registration, ISO 9000 series of standards, ISO 9001 requirements.
08 Hours
### Module - 2
**Leadership:** Definition, characteristics of quality leaders, leadership concept, characteristics of effective people, ethics, the Deming philosophy, role of TQM leaders, implementation, core values, concepts and framework, strategic planning communication, decision making,
08 Hours
### Module - 3
**Customer Satisfaction and Customer Involvement:**
Customer Satisfaction: customer and customer perception of quality, feedback, using customer complaints, service quality, translating needs into requirements, customer retention, case studies.
Employee Involvement – Motivation, employee surveys, empowerment, teams, suggestion system, recognition and reward, gain sharing, performance appraisal, unions and employee involvement, case studies.
08 Hours
### Module - 4
**Continuous Process Improvement:** process, the Juran trilogy, improvement strategies, types of problems, the PDSA Cycle, problem-solving methods, Kaizen, reengineering, six sigma, case studies.
**Statistical Process Control:** Pareto diagram, process flow diagram, cause and effect diagram, check sheets, histograms, statistical fundamentals, Control charts, state of control, out of control process, control charts for variables, control charts for attributes, scatter diagrams, case studies
### Module - 5
Tools and Techniques: Bench marking, information technology, quality management systems, environmental management system, and quality function deployment, quality by design, failure mode and effect analysis, product liability, total productive maintenance.
COURSE OUTCOMES:
Student will be able to
1. Explain the various approaches of TQM
2. Infer the customer perception of quality
3. Analyze customer needs and perceptions to design feedback systems.
4. Apply statistical tools for continuous improvement of systems
5. Apply the tools and technique for effective implementation of TQM.
TEXT BOOKS:
1. Total Quality Management: Dale H. Besterfield, Publisher -Pearson Education India, ISBN: 8129702606, Edition 03.
2. Total Quality Management for Engineers: M. Zairi, ISBN: 1855730243, Publisher: Wood head Publishing
REFERENCE BOOKS:
1. Managing for Quality and Performance Excellence by James R.Evans and Williuam M Lindsay, 9th edition, Publisher Cengage Learning.
2. A New American TQM, four revolutions in management, Shoji Shiba, Alan Graham, David Walden, Productivity press, Oregon, 1990
3. Organizational Excellence through TQM, H. Lal, New age Publications, 2008
Reference Books:
1. Engineering Optimization Methods and Applications, A Ravindran, K. M.Ragsdell, Willey India Private Limited, 2nd Edition, 2006.
2. Introduction to Operations Research- Concepts and Cases, F.S. Hillier, G.J. Lieberman, 9th Edition, Tata McGraw Hill, 2010.
Scheme of Examination:
Two questions to be set from each module. Students have to answer five full questions, choosing at least one full question from each module.
**Heat Transfer Lab**
| Course | Code | Credits | L-T-P | Assessment | Exam Duration |
|-------------------------|--------|---------|-------|------------|---------------|
| Heat Transfer Lab | 15MEL67| 02 | 1-0-2 | SEE 80 | 3Hrs |
**Corequisite Courses:** Heat Transfer
**Course Objectives:**
- The primary objective of this course is to provide the fundamental knowledge necessary to understand the behavior of thermal systems.
- This course provides a detailed experimental analysis, including the application and heat transfer through solids, fluids, and vacuum. Convection, conduction, and radiation heat transfer in one and two dimensional steady and unsteady systems are examined.
**PART – A**
1. Determination of Thermal Conductivity of a Metal Rod.
2. Determination of Overall Heat Transfer Coefficient of a Composite wall.
3. Determination of Effectiveness on a Metallic fin.
4. Determination of Heat Transfer Coefficient in a free Convection on a
5. Determination of Heat Transfer Coefficient in a Forced Convention Flow through a Pipe.
6. Determination of Emissivity of a Surface.
7. Analysis of steady and transient heat conduction, temperature distribution of plane wall and cylinder using Numerical approach (ANSYS/CFD package).
**PART – B**
1. Determination of Steffan Boltzmann Constant.
2. Determination of LMDT and Effectiveness in a Parallel Flow and Counter Flow Heat Exchangers.
3. Experiments on Boiling of Liquid and Condensation of Vapour.
4. Performance Test on a Vapour Compression Refrigeration.
5. Performance Test on a Vapour Compression Air – Conditioner.
6. Experiment on Transient Conduction Heat Transfer.
7. Determination of temperature distribution along a rectangular and circular fin subjected to heat loss through convection using Numerical approach (ANSYS/CFD package)
**Course Outcomes:** At the end of this course students are able to,
- Perform experiments to determine the thermal conductivity of a metal rod
• Conduct experiments to determine convective heat transfer coefficient for free and forced convection and correlate with theoretical values.
• Estimate the effective thermal resistance in composite slabs and efficiency in pin-fin
• Determine surface emissivity of a test plate
• Estimate performance of a refrigerator and effectiveness of fin
• Calculate temperature distribution of study and transient heat conduction through plane wall, cylinder and fin using numerical approach.
**Reading:**
1. M. Necati Ozisik, *Heat Transfer – A Basic Approach*, McGraw Hill, New York, 2005.
2. Incropera, F. P. and De Witt, D. P., *Fundamentals of Heat and Mass Transfer*, 5th Edition, John Wiley and Sons, New York, 2006.
3. Holman, J. P., *Heat Transfer*, 9th Edition, Tata McGraw Hill, New York, 2008.
**Scheme of Examination:**
- ONE question from part -A: 25 Marks
- ONE question from part -B: 40 Marks
- Viva –Voice : 15 Marks
Total: 80 Marks
### Modeling and Analysis Lab (FEA)
| Course | Code | Credits | L-T-P | Assessment | Exam Duration |
|-------------------------|--------|---------|-------|------------|---------------|
| Modeling and Analysis Lab | 15MEL68 | 02 | 1-0-2 | SEE: 80, CIA: 20 | 3Hrs |
**CREDITS – 02**
**Prerequisites:** Knowledge of any Modeling software, knowledge of coordinate systems and Geometric transformations etc.
**Course objectives:**
The course is intended to provide basic understanding of Modeling and Analysis techniques students with following aspects:
- To acquire basic understanding of Modeling and Analysis software
- To understand the different kinds of analysis and apply the basic principles to find out the stress and other related parameters of bars, beams loaded with loading conditions.
- To learn to apply the basic principles to carry out dynamic analysis to know the natural frequency of different kinds of beams.
**PART – A**
Study of a FEA package and modeling and stress analysis of:
1. Bars of constant cross section area, tapered cross section area and stepped bar
2. Trusses – *(Minimum 2 exercises of different types)*
3. Beams – Simply supported, cantilever, beams with point load, UDL, beams with varying load etc *(Minimum 6 exercises different nature)*
4. Stress analysis of a rectangular plate with a circular hole
**PART - B**
1) Thermal Analysis – 1D & 2D problem with conduction and convection boundary conditions *(Minimum 4 exercises of different types)*
2) Dynamic Analysis to find
a) Fixed – fixed beam for natural frequency determination
b) Bar subjected to forcing function
c) Fixed – fixed beam subjected to forcing function
**PART – C (only for demo and oral exam)**
1) Demonstrate the use of graphics standards (IGES, STEP etc) to import the model from modeler to solver
2) Demonstrate one example of contact analysis to learn the procedure to carry out contact analysis.
3) Demonstrate at least two different type of example to model and analyze bars or plates made from composite material.
**Course Outcomes:** At the end of the course the students are able to:
- Demonstrate the basic features of an analysis package.
- Use the modern tools to formulate the problem, and able to create geometry, describe, apply boundary condition to solve problems of bars, truss, beams, plate to find stress with different loading conditions.
- Demonstrate the deflection of beams subjected to point, uniformly distributed and varying loads further to use the available results to draw shear force and bending moment diagrams.
- Analyze the given problem by applying basic principles to solve and demonstrate 1D and 2D heat transfer with conduction and convection boundary conditions.
- Carry out dynamic analysis and finding natural frequencies for various boundary conditions and also analyze with forcing function.
**REFERENCE BOOKS:**
1. *A first course in the Finite element method*, Daryl L Logan, Thomason, Third Edition
2. *Fundamentals of FEM*, Hutton – McGraw Hill, 2004
3. *Finite Element Analysis*, George R. Buchanan, Schaum Series
**Scheme for Examination:**
One Question from Part A - 32 Marks (08 Write up +24)
One Question from Part B - 32 Marks (08 Write up +24)
Viva-Voce - 16 Marks
**Total 80 Marks**
42
| Sl. No | Subject Code | Title | Lecture | Tutorial | Practical | Duration (Hours) | Theory/Practical Marks | I.A. Marks | Total Marks | Credits |
|--------|--------------|------------------------|---------|----------|-----------|------------------|------------------------|------------|-------------|---------|
| 1 | 15ME71 | Energy Engineering | 3 | 2 | 0 | 03 | 80 | 20 | 100 | 4 |
| 2 | 15ME72 | Fluid Power Systems | 4 | 0 | 0 | 03 | 80 | 20 | 100 | 4 |
| 3 | 15ME73 | Control Engineering | 3 | 2 | 0 | 03 | 80 | 20 | 100 | 4 |
| 4 | 15ME74X | Professional Elective - III | 3 | 0 | 0 | 03 | 80 | 20 | 100 | 3 |
| 5 | 15ME75X | Professional Elective-IV | 3 | 0 | 0 | 03 | 80 | 20 | 100 | 3 |
| 6 | 15MEL76 | Design Lab | 1 | 0 | 2 | 03 | 80 | 20 | 100 | 2 |
| 7 | 15MEL77 | CIM Lab | 1 | 0 | 2 | 03 | 80 | 20 | 100 | 2 |
| 8 | 15MEP78 | Project Phase – I | - | - | - | - | 100 | 100 | 100 | 2 |
**TOTAL**
| Lecture | Tutorial | Practical | Duration (Hours) | Theory/Practical Marks | I.A. Marks | Total Marks | Credits |
|---------|----------|-----------|------------------|------------------------|------------|-------------|---------|
| 18 | 4 | 04 | | 560 | 240 | 800 | 24 |
**Professional Elective-III**
| Subject Code | Title |
|--------------|------------------------|
| 15ME741 | Design of Thermal Equipments |
| 15ME742 | Tribology |
| 15ME743 | Financial Management |
| 15ME744 | Design for Manufacturing |
| 15ME745 | Smart Materials & MEMS |
**Professional Elective-IV**
| Subject Code | Title |
|--------------|------------------------|
| 15ME751 | Automotive Electronics |
| 15ME752 | Fracture Mechanics |
| 15ME753 | Mechatronics |
| 15ME754 | Advanced Vibrations |
1. **Core subject:** This is the course, which is to be compulsorily studied by a student as a core requirement to complete the requirement of a programme in a said discipline of study.
2. **Professional Elective:** Elective relevant to chosen specialization/ branch
Course learning objectives is to
- Understand energy scenario, energy sources and their utilization
- Learn about energy conversion methods and their analysis
- Study the principles of renewable energy conversion systems
- Understand the concept of green energy and zero energy.
**Module – I**
**Thermal Energy Conversion System:** Review of energy scenario in India, General Philosophy and need of Energy. Different Types of Fuels used for steam generation, Equipment for burning coal in lump form, stokers, different types, Oil burners, Advantages and Disadvantages of using pulverized fuel, Equipment for preparation and burning of pulverized coal, unit system and bin system. Pulverized fuel furnaces, cyclone furnace, Coal and ash handling, Generation of steam using forced circulation, high and supercritical pressures. Chimneys: Natural, forced, induced and balanced draft, Calculations and numerical involving height of chimney to produce a given draft. Cooling towers and Ponds. Accessories for the Steam generators such as Superheaters, De-superheater, control of superheaters, Economizers, Air preheaters and re-heaters.
9 Hours
**Module – II**
**Diesel Engine Power System:** Applications of Diesel Engines in Power field. Method of starting Diesel engines. Auxiliaries like cooling and lubrication system, filters, centrifuges, Oil heaters, intake and exhaust system. Layout of diesel power plant.
**Hydro-Electric Energy:** Hydrographs, flow duration and mass curves, unithydrograph and numerical. Storage and pondage, pumped storage plants, low, medium and high head plants. Penstock, water hammer, surge tanks, gates and valves. General layout of hydel power plants.
7 Hours
**Module – III**
**Solar Energy:** Fundamentals; Solar Radiation; Estimation of solar radiation on horizontal and inclined surfaces; Measurement of solar radiation data. Solar Thermal systems: Introduction; Basics of thermodynamics and heat transfer; Flat plate collector; Evacuated Tubular Collector; Solar air collector; Solar concentrator; Solar distillation; Solar cooker; Solar refrigeration and air conditioning; Thermal energy storage systems. Solar Photovoltaic systems: Introduction; Solar cell Fundamentals; Characteristics and classification; Solar cell: Module, panel and Array construction; Photovoltaic thermal systems
8 Hours
**Module – IV**
**Wind Energy**: Properties of wind, availability of wind energy in India, wind velocity and power from wind; major problems associated with wind power, wind machines; Types of wind machines and their characteristics, horizontal and vertical axis wind mills, coefficient of performance of a wind mill rotor (Numerical Examples).
**Tidal Power**: Tides and waves as energy suppliers and their mechanics; fundamental characteristics of tidal power, harnessing tidal energy, limitations.
*8 Hours*
**Module – V**
**Biomass Energy**: Introduction; Photosynthesis Process; Biofuels; Biomass Resources; Biomass conversion technologies; Urban waste to energy conversion; Biomass gasification.
**Green Energy**: Introduction; Fuel cells: Overview; Classification of fuel cells; Operating principles; Fuel cell thermodynamics; Nuclear, ocean, MHD, thermoelectric and geothermal energy applications; Origin and their types; Working principles; Zero energy Concepts
*8 Hours*
**Course Outcomes**
At the end of the course, the student will be able to:
- Summarize the basic concepts of thermal energy systems,
- Identify renewable energy sources and their utilization.
- Understand the basic concepts of solar radiation and analyze the working of solar PV and thermal systems.
- Understand principles of energy conversion from alternate sources including wind, geothermal, ocean, biomass, biogas.
- Understand the concepts and applications of fuel cells, thermoelectric convertor and MHD generator.
- Identify methods of energy storage for specific applications
**TEXT BOOKS:**
1. B H Khan, Non conventional energy resources, 3rd Edition, McGraw Hill Education
2. Principles of Energy conversion, A. W. Culp Jr., McGraw Hill, 1996
**REFERENCE BOOKS:**
1. S.P. Sukhatme, Solar Energy: principles of Thermal Collection and Storage, Tata McGraw-Hill (1984).
2. C. S. Solanki, “Solar Photovoltaic’s: Fundamental Applications and Technologies, Prentice Hall of India, 2009.
3. L.L. Freris, Wind Energy Conversion Systems, Prentice Hall, 1990.
**Scheme of Examination:** Two questions to be set from each module. Students have to answer five full questions, choosing at least one full question from each module.
# FLUID POWER SYSTEMS
| Course | Code | Credits | L-T-P | Assessment | Exam Duration |
|-------------------------|-------|---------|-------|------------|---------------|
| Fluid Power Systems | 15ME72| 04 | 3-2-0 | SEE 80 | 20 | 3Hrs |
## Course objectives:
| CLO1 | To provide an insight into the capabilities of hydraulic and pneumatic fluid power. |
|------------|-------------------------------------------------------------------------------------|
| CLO2 | To understand concepts and relationships surrounding force, pressure, energy and power in fluid power systems. |
| CLO3 | To examine concepts centering on sources of hydraulic power, rotary and linear actuators, distribution systems, hydraulic flow in pipes, and control components in fluid power systems. |
| CLO4 | Exposure to build and interpret hydraulic and pneumatic circuits related to industrial applications. |
| CLO5 | To familiarize with logic controls and trouble shooting |
### Module 1: Introduction to fluid power systems
Fluid power system: components, advantages and applications. Transmission of power at static and dynamic states. Pascal’s law and its applications. Fluids for hydraulic system: types, properties, and selection. Additives, effect of temperature and pressure on hydraulic fluid. Seals, sealing materials, compatibility of seal with fluids. Types of pipes, hoses, and quick acting couplings. Pressure drop in hoses/pipes. Fluid conditioning through filters, strainers; sources of contamination and contamination control; heat exchangers.
**10 hours**
### Module 2: Pumps and actuators
**Pumps:** Classification of pumps, Pumping theory of positive displacement pumps, construction and working of Gear pumps, Vane pumps, Piston pumps, fixed and variable displacement pumps, Pump performance characteristics, pump selection factors, problems on pumps.
**Accumulators:** Types, selection/design procedure, applications of accumulators. Types of Intensifiers, Pressure switches/sensor, Temperature switches/sensor, Level sensor.
**Actuators:** Classification cylinder and hydraulic motors, Hydraulic cylinders, single and double acting cylinder, mounting arrangements, cushioning, special types of cylinders, problems on cylinders.
Construction and working of rotary actuators such as gear, vane, piston motors, and Hydraulic Motor. Theoretical torque, power, flowrate, and hydraulic motor performance; numerical problems. Symbolic representation of hydraulic actuators (cylinders and motors).
**10 hours**
### Module 3: Components and hydraulic circuit design
**Components:** Classification of control valves, Directional Control Valves-symbolic representation, constructional features of poppet, sliding spool, rotary type valves solenoid and pilot operated DCV, shuttle valve, and check valves.
Pressure control valves - types, direct operated types and pilot operated types.
Flow Control Valves - compensated and non-compensated FCV, needle valve, temperature compensated, pressure compensated, pressure and temperature compensated FCV, symbolic representation.
**Hydraulic Circuit Design:** Control of single and Double-acting hydraulic cylinder, regenerative circuit, pump unloading circuit, double pump hydraulic system, counter balance valve application, hydraulic cylinder sequencing circuits, cylinder synchronizing circuit using different methods, hydraulic circuit for force multiplication; speed control of hydraulic cylinder - metering in, metering out and bleed off circuits. Pilot pressure operated circuits. Hydraulic circuit examples with accumulator.
10 hours
**Module 4: Pneumatic power systems**
*Introduction to Pneumatic systems:* Pneumatic power system, advantages, limitations, applications, Choice of working medium. Characteristics of compressed air and air compressors. Structure of pneumatic control System, fluid conditioners-dryers and FRL unit.
*Pneumatic Actuators:* Linear cylinder - types of cylinders, working, end position cushioning, seals, mounting arrangements, and applications. Rotary cylinders - types, construction and application, symbols.
*Pneumatic Control Valves:* DCV such as poppet, spool, suspended seat type slide valve, pressure control valves, flow control valves, types and construction, use of memory valve, Quick exhaust valve, time delay valve, shuttle valve, twin pressure valve, symbols.
10 hours
**Module 5: Pneumatic control circuits**
*Simple Pneumatic Control:* Direct and indirect actuation pneumatic cylinders, speed control of cylinders - supply air throttling and exhaust air throttling.
*Signal Processing Elements:* Use of Logic gates - OR and AND gates in pneumatic applications.
Practical examples involving the use of logic gates.
*Multi-Cylinder Application:* Coordinated and sequential motion control, motion and control diagrams. Signal elimination methods, Cascading method-principle, Practical application examples (up to two cylinders) using cascading method (using reversing valves).
*Electro-Pneumatic Control:* Principles - signal input and output, pilot assisted solenoid control of directional control valves, use of relay and contactors. Control circuitry for simple signal cylinder application.
10 hours
**COURSE OUTCOMES:**
After studying this course, students will be able to:
**CO1** Identify and analyse the functional requirements of a fluid power transmission system for a given application.
| CO2 | Visualize how a hydraulic/pneumatic circuit will work to accomplish the function. |
|-----|----------------------------------------------------------------------------------|
| CO3 | Design an appropriate hydraulic or pneumatic circuit or combination circuit like electro-hydraulics, electro-pneumatics for a given application. |
| CO4 | Select and size the different components of the circuit. |
| CO5 | Develop a comprehensive circuit diagram by integrating the components selected for the given application. |
**TEXT BOOKS:**
1. Anthony Esposito, “Fluid Power with applications”, Pearson edition, 2000.
2. Majumdar S.R., “Oil Hydraulics”, Tata McGraw Hill, 2002.
3. Majumdar S.R., “Pneumatic systems - Principles and Maintenance”, Tata McGraw-Hill, New Delhi, 2005
**REFERENCE BOOKS:**
1. John Pippenger, Tyler Hicks, “Industrial Hydraulics”, McGraw Hill International Edition, 1980.
2. Andrew Par, Hydraulics and pneumatics, Jaico Publishing House, 2005.
3. FESTO, Fundamentals of Pneumatics, Vol I, II and III.
4. Herbert E. Merritt, “Hydraulic Control Systems”, John Wiley and Sons, Inc.
5. Thomson, Introduction to Fluid power, Prentice Hall, 2004
6. John Watton, “Fundamentals of fluid power control”, Cambridge University press, 2012.
**Scheme of Examination:**
Two questions to be set from each module. Students have to answer five full questions, choosing one full question from each module.
**Learning Assignment:**
The faculty will allocate one or more of the following experiments from group A and B to groups of students (containing not more than four students in a group):
**Group A:** Experiments on hydraulic trainer:
- Speed control circuit using metering in and metering out technique
- Regenerative and sequencing circuits.
- Extend-Retract and Stop system of a linear actuator
- Rapid Traverse and Feed circuit.
**Group B:** Experiment on pneumatic trainer:
- Automatic reciprocating circuit
- Speed control circuit
- Pneumatic circuit involving shuttle valve/ quick exhaust valve
- Electro pneumatic valves and circuit
Students should build up the above circuits on computer using software and simulate the flow of fluid during the operation. Afterwards, they themselves can physically connect the circuit on the hydraulic/pneumatic trainer and run the circuit. Record of experiments shall be submitted in the form of a journal. Due credit must be given for this assignment (5 Marks).
**List of Open Source Software/learning website:**
1. Simulink
2. SimHydraulics
## CONTROL ENGINEERING
| Course | Code | Credits | L-T-P | Assessment | Exam Duration |
|-------------------------|--------|---------|-------|------------|---------------|
| Control Engineering | 15ME73 | 04 | 3-2-0 | SEE:80, CIA:20 | 3Hrs |
### Course Objectives
1. Modeling of mechanical, hydraulic, pneumatic and electrical systems.
2. Representation of system elements by blocks and its reduction.
3. Transient and steady state response analysis of a system.
4. Frequency response analysis using polar plot.
5. Frequency response analysis using bode plot.
6. Analysis of system using root locus plots.
7. Different system compensators and variable characteristics of linear systems.
### MODULE I
**Introduction:** Concept of automatic controls, Open loop and closed loop systems, Concepts of feedback, requirements of an ideal control system, Types of controllers-Proportional, Integral, Differential, Proportional & Integral, Proportional Differential and Proportional Integral Differential controllers.
(7 Hours)
### MODULE 2
**Modeling of Physical Systems**: Mathematical Models of Mechanical, Electrical, Thermal, Hydraulic and Pneumatic Systems.
(3 hours)
**Analogous Systems**: Direct and inverse analogs for mechanical, thermal and fluid systems.
(4 hours)
**Block diagram Algebra**: General representation of a feedback control system, transfer functions, rules of block diagram algebra, reduction of block dia. to obtain closed loop transfer function.
Signal flow graphs : Mason’s gain formula
(6 Hours)
MODULE 3
Steady state operation: Steady state analysis for general block dia. for a control system, steady state characteristics, equilibrium in a system. (3 hours)
Transient Response: Transient response and steady state analysis of unit, step input, general operational representation for a differential equation of control system, distinct, repeated and complex conjugate zeros, general form of transient response, Routh’s stability criterion for a control system. (4 hours)
Root Locus Plots: Root locus method: Significance of Root locus, angle and magnitude conditions, breakaway points, angles of departure and arrival, construction of Root locus using general rules and steps, Lead and Lag compensation (6 Hours)
MODULE 4
Frequency Domain Analysis: Relationship between time and frequency response, Polar plot, Bode’s Plot, Nyquist plot and Nyquist stability criterion, Relative Stability, Phase and Gain Margins (14 Hours)
MODULE 5
System Compensation and State Variable Characteristics of Linear Systems: Series and feedback compensation, Introduction to state concepts, state equation of linear continuous data system. Matrix representation of state equations, controllability and observability, Kalman and Gilberts test. (7 Hours)
| Course Outcomes |
|-----------------|
| **CO1:** Recognize control system and its types, control actions |
| **CO2:** Determine the system governing equations for physical models (Electrical, Thermal, Mechanical, Electro Mechanical) |
| **CO3:** Calculate the gain of the system using block diagram and signal flow graph |
| **CO4:** Illustrate the response of 1st and 2nd order systems |
| **CO5:** Determine the stability of transfer functions in complex domain and frequency domain |
| **CO6:** Employ state equations to study the controllability and observability |
**Course objectives:**
1. To understand types of heat exchanger
2. To study the design shell and tube heat exchanger
3. To study types and design of steam heat condenser and compact heat exchanger
4. To comprehend and design air cooled heat exchanger
5. To understand and to design air cooled heat exchanger, furnaces
**Module I**
*Introduction To Heat Exchanger Design:* Types of heat exchangers and their applications. Flow arrangements and temperature distributions in transfer type of heat exchangers. Overall heat transfer coefficient; Clean overall heat transfer coefficient, dirt factor dirt overall heat transfer coefficient, dirt factors for various process services.
*Double Pipe Heat Exchangers:* Film coefficients for tubes and annuli, equivalent diameter of annuli, fouling factors, caloric or average fluid temperature, true temperature difference; Design calculation of double pipe heat exchanger, double pipe exchangers in series-parallel arrangements. **08 Hrs**
**Module II**
*Shell and tube heat exchangers:* tube layouts, baffle spacing, classification of shell and tube exchangers, Design calculation of shell and tube heat exchangers, flow assignments: tube side flow area calculations; viscosity correction factor, shell side equivalent diameter, calculation of shell side heat transfer coefficient, evaluation for wall temperature, evaluation of overall heat transfer coefficient, Calculation of surface area. Calculations of tube side and shell side pressure drops. **08 Hrs**
**Module III**
*Steam Condensers:* Specifications of other details as per TEMA standards. Flow arrangement for increased heat recovery: lack of heat recovery in 1-2 exchangers true temperature difference in a 2-4 exchanger. Calculation procedure for steam condensers.
*Compact Heat Exchangers:* Introduction; definition of Geometric Terms: plate fin surface geometries and surface performance data; correlation of heat transfer and friction data; Goodness factor comparisons; specification of rating and sizing problems; calculation procedure for a rating problem. **08 Hrs**
Module IV
**Air-Cooled Heat Exchangers**: Air as coolant for industrial processes; custom-built units; fin-tube systems for air coolers; fin-tube bundles; thermal rating; tube side flow arrangements; cooling air supply by fans; cooling air supply in natural draft towers.
**Furnaces And Combustion Chambers**: Introduction; process heaters and boiler; heat transfer in furnaces: - Heat source; Heat sink; refractory surfaces; heat transfer to the sink; Design methods: - Method of Lobo and Evans: Method of Wilson, Lobo and Hottel; The Orrok-Hudson equation; Wallenberg simplified method.
08 Hrs
Module V
**Heat pipes** - types and applications, operating principles, working fluids, wick structures, control techniques, pressure balance, maximum capillary pressure, liquid and vapor pressure drops, effective thermal conductivity of wick structures, capillary limitation on heat transport capability, sonic, entrainment, and boiling limitations, determination of operating conditions; Heat pipe design – fluid selection, wick selection, material selection, preliminary design considerations, heat pipe design procedure, determination of heat pipe diameter, design of heat pipe containers, wick design, entertainment and boiling limitations, design problems
08 Hrs
**Course outcomes:**
1. To have complete knowledge of heat exchanger and its applications
2. To be able to design shell and tube heat exchanger
3. To be able to select and design of steam heat condenser and compact heat exchanger condenser and heat pipes for various application
**TEXT BOOKS:**
1. *Process Heat Transfer*: Donald Q. Kern, Tata McGraw –Hill Edition (1997)
2. *Compact Heat Exchangers*: W. M. Kays & A. L. London, McGraw –Hill co. (1997)
3. *Heat Pipe Theory and Practice* Chi, S. W., - A Source Book, McGraw-Hill, 1976
**REFERENCE BOOKS:**
1. *Heat Transfer – A Basic Approach*: Necati Ozsisik, McGraw – Hill International edition (1985).
2. *Heat Exchanger Design Hand Book*: Volumes 2 and 3, edited by Ernst U schlunder. et. al Hemisphere Publishing Co. (1983)
3. *Heat exchanger*- Kokac Thermal- hydraulic and design analysis.
4. *Heat Pipes* Dunn, P. D. and Reay, D. A., Fourth Edition, Pergamon Press, 1994
## Course objectives:
| CLO1 | To educate the students on the importance of friction, the related theories/laws of sliding and rolling friction and the effect of viscosity of lubricants. |
|------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| CLO2 | To expose the students to the consequences of wear, wear mechanisms, wear theories and analysis of wear problems. |
| CLO3 | To make the students understand the principles of lubrication, lubrication regimes, theories of hydrodynamic and the advanced lubrication techniques. |
| CLO4 | To expose the students to the factors influencing the selection of bearing materials for different sliding applications. |
| CLO5 | To introduce the concepts of surface engineering and its importance in tribology. |
### Module 1
**Introduction to tribology:** Historical background, practical importance, and subsequent use in the field.
Lubricants: Types and specific field of applications. Properties of lubricants, viscosity, its measurement, effect of temperature and pressure on viscosity, lubrication types, standard grades of lubricants, and selection of lubricants.
8 hours
### Module 2
**Friction:** Origin, friction theories, measurement methods, friction of metals and non-metals.
Wear: Classification and mechanisms of wear, delamination theory, debris analysis, testing methods and standards. Related case studies.
8 hours
### Module 3
**Hydrodynamic journal bearings:** Friction forces and power loss in a lightly loaded journal bearing, Petroff’s equation, mechanism of pressure development in an oil film, and Reynold’s equation in 2D.
Introduction to idealized journal bearing, load carrying capacity, condition for equilibrium, Sommerfeld’s number and its significance; partial bearings, end leakages in journal bearing, numerical examples on full journal bearings only.
10 hours
### Module 4
**Plane slider bearings with fixed/pivoted shoe:** Pressure distribution, Load carrying capacity, coefficient of friction, frictional resistance in a fixed/pivoted shoe bearing, center of pressure, numerical examples.
**Hydrostatic Lubrication:** Introduction to hydrostatic lubrication, hydrostatic step bearings, load carrying capacity and oil flow through the hydrostatic step bearing, numerical examples.
**Module 5**
**Bearing Materials:** Commonly used bearings materials, and properties of typical bearing materials. Advantages and disadvantages of bearing materials.
**Introduction to Surface engineering:** Concept and scope of surface engineering.
Surface modification – transformation hardening, surface melting, thermo chemical processes.
Surface Coating – plating, fusion processes, vapor phase processes.
Selection of coating for wear and corrosion resistance.
**COURSE OUTCOMES:**
After studying this course, students will be able to:
| CO1 | Understand the fundamentals of tribology and associated parameters. |
| CO2 | Apply concepts of tribology for the performance analysis and design of components experiencing relative motion. |
| CO3 | Analyse the requirements and design hydrodynamic journal and plane slider bearings for a given application. |
| CO4 | Select proper bearing materials and lubricants for a given tribological application. |
| CO5 | Apply the principles of surface engineering for different applications of tribology. |
**Scheme of Examination:**
Two questions to be set from each module. Students have to answer five full questions, choosing one full question from each module.
Use of approved Design Data Handbook/charts can be permitted during the examination.
**TEXTBOOKS:**
1. “Introduction to Tribology”, B. Bhushan, John Wiley & Sons, Inc., New York, 2002
2. “Engineering Tribology”, Prasanta Sahoo, PHI Learning Private Ltd, New Delhi, 2011.
3. “Engineering Tribology”, J. A. Williams, Oxford Univ. Press, 2005.
**REFERENCES:**
1. “Introduction to Tribology in bearings”, B. C. Majumdar, Wheeler Publishing.
2. “Tribology, Friction and Wear of Engineering Material”, I. M. Hutchings, Edward Arnold, London, 1992.
3. “Engineering Tribology”, G. W. Stachowiak and A. W. Batchelor, Butterworth-Heinemann, 1992.
4. “Friction and Wear of Materials”, Ernest Rabinowicz, John Wiley & sons, 1995.
5. “Basic Lubrication Theory”, A. Cameron, Ellis Hardwoods Ltd., UK.
6. “Handbook of tribology: materials, coatings and surface treatments”, B. Bhushan, B.K. Gupta, McGraw-Hill, 1997.
Subject Overview: Finance is the lifeblood of any enterprise. Financial Management is imperative for efficient utilization and generation of monetary resources and funds. The subject deals with fundamental books and records of accounts with financial analysis. The subject imparts expose to statutory levies to strengthen the understanding of government taxed and duties including the general sales tax structure. The subject includes concepts of market risks and returns to efficiently manage the cash and circumvent liquidity problems both at the individual and organizational levels. In the new CBCS scheme, topics on investment decisions and asset management decisions besides the financing decisions. The curriculum also includes costing and budgeting to enable budding engineers to make a comparative study of finance and economics and evaluate costs and revenues of engineering operations.
MODULE - 1
INTRODUCTION: Book keeping – systems of book keeping, journal and ledger posting. Financial Statement, Preparation of Trial balance, profit and Loss Account, Balance Sheet with adjustments.
05 Hours STATUTORY LEVIES: Forms of organization, direct and indirect taxes. Statutory Registration- excise Duty, central sales tax, VAT, service tax, central and state general Sales tax, international fund availability.
05 Hours
MODULE - 2
WORKING CAPITAL MANAGEMENT: Definition, need and factors influencing the working capital requirement. Determination of operating cycle, cash cycle and operating cycle analysis. Calculation of gross working capital and net working capital requirement.
06 Hours
LONG TERM FINANCING: Raising of finance from primary and secondary markets. Valuation of securities, features of convertible securities and warrants. Features of debt, types of debt instruments, return on investment(ROI) and credit rating of units. Shares, debentures.
06 Hours
MODULE-3
INVESTMENT DECISIONS: Inventory investment, Strategic investment, Ownership investments, lending investment, cash equivalent investment, factors affecting investment decisions, Capital Budgeting, disinvestment methods - public offer, sale of equity, cross holding.
06 Hours
ASSET MANAGEMENT DECISIONS: Current Asset Management, Fixed Asset Management, Wealth management, engineering asset management (EAM) - asset maintenance technologies, asset reliability management, project management
06 Hours
MODULE - 4
RISK AND REQUIRED RETURN: Risk and return relationship, methods of measuring the risk, Business risk, financial risk, calculation of expected rate of return to the portfolio, financial theories - portfolio theory, capital asset pricing model, arbitrage pricing theory numerical problems.
06 Hours
RATIO ANALYSIS / ACCOUNTING RATIO: Liquidity ratio – Current ratio, quick ratio, turnover ratio, capital structure ratio- Debt – equity ratio, Coverage ratio, Profitability ratio, Profit margin, Return on assets, Activity ratios – Inventory turnover ratio, Debtors Turnover ratio. Preparation of the balance sheet from various ratios. Analysis of any one published balanced sheet.
07 Hours
MODULE - 5
COSTING: Classification of costs, preparation of cost sheet, absorption and variable costing, standard costing, job costing, process costing. Classification of the variances analysis – material, labor and overhead variances.
06 Hours
BUDGETING: Types of budgets – Flexible budgets, preparation of cash budgets, purchase and production budgets and master budget, Budgetary control, advantages & limitations of budgeting.
06 Hours
Course Outcomes: Upon successful completion of the course, students will be able to:
1. Measure the returns from engineering projects of differing risks and present a risk-return tradeoff relationship (PO 4, 12)
2. Determine the financial ratios and profitability margins of projects to evaluate economic viability to accept or reject the project. (PO 11)
3. Evaluate cost break ups of engineering projects and processes to determine and control the prohibitive cost components (PO 11)
4. Apply Engineering Asset Management techniques to evaluate the economic value of physical assets. (PO 1, 11, 12)
TEXTBOOKS:
1. Financial Management, Khan & Jain, text & problems TMH ISBN 0-07-460208-A, 20001
2. Financial Accounting, Costing and Management Accounting, S. M. Maheshwari, 2000
3. Srivatsava, Radhey Mohan, Financial Decision Making : Text Problem and Cases, New Delhi : Sterling Publishers (Private) Limited, 198*, p=H
4. Francis, Pitt, The Foundations of Financial Management, London : Arnold Heinmann, 1983, p.1
REFERENCE BOOKS:
2. **Financial Management**, I. M. Pandey, Vikas Publication House ISBN 0-7069-5435-1. 2002
3. **Financial Management**, Abrish Gupta, Pearson.
4. **Financial Decision Making**, Humpton. 2000
5. **Financial Management**, Theory and Practice, Prasanna Chandra TMH ISGN -07-462047-9, 3rd edition 2002
6. **Essentials of Financial Management**, Walker, Ernest W., New Delhi: Prentice Hall of India Pvt. Ltd., 1976, p.1
**Course Outcomes:** Upon successful completion of the course, students will be able to:
1. Measure the returns from engineering projects of differing risks and present a risk-return tradeoff relationship (PO 4, 12)
2. Determine the financial ratios and profitability margins of projects to evaluate economic viability to accept or reject the project. (PO 11)
3. Evaluate cost break ups of engineering projects and processes to determine and control the prohibitive cost components (PO 11)
4. Apply Engineering Asset Management techniques to evaluate the economic value of physical assets. (PO 1, 11, 12)
## Design for Manufacturing
| Course | Code | Credits | L-T-P | Assessment | Exam Duration |
|-------------------------|--------|---------|-------|------------|---------------|
| Design for Manufacturing| 15ME744| 03 | 3-0-0 | SEE 80 | 20 | 3Hrs |
### Course objectives:
| CLO1 | To educate students on factors to be considered in designing parts and components with focus on manufacturability. |
|-------------------------|---------------------------------------------------------------------------------------------------------------|
| CLO2 | To expose the students to dimensional tolerances, geometric tolerances and true position tolerance techniques in manufacture. |
| CLO3 | To impart the knowledge on design considerations for designing components produced using various machining operations like turning, drilling, milling, grinding etc. |
| CLO4 | To educate the students on design rules and recommendations for processes like casting, welding, forgings powder metallurgy and injection moulding. |
### Module 1:
Major phases of design, effect of material properties on design, effect of manufacturing processes on design. Material selection process- cost per unit property, weighted properties and limits on properties methods. Guidelines for design for manufacturability. Review of relationship between attainable tolerance grades and different machining processes. Process capability, mean, variance, skewness, kurtosis, process capability indices- Cp, and Cpk. Cumulative effect of tolerance- Sure fit law and truncated normal law, problems.
**8 hours**
### Module 2:
Selective Assembly: Interchangeable part manufacture and selective assembly. Deciding the number of groups -model-1: group tolerance of mating parts equal, model- 2: total and group tolerances of shaft equal. Control of axial play- introducing secondary machining operations, and laminated shims; examples. True positional theory: Comparison between coordinate and true position method offeature location. True position tolerance- virtual size concept, floating and fixed fasteners, projected tolerance zone and functional gages. Concept of Zero true position tolerance. Simple problems on true position tolerancing.
**10 hours**
### Module 3:
**Datum Features:** Functional datum, datum for manufacturing, changing the datum; examples. **Component Design:** Design features to facilitate machining: drills, milling cutters, keyways, Doweling procedures, counter sunk screws, Reduction of machined area, simplification by separation, simplification by amalgamation, Design for machinability, Design for economy, Design for clampability, Design for accessibility, Design for assembly.
**8 hours**
Module 4:
Design of components with casting considerations: Pattern, mould, and parting line. Cored holes and machined holes. Identifying the possible and probable parting lines. Castings requiring special sand cores. Designing to obviate sand cores.
Welding considerations: requirements and rules, redesign of components for welding; case studies.
8 hours
Module 5:
Forging considerations - requirements and rules - redesign of components for forging and case studies.
Design of components for powder metallurgy - requirements and rules - case studies.
Design of components for injection moulding - requirements and rules - case studies.
8 hours
COURSE OUTCOMES:
After studying this course, students will be able to:
| CO1 | Describe the different types of manufacturing systems and compare their suitability for economic production of various components and products. |
|-----|----------------------------------------------------------------------------------------------------------------------------------|
| CO2 | Identify factors and causing mechanisms of the defects likely to occur with different manufacturing processes in producing mechanical products and the relevant design approaches to rectify them. |
| CO3 | Select proper materials and manufacturing processes for designing products/components by applying the relevant principles for ease and economic production. |
| CO4 | |
Scheme of Examination:
Two questions to be set from each module. Students have to answer five full questions, choosing one full question from each module.
TEXTBOOKS:
1. Peck, H. “Designing for Manufacture”, Pitman Publications, London, 1983.
2. Dieter, G.E. “Engineering Design: A Materials and processing Approach”, McGraw Hill Co.Ltd, 2000.
3. Bralla, James G., “Handbook of Products Design for Manufacturing: A Practical Guide to Low-cost Production”, McGraw Hill, New York, 1986.
REFERENCES:
1. Egger, R.J. “Engineering Design” Pearson Education, Inc., New Jersey, 2005.
2. Matousek, R. “Engineering Design”, Blackie and Son Limited, Glasgow, 1967.
3. Kalandar Saheb, S.D and Prabhakar, O. “Engineering Design for Manufacture”, ISPE 1999.
4. Trucks, H.E., “Design for Economical Production”, 2nd ed., Mich., Dearborn, SME 1987.
5. Linberg, Roy A., “Processes and Materials of Manufacture”, 4th ed., Allyn and Bacon, Boston, U.S.A., 1990.
SMART MATERIALS and MEMS
| Course | Code | Credits | L-T-P | Assessment | Exam Duration |
|-------------------------|--------|---------|-------|------------|---------------|
| Smart Materials and MEMS| 15ME745| 03 | 3-0-0 | SEE 80 | 20 | 3Hrs |
**Course Objective:**
This course provides a detailed overview to smart materials, piezoelectric materials structures and its characteristics. The study of Smart structures and modelling helps in Vibration control using smart materials in various applications. Helps to understand the principles and concepts of using MEMS, ER & MR Fluids for various applications.
**MODULE 1**
Unit 1: Introduction: Closed loop and Open loop Smart Structures. Applications of Smart structures, Piezoelectric properties. Inchworm Linear motor, Shape memory alloys, Shape memory effect-Application, Processing and characteristics. – 5hrs
Unit 2: Shape Memory Alloys: Introduction, Phenomenology, Influence of stress on characteristic temperatures, Modelling of shape memory effect. Vibration control through shape memory alloys. Design considerations, multiplexing embedded NiTiNOL actuators. – 5hrs
**MODULE -2**
Unit 3: Electro rheological and Magneto rheological Fluids: Mechanisms and Properties, Characteristics, Fluid composition and behaviour, Discovery and Early developments, Summary of material properties. Application of ER and MR fluids (Clutches, Dampers, others). – 5hrs
Unit 4: Fibre Optics: Introduction, Physical Phenomenon, Characteristics, Fibre optic strain sensors, Twisted and Braided Fibre Optic sensors, Optical fibres as load bearing elements, Crack detection applications, Integration of Fibre optic sensors and shape memory elements. – 5hrs
**MODULE -3**
Unit 5: Vibration Absorbers: Introduction, Parallel Damped Vibration Absorber, Analysis, Gyroscopic Vibration absorbers, analysis & experimental set up and observations, Active Vibration absorbers. Control of Structures: Introduction, Structures as control plants, Modelling structures for control, Control strategies and Limitations. – 6hrs
Unit 6: Biomimetics: Characteristics of Natural structures. Fibre reinforced: organic matrix natural composites, Natural creamers, Mollusks. Biomimetic sensing, Challenges and opportunities. – 5hrs
MODULE -4
Unit 7: MEMS: History of MEMS, Intrinsic Characteristics, Devices: Sensors and Actuators. Microfabrication: Photolithography, Thermal oxidation, Thin film deposition, etching types, Doping, Dicing, Bonding. Microelectronics fabrication process flow, Silicon based, Process selection and design.
- 5hrs
Unit 8: Piezoelectric Sensing and Actuation: Introduction, Cantilever Piezoelectric actuator model, Properties of Piezoelectric materials, Applications. Magnetic Actuation: Concepts and Principles, Magnetization and Nomenclatures, Fabrication and case studies, Comparison of major sensing and actuation methods.
- 5hrs
MODULE-5
Unit 9: Polymer MEMS & Microfluidics: Introduction, Polymers in MEMS (Polyimide, SU-8, LCP, PDMS, PMMA, Parylene, Others) Applications (Acceleration, Pressure, Flow, Tactile sensors). Motivation for micro fluidics, Biological Concepts, Design and Fabrication of Selective components, Channels and Valves.
- 6hrs
Unit 10: Case Studies: MEMS Magnetic actuators, BP sensors, Microphone, Acceleration sensors, Gyro, MEMS Product development: Performance, Accuracy, Repeatability, Reliability, Managing cost, Market uncertainties, Investment and competition
- 5hrs
TEXT BOOKS:
1. “Smart Structures – Analysis and Design”, A.V.Srinivasan, Cambridge University Press, New York, 2001, (ISBN: 0521650267).
2. “Smart Materials and Structures”, M.V.Gandhi and B.S.Thompson Chapmen & Hall, London, 1992 (ISBN: 0412370107)
3. “Foundation of MEMS”, by Chang Liu, Pearson Education. (ISBN: 9788131764756)
Course outcomes:
1. Describe the methods of controlling vibration using smart systems and fabrication methods of MEMS.
2. Explain the principle concepts of Smart materials, structures, Fibre optics, ER & MR Fluids, Biomimetics and MEMS with principles of working.
3. Analyze the properties of smart structures, MEMS, with the applications and select suitable procedure for fabrication.
4. Summarize the methods and uses of Micro fabrications, Biomimetics, types of polymers used in MEMS, Fibre optics, piezoelectric sensing and actuation.
Automotive Electronics
| Course | Code | Credits | L-T-P | Assessment | Exam Duration |
|-------------------------|--------|---------|-------|------------|---------------|
| Automotive Electronics | 15ME751| 03 | 3-0-0 | SEE 80 | 20 | 3Hrs |
**Course Objective**
Students will learn
1. Basics of electronic control of internal combustion engines and the drives
2. Understand principle of working of sensors and actuators used in automobiles for control
3. Diagnostics and safety systems in automobiles
**Module 1**
**Automotive Fundamentals Overview** – Evolution of Automotive Electronics, Automobile Physical Configuration, Survey of Major Automotive Systems, The Engine – Engine Block, Cylinder Head, Four Stroke Cycle, Engine Control, Ignition System – Spark plug, High voltage circuit and distribution, Spark pulse generation, Ignition Timing, Diesel Engine, Drive Train - Transmission, Drive Shaft, Differential, Suspension, Brakes, Steering System\, Starter Battery – Operating principle: (7 hours)
**The Basics of Electronic Engine Control** – Motivation for Electronic Engine Control – Exhaust Emissions, Fuel Economy, Concept of an Electronic Engine control system, Definition of General terms, Definition of Engine performance terms, Engine mapping, Effect of Air/Fuel ratio, spark timing and EGR on performance, Control Strategy, Electronic Fuel control system, Analysis of intake manifold pressure, Electronic Ignition. (6 hours)
**Module 2**
Control Systems - Automotive Control System applications of Sensors and Actuators – Typical Electronic Engine Control System, Variables to be measured
3 hours
Automotive Sensors – Airflow rate sensor, Strain Gauge MAP sensor, Engine Crankshaft Angular Position Sensor, Magnetic Reluctance Position Sensor, Hall effect Position Sensor, Shielded Field Sensor, Optical Crankshaft Position Sensor, Throttle Angle Sensor (TAS), Engine Coolant Temperature (ECT) Sensor, Exhaust Gas Oxygen (O2/EGO) Lambda Sensors, Piezoelectric Knock Sensor.
5 hours
Automotive Actuators – Solenoid, Fuel Injector, EGR Actuator, Ignition System
3 hours
Module 3
Digital Engine Control Systems – Digital Engine control features, Control modes for fuel Control (Seven Modes), EGR Control, Electronic Ignition Control – Closed loop Ignition timing, Spark Advance Correction Scheme, Integrated Engine Control System – Secondary Air Management, Evaporative Emissions Canister Purge, Automatic System Adjustment, System Diagnostics.
6 hours
Control Units – Operating conditions, Design, Data processing, Programming, Digital modules in the Control unit, Control unit software.
3 hours
Module 4
Automotive Networking – Bus Systems – Classification, Applications in the vehicle, Coupling of networks, Examples of networked vehicles (Text 2: Pg. 85-91), Buses – CAN Bus, LIN Bus, MOST Bus, Bluetooth, FlexRay, Diagnostic Interfaces.
6 hours
Vehicle Motion Control – Typical Cruise Control System, Digital Cruise Control System, Digital Speed Sensor, Throttle Actuator, Digital Cruise Control configuration, Cruise Control Electronics (Digital only), Antilock...
Module 5
Automotive Diagnostics – Timing Light, Engine Analyzer, On-board diagnostics, Off-board diagnostics, Expert Systems, Occupant Protection
Systems – Accelerometer based Air Bag systems.
Future Automotive Electronic Systems – Alternative Fuel Engines, Electric and Hybrid vehicles, Fuel cell powered cars, Collision Avoidance Radar warning Systems, Low tire pressure warning system, Heads Up display, Speech Synthesis, Navigation – Navigation Sensors – Radio Navigation, Signpost navigation, Dead reckoning navigation, Voice Recognition Cell Phone dialing, Advanced Cruise Control, Stability Augmentation, Automatic driving Control
Course Outcomes
1. Explain the electronics systems used for control of automobiles
2. Select sensors, actuators and control systems used in automobiles
3. Diagnose the faults in the sub systems and systems used automobile
Text Books:
1. William B. Ribbens, “Understanding Automotive Electronics”, 6th Edition, Elsevier Publishing.
2. Robert Bosch Gmbh (Ed.) Bosch Automotive Electrics and Automotive Electronics Systems and Components, Networking and Hybrid Drive, 5th edition, John Wiley & Sons Inc., 2007.
Course Objective:
Fracture mechanics provides a methodology for prediction, prevention and control of fracture in materials, components and structures.
It provides a background for damage tolerant design.
It quantifies toughness as materials resistance to crack propagation.
Course Content:
Module 1.
Fracture mechanics principles: Introduction and historical review, Sources of micro and macro cracks. Stress concentration due to elliptical hole, Strength ideal materials, and Griffith’s energy balance approach. Fracture mechanics approach to design, NDT and Various NDT methods used in fracture mechanics, Numerical problems. The Airy stress function. Effect of finite crack size. Elliptical cracks, Numerical problems.
Module 2.
Plasticity effects: Irwin plastic zone correction, Dugdale’s approach. The shape of the plastic zone for plane stress and plane strain cases. The plate thickness effect, numerical problems. Determination of Stress intensity factors and plane strain fracture toughness: Introduction, estimation of stress intensity factors. Experimental method- Plane strain fracture toughness test, The Standard test, size requirements, etc.
Module 3.
The energy release rate. Criteria for crack growth. The crack resistance (R curve). Compliance. Tearing modulus. Stability.
Elastic plastic fracture mechanics: Fracture beyond general yield. The Crack-tip opening displacement. The Use of CTOD criteria. Experimental determination of CTOD. Parameters affecting the critical CTOD.
Module 4.
J integral: Use of J integral. Limitation of J integral. Experimental determination of J integral and the parameters affecting J integral.
Dynamics and crack arrest: Crack speed and kinetic energy. Dynamic stress intensity and elastic energy release rate. Crack branching. Principles of crack arrest. Crack arrest in practice. Dynamic fracture toughness.
Module 5.
Fatigue crack propagation and applications of fracture mechanics: Crack growth and the stress intensity factor. Factors affecting crack propagation. Variable amplitude service loading, Means to provide fail-safety, Paris law, Required information for fracture mechanics approach, 08 Hrs
Course Outcome:
At the end of the course students will:
1. Develop basic fundamental understanding of the effects of cracklike defects on the performance of aerospace, civil, and mechanical Engineering structures.
2. Learn to select appropriate materials for engineering structures to insure damage tolerance.
3. Learn to employ modern numerical methods to determine critical crack sizes and fatigue crack propagation rates in engineering structures.
4. Gain an appreciation of the status of academic research in field of fracture mechanics.
Text Books
1. Elements of Fracture Mechanics by Prasant Kumar, Mc Graw Hill Education, 2009 Edition
2. Anderson, “Fracture Mechanics-Fundamental and Application”, T.L CRC press 1998.
3. David Broek, “Elementary Engineering Fracture Mechanics”, Springer Netherlands, 2011
Reference Books
1. Karen Hellan, “Introduction to fracture mechanics”, McGraw Hill, 2nd Edition
2. S.A. Meguid, “Engineering fracture mechanics” Elsevier Applied Science, 1989
3. Jayatilaka, “Fracture of Engineering Brittle Materials”, Applied Science Publishers, 1979
4. Rolfe and Barsom, “Fracture and Fatigue Control in Structures”, Prentice Hall, 1977
5. Knott, “Fundamentals of fracture mechanisms”, Butterworths, 1973
## MECHATRONICS
| Course | Code | Credits | L-T-P | Assessment | Exam Duration |
|--------------|--------|---------|-------|------------|---------------|
| Mechatronics | 15ME753| 03 | 3-0-0 | SEE 80, CIA 20 | 3 Hrs |
### Course objectives:
1. Understand the evolution and development of Mechatronics as a discipline.
2. Substantiate the need for interdisciplinary study in technology education.
3. Understand the applications of microprocessors in various systems and to know the functions of each element.
4. Demonstrate the integration philosophy in view of Mechatronics technology.
### MODULE - 1
**Introduction:** Definition, Multidisciplinary Scenario, Evolution of Mechatronics, Design of Mechatronics system, Objectives, advantages and disadvantages of Mechatronics.
**Transducers and sensors:** Definition and classification of transducers, Difference between transducer and sensor, Definition and classification of sensors, Principle of working and applications of light sensors, proximity switches and Hall Effect sensors.
10 Hours
### MODULE - 2
**Microprocessor & Microcontrollers:** Introduction, Microprocessor systems, Basic elements of control systems, Microcontrollers, Difference between Microprocessor and Microcontrollers.
**Microprocessor Architecture:** Microprocessor architecture and terminology-CPU, memory and address, I/O and Peripheral devices, ALU, Instruction and Program, Assembler, Data, Registers, Program Counter, Flags, Fetch cycle, write cycle, state, bus interrupts. Intel’s 8085A Microprocessor.
10 Hours
### MODULE - 3
**Programmable logic controller:** Introduction to PLC’s, basic structure, Principle of operation, Programming and concept of ladder diagram, concept of latching & selection of a PLC.
**Integration:** Introduction & background, Advanced actuators, Pneumatic actuators, Industrial Robot, different parts of a Robot-Controller, Drive, Arm, End Effectors, Sensor & Functional requirements of robot.
10 Hours
### MODULE - 4
**Mechanical actuation systems:** Mechanical systems, types of motion, Cams, Gear trains, Ratchet & Pawl, belt and chain drives, mechanical aspects of motor selection.
**Electrical actuation systems:** Electrical systems, Mechanical switches, Solenoids, Relays, DC/AC Motors, Principle of Stepper Motors & servomotors.
10 Hours
### MODULE - 5
**Pneumatic and hydraulic actuation systems:** Actuating systems, Pneumatic and hydraulic systems, Classifications of Valves, Pressure relief valves, Pressure regulating/reducing valves, Cylinders and rotary actuators.
**DCV & FCV:** Principle & construction details, types of sliding spool valve.
solenoid operated, Symbols of hydraulic elements, components of hydraulic system, functions of various units of hydraulic system. Design of simple hydraulic circuits for various applications.
10 Hours
**Course outcomes:**
On completion of this subject, students will be able to:
1. Illustrate various components of Mechatronics systems.
2. Assess various control systems used in automation.
3. Develop mechanical, hydraulic, pneumatic and electrical control systems.
**TEXT BOOKS:**
1. Nitaiagour Premchand Mahalik, *Mechatronics - Principles, Concepts and Applications*, Tata McGraw Hill, 1st Edition, 2003 ISBN No. 0071239243, 9780071239240.
2. W. Bolton-Pearson Education, *Mechatronics – Electronic Control Systems in Mechanical and Electrical Engineering*, 1st Edition, 2005 ISBN No. 81-7758-284-4.
**REFERENCE BOOKS:**
1. *Mechatronics* by HMT Ltd. – Tata McGrawHill, 1st Edition, 2000. ISBN: 9780074636435.
2. Anthony Esposito, *Fluid Power*, Pearson Education, 6th Edition, 2011, ISBN No. 9789332518544.
**E-Learning**
- VTU, E-learning
**Scheme of Examination:**
Two questions to be set from each module. Students have to answer five full questions, choosing at least one full question from each module.
Course objectives:
1. To enable the students to understand the theoretical principles of vibration and vibration analysis techniques for the practical solution of vibration problems.
2. To enable the students to understand the importance of vibrations in mechanical design of machine parts subject to vibrations.
MODULE - 1
**Forced vibrations (1DOF):** Introduction, analysis of forced vibration with constant harmonic excitation, MF, rotating and reciprocating unbalances, excitation of support (relative and absolute amplitudes), force and motion transmissibility, energy dissipated due to damping and numerical problems.
**Systems with 2DOF:** Principal modes of vibrations, normal mode and natural frequencies of systems (Damping is not included), simple spring-mass systems, masses on tightly stretched strings, double pendulum, tensional systems, combined rectilinear and angular systems, geared systems and numerical problems. 10 Hours
MODULE - 2
**Numerical methods for multi DOF systems:** Maxwell’s reciprocal theorem, influence coefficients, Rayleigh’s method, Dunkerley’s method, Stodola method, orthogonality principle, method of matrix iteration and numerical.
**Modal analysis and condition monitoring:** signal analysis, dynamic testing of machines and structures, experimental modal analysis, machine condition monitoring and diagnosis. 10 Hours
MODULE - 3
**Vibration measuring instruments and whirling of shafts:** seismic instruments, vibrometers, accelerometer, frequency measuring instruments and numerical. Whirling of shafts with and without damping.
**Vibration Control:** Introduction, Vibration isolation theory, Vibration isolation and motion isolation for harmonic excitation, practical aspects of vibration analysis, vibration isolation, Dynamic vibration absorbers and Vibration dampers. 10 Hours
MODULE - 4
**Transient Vibration of single Degree-of freedom systems:** Impulse excitation, arbitrary excitation, Laplace transforms formulation, Pulse excitation and rise time, Shock response spectrum, Shock isolation.
**Random Vibrations:** Random phenomena Time averaging and expected value, Frequency response function, Probability distribution, Correlation, Power spectrum and power spectral density, Fourier transforms and response. 10 Hours
MODULE - 5
**Non Linear Vibrations:** Introduction, Sources of nonlinearity, Qualitative analysis of nonlinear systems. Phase plane, Conservative systems, Stability of equilibrium, Method of isoclines, Perturbation method, Method of iteration, Self-excited oscillations.
**Continuous Systems:** Vibration of string, longitudinal vibration of rods, Torsional vibration of rods, Euler equation for beams. 10 Hours
Course outcomes:
On completion of this subject, students will be able to:
4. Understand and characterize the single and multi degrees of freedom systems subjected to free and forced vibrations with and without damping.
5. Understand the method of vibration measurements and its controlling.
6. Understand the concept of dynamic vibrations of a continuous systems.
TEXT BOOKS:
1. S. S. Rao, “Mechanical Vibrations”, Pearson Education.
2. S. Graham Kelly, “Fundamentals of Mechanical Vibration” - McGraw-Hill.
3. “Theory of Vibration with Application” - William T. Thomson, Marie Dillon Dahleh, Chandramouli Padmanabhan, 5th edition Pearson Education.
4. “Mechanical Vibrations”, V. P. Singh, Dhanpat Rai & Company.
5. Mechanical Vibrations, W.T. Thomson W.T.- Prentice Hill India
REFERENCE BOOKS:
1. S. Graham Kelly, “Mechanical Vibrations”, Schaum’s Outlines, Tata McGraw Hill.
2. C Sujatha, “Vibrations and Acoustics – Measurements and signal analysis”, Tata McGraw Hill.
3. “Mechanical Vibrations”, G. K. Grover, Nem Chand and Bros.
E-Learning
- VTU, E-learning
Scheme of Examination:
Two question to be set from each module. Students have to answer five full questions, choosing at least one full question from each module.
**DESIGN LABORATORY**
| Course | Code | Credits | L-T-P | Assessment | Exam Duration |
|----------------------|--------|---------|-------|------------|---------------|
| Design Laboratory | 15MEL76| 02 | 1-0-2 | SEE 80, CIA 20 | 3Hrs |
**Prerequisites:** Knowledge of Dynamics and Machines and Design of Machine Elements
**COURSE OBJECTIVES:**
**Students are expected-**
1. To understand the natural frequency, logarithmic decrement, damping ratio and damping.
2. To understand the balancing of rotating masses.
3. To understand the concept of the critical speed of a rotating shaft.
4. To understand the concept of stress concentration using Photo elasticity.
5. To understand the equilibrium speed, sensitiveness, power and effort of Governor.
**PART –A**
1. Determination of natural frequency, logarithmic decrement, damping ratio and damping Co-efficient in a single degree of freedom vibrating systems (longitudinal and torsional)
2. Determination of critical speed of rotating shaft.
3. Balancing of rotating masses.
4. Determination of fringe constant of Photo-elastic material using Circular disk subjected diametric compression, Pure bending specimen (four point bending)
5. Determination of stress concentration using Photo elasticity for simple components like Plate with hole under tension or bending, circular disk with circular hole under compression, 2-d crane hook.
**PART –B**
1. Determination of equilibrium speed, sensitiveness, power and effort of Porter/ Proel / Hartnell Governor. (at least one)
2. Determination of pressure distribution in Journal bearing
3. Determination of principle stresses and strain in a member subjected to combined loading using strain rosettes.
4. Determination of stresses in curved beam using strain gauge.
5. Experiments on Gyroscope (Demonstration only)
COURSE OUTCOMES
At the end of the course, the students will be able to:
1. To understand the working principles of machine elements such as Governors, Gyroscopes etc..
2. To identify forces and couples in rotating mechanical system components.
3. To identify vibrations in machine elements and design appropriate damping methods and to determine the critical speed of a rotating shaft.
4. To measure strain in various machine elements using strain gauges.
5. To determine the minimum film thickness, load carrying capacity, frictional torque and pressure distribution of journal bearing.
6. To determine strain induced in a structural member using the principle of photo-elasticity.
Scheme of Examination:
One question from Part A: 32 Marks
One question from part B: 32 Marks
Viva-Voce: 16 Marks
Total: 80 Marks
Reference Books:
[1] “Shigley’s Mechanical Engineering Design”, Richards G. Budynas and J. Keith Nisbett, McGraw-Hill Education, 10th Edition, 2015.
[2] “Design of Machine Elements”, V.B. Bhandari, TMH publishing company Ltd. New Delhi, 2nd Edition 2007.
[3] “Theory of Machines”, Sadhu Singh, Pearson Education, 2nd Edition, 2007.
[4] “Mechanical Vibrations”, G.K. Grover, Nem Chand and Bros, 6th Edition, 1996.
COMPTER INTEGRATED MANUFACTURING LAB
| Course | Code | Credits | L-T-P | Assessment SEE | CIA | Exam Duration |
|---------------------------------|--------|---------|-------|----------------|-----|---------------|
| Computer Integrated Manufacturing LAB | 15MEL77 | 02 | 1-0-2 | 80 | 20 | 3Hrs |
**Course Objectives:**
| CLO1 | To expose the students to the techniques of CNC programming and cutting tool path generation through CNC simulation software by using G-Codes and M-codes. |
|--------------------------------|------------------------------------------------------------------------------------------------------------------------------------------|
| CLO2 | To educate the students on the usage of CAM packages. |
| CLO3 | To make the students understand the importance of automation in industries through exposure to FMS, Robotics, and Hydraulics and Pneumatics. |
**Part-A**
**Manual CNC part programming** for 2 turning and 2 milling parts. Selection and assignment of tools, correction of syntax and logical errors, and verification of tool path.
**CNC part programming using CAM packages.** Simulation of Turning, Drilling, Milling operations. 3 typical simulations to be carried out using simulation packages like: CademCAMLab-Pro, Master- CAM. Program generation using software. Optimize spindle power, torque utilization, and cycle time. Generation and printing of shop documents like process and cycle time sheets, tool list, and tool layouts. Cut the part in single block and auto mode and measure the virtual part on screen. Post processing of CNC programs for standard CNC control systems like FANUC, SINUMERIC and MISTUBISHI.
**Part B**
(Only for Demo/Viva voce)
**FMS (Flexible Manufacturing System):** Programming of Automatic storage and Retrieval system (ASRS) and linear shuttle conveyor Interfacing CNC lathe, milling with loading unloading arm and ASRS to be carried out on simple components.
(Only for Demo/Viva voce)
**Robot programming:** Using Teach Pendent & Offline programming to perform pick and place, stacking of objects (2 programs).
**Pneumatics and Hydraulics, Electro-Pneumatics:** 3 typical experiments on Basics of these topics to be conducted.
**Course Outcomes:**
After studying this course, students will be able to:
| CLO1 | Generate CNC Lathe part program for Turning, Facing, Chamfering, Grooving, Step turning, Taper turning, Circular interpolation etc. |
|------|----------------------------------------------------------------------------------------------------------------------------------|
| CLO2 | Generate CNC Mill Part programming for Point to point motions, Line motions, Circular interpolation, Contour motion, Pocket milling- circular, rectangular, Mirror commands etc. |
| CLO3 | Use Canned Cycles for Drilling, Peck drilling, Boring, Tapping, Turning, Facing, Taper turning Thread cutting etc. |
| CLO4 | Simulate Tool Path for different Machining operations of small components using CNC Lathe & CNC Milling Machine. |
| CLO5 | Use high end CAM packages for machining complex parts; use state of art cutting tools and related cutting parameters; optimize cycle time. |
| CLO6 | Understand & write programs for Robotcontrol; understand the operating principles of hydraulics, pneumatics and electropneumatic systems. Apply this knowledge to automate & improve efficiency of manufacturing. |
**Scheme for Examination:**
Two Questions from Part A - 60 Marks (30 +30)
Viva-Voce - 20 Marks
Total: 80 Marks
| Course | Code | Credits | L-T-P | Assessment | Exam Duration |
|-------------------------------|--------|---------|-------|------------|---------------|
| Project Work, Phase I | 15MEP78| 2 | 0-3-0 | SEE: 100 | - |
| Sl. No | Subject Code | Title | Lecture | Tutorial | Practical | Duration (Hours) | Theory/Practical Marks | I.A. Marks | Total Marks | Credits |
|--------|--------------|------------------------------|---------|----------|-----------|------------------|------------------------|------------|-------------|---------|
| 1 | 15ME81 | Operations Research | 3 | 2 | 0 | 03 | 80 | 20 | 100 | 4 |
| 2 | 15ME82 | Additive Manufacturing | 4 | 0 | 0 | 03 | 80 | 20 | 100 | 4 |
| 3 | 15ME83X | Professional Elective - V | 3 | 0 | 0 | 03 | 80 | 20 | 100 | 3 |
| 4 | 15ME84 | Internship / Professional Practice | Industry Oriented | 03 | 50 | 50 | 2 |
| 5 | 15ME85 | Project Phase – II | - | 6 | - | 03 | 100 | 100 | 200 | 6 |
| 6 | 15MES86 | Seminar | - | 4 | - | - | - | 100 | 100 | 1 |
**TOTAL**
| | 10 | 12 | - | 390 | 310 | 700 | 20 |
**Professional Elective-V**
- 15ME831 Cryogenics
- 15ME832 Experimental Stress Analysis
- 15ME833 Theory of Plasticity
- 15ME834 Green Manufacturing
- 15ME835 Product life cycle management
1. **Core subject**: This is the course, which is to be compulsorily studied by a student as a core requirement to complete the requirement of a programme in a said discipline of study.
2. **Professional Elective**: Elective relevant to chosen specialization/ branch
3. **Internship / Professional Practice**: To be carried out between 6th & 7th semester vacation or 7th & 8th semester vacation.
Course objectives:
1. To enable the students to understand the scientific methods of providing various departments of an organization with a quantitative basis of decision making.
2. To enable the students to understand the importance of various tools and techniques in finding optimal solutions to problems involving limited resources in the form of Men, Materials and machinery.
MODULE - 1
Introduction: Evolution of OR, Definitions of OR, Scope of OR, Applications of OR, Phases in OR study. Characteristics and limitations of OR, models used in OR,
Linear Programming Problem (LPP), Generalized LPP- Formulation of problems as L.P.P. Solutions to LPP by graphical method (Two Variables).
08 Hours
MODULE - 2
LPP: Simplex method, Canonical and Standard form of LP problem, slack, surplus and artificial variables, Solutions to LPP by Simplex method, Big-M Method and Two Phase Simplex Method, Degeneracy in LPP. Concept of Duality, writing Dual of given LPP. Solutions to L.P.P by Dual Simplex Method.
12 Hours
MODULE - 3
Transportation Problem: Formulation of transportation problem, types, initial basic feasible solution using North-West Corner rule, Vogel’s Approximation method. Optimality in Transportation problem by Modified Distribution (MODI) method. Unbalanced T.P. Maximization T.P. Degeneracy in transportation problems, application of transportation problem.
Assignment Problem- Formulation, Solutions to assignment problems by Hungarian method, Special cases in assignment problems, unbalanced, Maximization assignment problems.
Travelling Salesman Problem (TSP). Difference between assignment and T.S.P, Finding best route by Little’s method. Numerical Problems.
12 Hours
MODULE - 4
**Network analysis**: Introduction, Construction of networks, Fulkerson’s rule for numbering the nodes, AON and AOA diagrams; Critical path method to find the expected completion time of a project, determination of floats in networks, PERT networks, determining the probability of completing a project, predicting the completion time of project; Cost analysis in networks. Crashing of networks - Problems.
**Queuing Theory**: Queuing systems and their characteristics, Pure-birth and Pure-death models (only equations), Kendall & Lee’s notation of Queuing, empirical queuing models – Numerical on M/M/1 and M/M/C Queuing models.
**MODULE -5**
**Game Theory**: Definition, Pure Strategy problems, Saddle point, Max-Min and Min-Max criteria, Principle of Dominance, Solution of games with Saddle point. Mixed Strategy problems. Solution of 2X2 games by Arithmetic method, Solution of 2Xn m and mX2 games by graphical method. Formulation of games.
**Sequencing**: Basic assumptions, Johnson’s algorithm, sequencing ‘n’ jobs on single machine using priority rules, sequencing using Johnson’s rule-‘n’ jobs on 2 machines, ‘n’ jobs on 3 machines, ‘n’ jobs on ‘m’ machines. Sequencing of 2 jobs on ‘m’ machines using graphical method.
**Course outcomes:**
On completion of this subject, students will be able to:
1. Understand the meaning, definitions, scope, need, phases and techniques of operations research.
2. Formulate as L.P.P and derive optimal solutions to linear programming problems by graphical method, Simplex method, Big-M method and Dual Simplex method.
3. Formulate as Transportation and Assignment problems and derive optimum solutions for transportation, Assignment and travelling salesman problems.
4. Solve problems on game theory for pure and mixed strategy under competitive environment.
5. Solve waiting line problems for M/M/1 and M/M/K queuing models.
6. Construct network diagrams and determine critical path, floats for deterministic and PERT networks including crashing of Networks.
7. Determine minimum processing times for sequencing of n jobs-2 machines, n jobs-3 machines, n jobs-m machines and 2 jobs-n machines using Johnson’s algorithm.
**TEXT BOOKS:**
1. Operations Research, P K Gupta and D S Hira, S. Chand and Company LTD. Publications, New Delhi – 2007
2. Operations Research, An Introduction, Seventh Edition, Hamdy A. Taha, PHI Private Limited, 2006.
REFERENCE BOOKS:
1. Operations Research, Theory and Applications, Sixth Edition, J K Sharma, Trinity Press, Laxmi Publications Pvt.Ltd. 2016.
2. Operations Research, Paneerselvan, PHI
3. Operations Research, A M Natarajan, P Balasubramani, PearsonEducation, 2005
4. Introduction to Operations Research, Hillier and Lieberman, 8th Ed., McGraw Hill
Scheme of Examination:
Two questions to be set from each module. Students have to answer five full questions, choosing at least one full question from each module.
## ADDITIVE MANUFACTURING
| Course | Code | Credits | L-T-P | Assessment | Exam Duration |
|-------------------------|--------|---------|-------|------------|---------------|
| Additive Manufacturing | 15ME82 | 4 | 4-0-0 | SEE 80, CIA 20 | 3 Hrs |
### Course Objectives:
**Students will be able to**
1. Understand the additive manufacturing process, polymerization and powder metallurgy process.
2. Understand characterisation techniques in additive manufacturing.
3. Acquire knowledge on CNC and Automation.
### Module 1
| Topic | Description | Hours |
|--------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|
| **Introduction to Additive Manufacturing:** | Introduction to AM, AM evolution, Distinction between AM & CNC machining, Advantages of AM, **AM process chain**: Conceptualization, CAD, conversion to STL, Transfer to AM, STL file manipulation, Machine setup, build, removal and clean up, post processing. | 10 |
| **Classification of AM processes:** | Liquid polymer system, Discrete particle system, Molten material systems and Solid sheet system. | |
| **Post processing of AM parts:** | Support material removal, surface texture improvement, accuracy improvement, aesthetic improvement, preparation for use as a pattern, property enhancements using non-thermal and thermal techniques. | |
| **Guidelines for process selection:** | Introduction, selection methods for a part, challenges of selection. | |
| **AM Applications:** | Functional models, Pattern for investment and vacuum casting, Medical models, art models, Engineering analysis models, Rapid tooling, new materials development, Bi-metallic parts, Re-manufacturing. Application examples for Aerospace, defence, automobile, Bio-medical and general engineering industries. | |
### Module 2
| Topic | Description | Hours |
|--------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|
| **System Drives and devices:** | Hydraulic and pneumatic motors and their features, Electrical motors AC/DC and their features | 8 |
| **Actuators:** | Electrical Actuators; Solenoids, Relays, Diodes, Thyristors, Triacs, Hydraulic and Pneumatic actuators, Design of Hydraulic and Pneumatic circuits, Piezoelectric actuators, Shape memory alloys. | |
### Module 3
| Topic | Description | Hours |
|--------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|
| **POLYMERS & POWDER METALLURGY** | | 12 |
| **Basic Concepts:** | Introduction to Polymers used for additive manufacturing: polyamide, PF resin, polyesters etc. Classification of polymers, Concept of functionality, | |
| **Powder Metallurgy:** | Introduction to Powder Metallurgy, Process of Powder Metallurgy, Powder Metallurgy Process Chain, Powder Metallurgy Process Steps, Powder Metallurgy Process Parameters, Powder Metallurgy Process Control, Powder Metallurgy Process Optimization, Powder Metallurgy Process Evaluation, Powder Metallurgy Process Applications. | |
| Module 3 |
|---|---|
| **Polydispersity and Molecular weight [MW], Molecular Weight Distribution [MWD]**
**Polymer Processing:** Methods of spinning for additive manufacturing: Wet spinning, Dry spinning. Biopolymers, Compatibility issues with polymers. Moulding and casting of polymers, Polymer processing techniques
**General Concepts:** Introduction and History of Powder Metallurgy (PM), Present and Future Trends of PM
**Powder Production Techniques:** Different Mechanical and Chemical methods, Atomisation of Powder, other emerging processes.
**Characterization Techniques:** Particle Size & Shape Distribution, Electron Microscopy of Powder, Interparticle Friction, Compression ability, Powder Structure, Chemical Characterization
**Microstructure Control in Powder:** Importance of Microstructure Study, Microstructures of Powder by Different techniques
**Powder Shaping:** Particle Packing Modifications, Lubricants & Binders, Powder Compaction & Process Variables, Pressure & Density Distribution during Compaction, Isotactic Pressing, Injection Moulding, Powder Extrusion, Slip Casting, Tape Casting.
**Sintering:** Theory of Sintering, Sintering of Single & Mixed Phase Powder, Liquid Phase Sintering Modern Sintering Techniques, Physical & Mechanical Properties Evaluation, Structure-Property Correlation Study, Modern Sintering techniques, Defects Analysis of Sintered Components
**Application of Powder Metallurgy:** Filters, Tungsten Filaments, Self-Lubricating Bearings, Porous Materials, Biomaterials etc. |
| Module 4 |
|---|---|
| **NANO MATERIALS & CHARACTERIZATION TECHNIQUES:**
**Introduction:** Importance of Nano-technology, Emergence of Nanotechnology, Bottom-up and Top-down approaches, challenges in Nanotechnology
**Nano-materials Synthesis and Processing:** Methods for creating Nanostructures; Processes for producing ultrafine powders- Mechanical grinding; Wet Chemical Synthesis of Nano-materials- sol-gel process; Gas Phase synthesis of Nano-materials-Furnace, Flame assisted ultrasonic spray pyrolysis; Gas Condensation Processing (GPC), Chemical Vapour Condensation(CVC).
**Optical Microscopy** - principles, Imaging Modes, Applications, Limitations.
**Scanning Electron Microscopy (SEM)** - principles, Imaging Modes, Applications, Limitations.
**Transmission Electron Microscopy (TEM)** - principles, Imaging Modes, Applications, Limitations.
**X-Ray Diffraction (XRD)** - principles, Imaging Modes, Applications, Limitations.
**Scanning Probe Microscopy (SPM)** - principles, Imaging Modes, Applications, Limitations.
**Atomic Force Microscopy (AFM)** - basic principles, instrumentation, operational modes, Applications, Limitations.
**Electron Probe Micro Analyzer (EPMA)** - Introduction, Sample preparation, Working procedure, Applications, Limitations. |
| Module 5 |
|---|---|
| **MANUFACTURING CONTROL AND AUTOMATION**
**CNC technology - An overview:** Introduction to NC/CNC/DNC machine tools, |
Classification of NC /CNC machine tools, Advantage, disadvantages of NC /CNC machine tools, Application of NC/CNC **Part programming**: CNC programming and introduction, Manual part programming: Basic (Drilling, milling, turning etc.), Special part programming, Advanced part programming, Computer aided part programming (APT)
**Introduction**: Automation in production system principles and strategies of automation, basic Elements of an automated system. Advanced Automation functions. Levels of Automations, introduction to automation productivity
**Control Technologies in Automation**: Industrial control system. Process industry vs discrete manufacturing industries. Continuous vs discrete control. Continuous process and its forms. Other control system components.
**Course Outcomes**
1. Understand the different process of Additive Manufacturing. using Polymer, Powder and Nano materials manufacturing.
2. Analyse the different characterization techniques.
3. Describe the various NC, CNC machine programing and Automation techniques.
**TEXT BOOKS:**
1. Chua Chee Kai, Leong Kah Fai, “Rapid Prototyping: Principles & Applications”, World Scientific, 2003.
2. G Odian Principles of Polymerization, Wiley Inerscience John Wiley and Sons, 4th edition, 2005
3. Mark James Jackson, Microfabrication and Nanomanufacturing, CRC Press, 2005.
4. Powder Metallurgy Technology, Cambridge International Science Publishing, 2002.
5. P. C. Angelo and R. Subramanian: Powder Metallurgy- Science, Technology and Applications, PHI, New Delhi, 2008.
6. Mikell P Groover, Automation, Production Systems and Computer Integrated Manufacturing; 3rd Edition, Prentice Hall Inc., New Delhi, 2007.
**REFERENCE BOOKS:**
1. Wohler’s Report 2000 - Terry Wohlers - Wohler’s Association -2000
2. Computer Aided Manufacturing - P.N. Rao, N.K. Tewari and T.K. Kundra Tata McGraw Hill 1999
3. Ray F. Egerton , Physical Principles of Electron Microscopy: An Introduction to TEM, SEM, and AEM , Springer, 2005.
4. P. C. Angelo and R. Subramanian: Powder Metallurgy- Science, Technology and Applications, PHI, New Delhi, 2008.
Course objectives:
1. To understand cryogenic system and gas liquefaction system
2. To analyze gas cycle cryogenic refrigeration system
3. To comprehend gas separation and gas purification system
4. To have detailed knowledge of vacuum technology, insulation, storage of cryogenic liquids
5. To study applications of cryogenics and to embark on cryogenic fluid
Module 1
Introduction to Cryogenic Systems:
Cryogenic propellants and its applications, liquid hydrogen, liquid nitrogen, and liquid Helium
The thermodynamically Ideal system Production of low temperatures – Joule Thompson Effect, Adiabatic expansion.
Gas Liquefaction Systems:
Liquefaction systems for Air Simple Linde – Hampson System, Claude System, Heylndt System, Dual pressure, Claude. Liquefaction cycle Kapitza System. Comparison of Liquefaction Cycles Liquefaction cycle for hydrogen, helium and Neon, Critical components of liquefaction systems.
10hrs
Module 2
Gas Cycle Cryogenic Refrigeration Systems:
Classification of Cryo coolers Stirling cycle Cryo – refrigerators. Ideal cycle – working principle. Schmidt’s analysis of Stirling cycle. Various configurations of Stirling cycle refrigerators. Integral piston Stirling cryo-cooler, Free displacer split type Stirling Cryo coolers, Gifford Mcmahon Cryo- refrigerator, Pulse tube refrigerator, Solvay cycle refrigerator, Vuillimier refrigerator, Cryogenic regenerators. 10hrs
Module 3
Gas Separation and Gas Purification Systems
Thermodynamic ideal separation system, Properties of mixtures, Principles of gas separation, Linde single column air separation. Linde double column air separation, Argon and Neon separation systems.
Ultra Low Temperature Cryo – Refrigerators
Magneto Caloric Refrigerator 3He-4He Dilution refrigerator. Pomeranchuk cooling. Measurement systems for low temperatures, Temperature measurement at low temperatures, Resistance thermometers, Thermocouples, Thermistors, Gas Thermometry. Liquid level sensors.
10hrs
Module 4
Vacuum Technology
Vacuum Technology: Fundamental principles, Production of high vacuum, Mechanical vacuum pumps, Diffusion pumps, Cryo-pumping, Measurement of high vacuum level. Cryogenic Insulation: Heat transfer due to conduction, Evacuated porous insulation Powder &Fibers Opacified powder insulation, Gas filled powders & Fibrous materials Multilayer super-insulation, Composite insulation.
10hrs
Module 5
Cryogenic Fluid Storage And Transfer Systems
Design of cryogenic fluid storage vessels, Inner vessel, Outer Insulation, Suspension system, Fill and drain lines. Cryogenic fluid transfer, External pressurization, Self pressurization, Transfer pump.
Application of Cryogenic Systems
Cryogenic application for food preservation – Instant Quick Freezing techniques Super conductive devices, Cryogenic applications for space technology.
Application of cryogenic systems, super conducting devices, space technology, cryogenic in biology and medicine.
10hrs
Course outcomes:
On completion of this subject students will be able to:
1. To be able to understand the cryogenic system.
2. To have complete knowledge of cryogenic refrigeration system
3. To be able to design gas separation and gas purification system
4. To be able to solve the problem in insulation, storage of cryogenic liquids
5. To be able to apply cryogenic in various areas and to be able take up research in cryogenics
TEXT BOOKS
1. Cryogenic Systems – R.F. Barron
2. Cryogenic Engineering – R.B. Scott – D.Van Nostrand Company, 1959
REFERENCE BOOKS
1. Cryogenic Process Engineering – K.D. Timmerhaus and T.M. Flynn, Plenum Press, New York, 1989
2. High Vacuum Technology – A. Guthree – New Age International Publication
3. Experimental Techniques in Low Temperature Physics – G.K. White – Osford University Press,
E- Learning
- VTU, E-learning
- NPTEL
Scheme of Examination:
Two questions to be set from each module. Students have to answer five full questions, choosing at least one full question from each module.
EXPERIMENTAL STRESS ANALYSIS
| Course | Code | Credits | L-T-P | Assessment | Exam Duration |
|-------------------------|--------|---------|-------|------------|---------------|
| Experimental Stress Analysis | 15ME832 | 3 | 3-0-0 | SEE 80, CIA 20 | 3 Hrs |
**Course Learning Objectives (CLO’s):**
1. To use the method of electrical strain gauges to study and characterize the elastic behavior of solid bodies.
2. To measure displacement and perform stress strain analysis of mechanical systems using electrical resistance strain gauges.
3. To describe the photo elastic method to study and characterize the elastic behavior of solid bodies.
4. To determine stress strain behavior of solid bodies using methods of coating.
5. To conduct stress strain analysis of solid bodies using the methods Holography.
**Module - 1**
**Introduction:** Definition of terms, Calibration, Standards, Dimension and units generalized measurement system. Basic concepts in dynamic measurements, system response, distortion, impedance matching, Analysis of experimental data, cause and types of experimental errors, general consideration in data analysis.
**Electrical Resistance Strain Gages:** Strain sensitivity in metallic alloys, Gage construction, Adhesives and mounting techniques, Gage sensitivity and gage factor, Performance Characteristics, Environmental effects, Strain Gage circuits, Potentiometer, Wheatstone’s bridges, Constant current circuits.
**Module - 2**
**Strain Analysis Methods:** Two element, three element rectangular and delta rosettes, Correction for transverse strain effects, Stress gage, Plane shear gage, Stress intensity factor gage.
**Force, Torque and strain measurements:** Mass balance measurement, Elastic element for force measurements, torque measurement.
**Module –3**
**Photoelasticity:** Nature of light, Wave theory of light – optical interference, Stress optic law – effect of stressed model in plane and circular polariscopes, Isoclinics & Isochromatics, Fringe order determination, Fringe multiplication techniques, Calibration photoelastic model materials.
**Two Dimensional Photoelasticity:** Separation methods: Shear difference method, Analytical separation methods, Model to prototype scaling, Properties of 2D photoelastic model materials, Materials for 2D photoelasticity.
**Three Dimensional Photo elasticity**: Stress freezing method, Scattered light photoelasticity, Scattered light as an interior analyzer and polarizer, Scattered light polariscope and stress data Analyses.
**04 Hours**
**Photoelastic (Birefringent) Coatings**: Birefringence coating stresses, Effects of coating thickness: Reinforcing effects, Poisson’s, Stress separation techniques: Oblique incidence, Strip coatings
**06 Hours**
**Module – 5**
**Brittle Coatings**: Coatings stresses, Crack patterns, Refrigeration techniques, Load relaxation techniques, Crack detection methods, Types of brittle coatings, Calibration of coating. Advantages and brittle coating applications.
**05 Hours**
**Moire Methods**: Moire fringes produced by mechanical interference. Geometrical approach, Displacement field approach to Moire fringe analysis, Out of plane displacement measurements, Out of plane slope measurements. Applications and advantages
**05 Hours**
**Course Outcomes (CO’s):**
At the end of the course, the student will be able to:
1. Explain characterize the elastic behavior of solid bodies.
2. Describe stress strain analysis of mechanical systems using electrical resistance strain gauges.
3. Discuss skills for experimental investigations; an accompanying laboratory course is desirable.
4. Discuss experimental investigations by predictions by other methods.
5. Describe various coating techniques.
**TEXT BOOKS:**
1. "Experimental Stress Analysis", Dally and Riley, McGraw Hill.
2. "Experimental Stress Analysis", Sadhu Singh, Khanna publisher.
3. *Experimental stress Analysis*, Srinath L.S tata Mc Graw Hill.
**REFERENCES BOOKS:**
1. "Photoelasticity Vol I and Vol II", M.M.Frocht, John Wiley & sons.
2. "Strain Gauge Primer", Perry and Lissner,
3. "Photo Elastic Stress Analysis", Kuske, Albrecht & Robertson John Wiley & Sons.
4. "Motion Measurement and Stress Analysis", Dave and Adams,
5. Holman, *Experimental Methods for Engineers*, Tata McGraw-Hill Companies, 7th Edition, New York, 2007.
6. B. C. Nakra and K. K. Chaudhry, *Instrumentation, Measurement and Analysis*, Tata McGraw-Hill Companies, Inc. New York, 7th Edition, 2006.
**Scheme of Examination:** Two questions to be set from each module. Students have to answer five full questions, choosing at least one full question from each module.
**Pre-requisite:** This course requires sufficient solid mechanics and theory of elasticity background and basic knowledge about materials and their mechanical properties.
**Course objectives:**
| CLO1 | To introduce the concepts of Plasticity and mechanism of plastic deformation in metals. |
|------|----------------------------------------------------------------------------------------|
| CLO2 | To expose the students to elasto-plastic problems involving plastic deformation of beams and bars. |
| CLO3 | To introduce the concepts of slip line field theory. |
**Module 1**
*Brief review of fundamentals of elasticity:* Concept of stress, stress invariants, principal Stresses, octahedral normal and shear stresses, spherical and deviatoric stress, stress transformation; concept of strain, engineering and natural strains, octahedral strain, deviator and spherical strain tensors, strain rate and strain rate tensor, cubical dilation, generalized Hooke’s law, numerical problems.
8 Hours
**Module 2**
*Plastic Deformation of Metals:* Crystalline structure in metals, mechanism of plastic deformation, factors affecting plastic deformation, strain hardening, recovery, recrystallization and grain growth, flow figures or Luder’s cubes.
**Yield Criteria:** Introduction, yield or plasticity conditions, Von Mises and Tresca criterion, geometrical representation, yield surface, yield locus (two dimensional stress space), experimental evidence for yield criteria, problems.
9 Hours
**Module 3**
*Stress Strain Relations:* Idealised stress-strain diagrams for different material models, empirical equations, Levy-Von Mises equation, Prandtl-Reuss and Saint Venant theory, experimental verification of Saint Venant’s theory of plastic flow. Concept of plastic potential, maximum work hypothesis, mechanical work for deforming a plastic substance.
8 Hours
Module 4
Bending of Beams: Stages of plastic yielding, analysis of stresses, linear and nonlinear stress strain curve, problems.
Torsion of Bars: Introduction, plastic torsion of a circular bar, elastic perfectly plastic material, elastic work hardening of material, problems.
9 Hours
Module 5
Slip Line Field Theory: Introduction, basic equations for incompressible two dimensional flows, continuity equations, stresses in conditions of plain strain, convention for slip lines, geometry of slip line field, properties of the slip lines, construction of slip line nets.
8 Hours
Course outcomes:
At the end of course, student will able to:
| CLO1 | Understand stress, strain, deformations, relation between stress and strain and plastic deformation in solids. |
|------|----------------------------------------------------------------------------------------------------------|
| CLO2 | Understand plastic stress-strain relations and associated flow rules. |
| CLO3 | Perform stress analysis in beams and bars including Material nonlinearity. |
| CLO4 | Analyze the yielding of a material according to different yield theory for a given state of stress. |
| CLO5 | Interpret the importance of plastic deformation of metals in engineering problems. |
Scheme of Examination:
Two questions to be set from each module. Students have to answer five full questions, choosing one full question from each module.
Text Books:
1. “Theory of Plasticity”, Chakraborty, 3rd Edition Elsevier.
2. “Theory of Plasticity and Metal forming Process” - Sadhu Singh, Khanna Publishers, Delhi.
References Books:
1. “Engineering Plasticity – Theory and Application to Metal Forming Process” - R.A.C. Slater, McMillan Press Ltd.
2. “Basic Engineering Plasticity”, DWA Rees, 1st Edition, Elsevier.
3. “Engineering Plasticity”, W. Johnson and P. B. Mellor, Van NoStrand Co. Ltd 2000
4. Advanced Mechanics of solids, L. S. Srinath, Tata Mc. Graw Hill, 2009.
**Green Manufacturing**
| Course | Code | Credits | L-T-P | Assessment | Exam Duration |
|-------------------------|--------|---------|-------|------------|---------------|
| Green Manufacturing | 15ME834| 3 | 3-0-0 | SEE 80 | CIA 20 | 3 Hrs |
**COURSE OBJECTIVES**
Students will be able to
1. Acquire a broad understanding of sustainable manufacturing, green product and process
2. Understand the analytical tools, techniques in green manufacturing
3. Understand the structures of sustainable manufacturing, environmental and management practice.
**Module - 1**
**Introduction to Green Manufacturing**
Why Green Manufacturing, Motivations and Barriers to Green Manufacturing, Environmental Impact of Manufacturing, Strategies for Green Manufacturing.
**The Social, Business, and Policy Environment for Green Manufacturing**
Introduction, The Social Environment—Present Atmosphere and Challenges for Green Manufacturing, The Business Environment: Present Atmosphere and Challenges, The Policy Environment—Present Atmosphere and Challenges for Green Manufacturing. **08Hrs**
**Module - 2**
**Metrics for Green Manufacturing**
Introduction, Overview of Currently Used Metrics, Overview of LCA Methodologies, Metrics Development Methodologies, Outlook and Research Needs.
**Green Supply Chain**
Motivation and Introduction, Definition, Issues in Green Supply Chains (GSC), Techniques/Methods of Green Supply Chain, Future of Green Supply Chain.
**Principles of Green Manufacturing**
Introduction, Background, and Technology Wedges, Principles, Mapping Five Principles to Other Methods and Solutions. **08Hrs**
Module -3
Closed-Loop Production Systems
Life Cycle of Production Systems, Economic and Ecological Benefits of Closed-Loop Systems, Machine Tools and Energy Consumption, LCA of Machine Tools, Process Parameter Optimization, Dry Machining and Minimum Quantity Lubrication, Remanufacturing, Reuse, Approaches for Sustainable Factory Design.
Semiconductor Manufacturing
Overview of Semiconductor Fabrication, Micro fabrication Processes, Facility Systems, Green Manufacturing in the Semiconductor Industry: Concepts and Challenges, Use-Phase Issues with Semiconductors, Example of Analysis of Semiconductor Manufacturing. 08 Hrs
Module- 4
Environmental Implications of Nano-manufacturing
Introduction, Nano-manufacturing Technologies, Conventional Environmental Impact of Nano-manufacturing, Unconventional Environmental Impact of Nano-manufacturing, Life Cycle Assessment (LCA) of Nanotechnologies.
Green Manufacturing Through Clean Energy Supply
Introduction, Clean Energy Technologies, Application Potential of Clean Energy Supplying Green Manufacturing. 08 Hrs
Module- 5
Packaging and the Supply Chain: A Look at Transportation
Introduction, Background, Recommended Method to Determine Opportunities for Improved Pallet Utilization, Discussion.
Enabling Technologies for Assuring Green Manufacturing
Motivation, Process Monitoring System, Applying Sensor Flows in Decision Making: Automated Monitoring, Case Study.
Concluding Remarks and Observations about the Future
Introduction, Evolution of Manufacturing, Leveraging Manufacturing, Energy of Labor. 08 Hrs
COURSE OUTCOMES
1. Understand the basic design concepts, methods, tools, the key technologies and the operation of sustainable green manufacturing.
2. Apply the principles, techniques and methods to customize the learned generic concepts to meet the needs of a particular industry/enterprise.
3. Identify the strategies for the purpose of satisfying a set of given sustainable green manufacturing requirements.
4. Design the rules and processes to meet the market need and the green manufacturing requirements by selecting and evaluating suitable technical, managerial / project management and supply chain management scheme.
**PRODUCT LIFE CYCLE MANAGEMENT**
| Course | Code | Credits | L-T-P | Assessment | Exam Duration |
|-------------------------------|--------|---------|-------|------------|---------------|
| Product Life Cycle Management | 15ME835| 3 | 3-0-0 | SEE 80 | CIA 20 | 3 Hrs |
**Course objectives:**
This course enables students to
1. Familiarize with various strategies of PLM
2. Understand the concept of product design and simulation.
3. Develop New product development, product structure and supporting systems
4. Interpret the technology forecasting and product innovation and development in business processes.
5. Understand product building and Product Configuration.
**MODULE 1:**
**INTRODUCTION TO PLM AND PDM**
Introduction to PLM, Need for PLM, opportunities and benefits of PLM, different views of PLM, components of PLM, phases of PLM, PLM feasibility study. PLM Strategies, strategy elements, its identification, selection and implementation. Product Data Management, implementation of PDM systems.
8Hrs
**MODULE 2:**
**PRODUCT DESIGN**
Engineering design, organization and decomposition in product design, product design process, methodical evolution in product design, concurrent engineering, design for ‘X’ and design central development model. Strategies for recovery at end of life, recycling, human factors in product design. Modelling and simulation in product
8Hrs.
**MODULE 3:**
**PRODUCT DEVELOPMENT**
New Product Development, Structuring new product development, building decision support system, Estimating market opportunities for new product, new product financial control, implementing new product development, market entry decision, launching and tracking new product program. Concept of redesign of product.
8 Hrs.
**MODULE 4:**
**TECHNOLOGY FORECASTING**
Technological change, methods of technology forecasting, relevance trees, morphological methods, flow diagram and combining forecast of technologies Integration of technological product innovation and product development in business processes within enterprises, methods and tools in the innovation process according to the situation, methods and tools in the innovation process according to the situation.
8 Hrs.
**MODULE 5:**
**PRODUCT BUILDING AND STRUCTURES**
Virtual product development tools for components, machines, and manufacturing plants: 3D CAD systems, digital mock-up, model building, model analysis, production (process) planning, and product data technology. Product structures: Variant management, product configuration, material master data, product description data, Data models, Life cycles of individual items, status of items.
8 Hrs
**Scheme of Examination:**
Two question to be set from each module. Students have to answer five full questions, choosing at least one full question from each module.
**Course Outcomes:**
**Student will be able to**
1. Explain the various strategies of PLM and Product Data Management
2. Describe decomposition of product design and model simulation
3. Apply the concept of New Product Development and its structuring.
4. Analyze the technological forecasting and the tools in the innovation.
5. Apply the virtual product development and model analysis
**Text Books:**
1. Stark, John, *Product Lifecycle Management: Paradigm for 21st Century Product Realisation*, Springer-Verlag, 2004. ISBN 1852338105
2. Fabio Giudice, Guido La Rosa, *Product Design for the environment-A life cycle approach*, Taylor & Francis 2006
Reference Books:
1. Saaksvuori Antti / ImmonenAnselmie, product Life Cycle Management Springer,Dreamtech,3-540-25731-4
2. Product Lifecycle Management, Michael Grieves, Tata McGraw Hill
Internship/ Professional Practice
| Course | Code | Credits | L-T-P | Assessment | Exam Duration |
|-------------------------------|-------|---------|-----------|------------|---------------|
| Internship/ Professional | 15ME84| 2 | Industry | SEE 50 | 3 Hrs |
| Practice | | | Oriented | CIA 50 | |
Project Work, Phase II
| Course | Code | Credits | L-T-P | Assessment | Exam Duration |
|-------------------------------|--------|---------|----------|------------|---------------|
| Project Work, Phase II | 15MEP85| 6 | 0-6-0 | SEE 100 | 3 Hrs |
Seminar
| Course | Code | Credits | L-T-P | Assessment | Exam Duration |
|--------|--------|---------|-------|------------|---------------|
| Seminar| 15MES86| 1 | 0-4-0 | SEE 100 | - | |
Doc2hash: Learning Discrete Latent Variables for Document Retrieval
Yifei Zhang
Vector Lab
JD Finance
firstname.lastname@example.org
Hao Zhu
Vector Lab
JD Finance
email@example.com
Abstract
Learning to hash via generative models has become a powerful paradigm for fast similarity search in documents retrieval. To get binary representation (i.e., hash codes), the discrete distribution prior (i.e., Bernoulli Distribution) is applied to train the variational autoencoder (VAE). However, the discrete stochastic layer is usually incompatible with the backpropagation in the training stage and thus causes a gradient flow problem. In this paper, we propose a method, Doc2hash, that solves the gradient flow problem of the discrete stochastic layer by using continuous relaxation on priors, and trains the generative model in an end-to-end manner to generate hash codes. In qualitative and quantitative experiments, we show the proposed model outperforms other state of the art methods.
1 Introduction
A popular theme for deep learning is that of representation learning, whose goal is to use existing data to learn a compact and meaningful representation when building classifiers or other predictors. Learning continuous representation has been achieving a great success in various NLP tasks, including text classification, word and sentence representation (Mikolov et al., 2013; Le and Mikolov, 2014), yet learning discrete representation is potentially more suitable for tasks we are interested in such as learning to hash.
Hashing serves as a fast solution for similarity search also called approximate nearest neighbor search. In document retrieval, semantic hashing is the strategy that turn the document into binary codes (hash codes) which capture semantic information. One can use a query (a document) to retrieve similar documents by calculating the hamming distances between their hash codes. Given the fast calculation process and the efficient storage property (one modern PC can execute millions of hamming distance computations in just a few milliseconds), this semantic hashing strategy is very attractive.
Inspired by the recent success of modeling latent variables via generative models in solving various NLP problems (van den Oord et al., 2017; Semeniuta et al., 2017; Bowman et al., 2015), Some approaches obtain binary codes of documents from a generative perspective via parameterizing models using neural networks and stochastic optimization using gradient-based techniques: (Chadaroon and Fang, 2017) designed a two-stage training procedures to generate hash codes with variational autoencoder: (i) it first infers continuous representations of text through VAE with isotropic Gaussian distribution prior (ii) Obtain hash codes via binarizing the continuous representation of texts. Since the model parameters are not learned in an end-to-end manner, the two-stage training strategy may result in a suboptimal local optima. (Shen et al., 2018) replaced the Gaussian distribution prior with Bernoulli distribution prior so that the stochastic layer of the
VAE can directly produce binary codes in the latent space and train hash codes in an end-to-end manner. Unfortunately, the Bernoulli stochastic layer is non-differentiable. Although the Straight-Through (ST) estimator is adapted to propagate gradients where it skips the gradient of the stochastic layer during backpropagation (Bengio et al., 2013). The ST estimator is still a biased estimator which introduces high-variance biased gradients of objectives during the training.
In this paper, we propose a generative model with a categorical distribution prior for semantic hashing which learns binary codes of documents in an end-to-end manner. To train the generative model, instead of using the ST estimator, we use the Gumbel-Softmax trick to overcome the inability by applying the re-parameterization trick to discrete latent variables. There are two advantages: 1) a nice parameterization for a discrete (or categorical) distribution is given in terms of the Gumbel distribution (the Gumbel trick); and 2) although the corresponding function is non-continuous, it can be made continuous by applying using a continuous approximation that depends on a temperature parameter. Therefore, it produces low-variance biased gradients of the stochastic layer in the backpropagation. Our experiment shows our model achieves the state of the art performance on three standard datasets for semantic hashing.
2 Methodology
2.1 Discrete NVI Framework For Semantic Hashing
In this section, we introduce the neural variational inference (NVI) framework (Shen et al., 2018) with discrete latent variables for semantic hashing in detail. First, a generative model whose encoding distribution and decoding distribution are defined as $p(z|x)$, $p(x|z)$. We approximate these two distributions by defining approximations $q_\phi(z|x)$, $p_\theta(x|z)$ and model them as the inference (encoding) network $g_\phi(x)$ and the generative network (decoding) $g_\theta(z)$. $x \in R^V$ is the bag of word representation of a document where $V$ is vocabulary size. Specially, the weight schema of bag of words can be binary, TF, TFIDF. The inference network $g_\phi(x)$ produces latent variables $z$ from $x$ approximating the true posterior distribution $p(z|x)$ as $q_\phi(z|x)$. Then, the generative network $g_\theta(z)$ maps latent variable $z$ back to $x$ by approximating $p(z|x)$ as $p_\theta(x|z)$. We model the conditional probability over the word $w_i$ as softmax:
$$p(x_i = w_i | z) = \frac{\exp(w_ig_\theta(z))}{\sum_V \exp(w_ig_\theta(z))}$$ \hspace{1cm} (1)
where $w_i \in \{0, 1\}^V$ is represented as an one-hot vector indicating the $i$-th word in the total vocabulary and the likelihood $p_\theta(x|z) = \prod_i p(x_i = w_i | z)$. Training the generative model that synthesizes the observed data $x$, we can obtain the meaningful latent variables $z$.
To learn discrete latent variables under the NVI framework for semantic hashing, we cast $z$ to be the discrete random variables and assume a multivariate categorical prior on $z$: $p(z) \sim \text{Cat}(\pi) = \prod_k I(z = k)\pi_{ik}$, where $\pi_{ik}$ is the $k$-th class probability on $i$-th component of parameters $\pi$. In this way, the posterior distribution approximated by the encoding network is constrained in the form of $q_\phi(z|x) = \text{Cat}(h)$, where $h = g_\phi(x)$ is the output of the encoding network.
2.2 Variational Low Bound of Discrete Latent Variable Training
To train the parameters $\theta, \phi$ of the encoding network $g_\phi(z|x)$ and the decoding network $p_\phi(x|z)$, we maximize the variational low bound as same as in the VAE framework (Kingma and Welling, 2013):
$$L_{ELBO} = E_{z \sim q_\phi(z|x)}[\log \frac{q_\theta(x|z)p(z)}{q_\phi(z|x)}]$$ \hspace{1cm} (2)
$$= E_{z \sim q_\phi(z|x)}[\log q_\theta(x|z)] - KL(q_\phi(z|x)||p(z))$$ \hspace{1cm} (3)
the first term is the reconstruction loss, which encourages the decoder network to learn the mapping from latent variables $z$ to the original document $x$. The second term is Kullback-Leibler (KL) divergence $KL(q_\phi(z|x)||p(z))$, which encourages the posterior distribution $q_\phi(z|x)$ to be close to the multivariate categorical prior $p(z)$. we can write the KL term in the following form:
$$KL(q_\phi(z|x)||p(z)) = \sum_i \sum_k g_\phi^{ik}(x) \log \frac{g_\phi^{ik}(x)}{\pi_{ik}}$$ \hspace{1cm} (4)
2.3 Gradients of Discrete Stochastic Layer
To evaluate $E_{z \sim q_\phi(z|x)}$, the reparameterization trick is often employed to make the sampling proprocess $z \sim q_\phi(z|x)$ compatible with backpropagation (Kingma and Welling, 2013). But sampling from a discrete distribution using reparameterization tricks still has problem during backpropagation. Due to the sampling from the stochastic layer usually incorporate hard threshold operators such as $\text{sign}(\cdot)$ and $\arg\max(\cdot)$ (Jang et al., 2016; Maddison et al., 2016), the stochastic layer becomes non-differentiable. In general, the solution to this issue is using the Straight-Through (ST) estimator where a biased path derivative estimator can be utilized even when $z$ is not reparameterizable as shown in Figure 2. For example, NASH (Shen et al., 2018) passes the gradients through the Bernoulli stochastic layer using ST estimator. Specifically, they do:
$$\frac{dL}{d\phi} = \frac{dL}{dz} \frac{dz}{dg_\phi(x)} \frac{dg_\phi(x)}{d\phi} \approx \frac{dL}{dz} \frac{dg_\phi(x)}{d\phi}$$
(5)
where the ST estimator lets the gradients of the stochastic layer $\frac{dz}{dg_\phi(x)} \approx 1$. However, the ST estimator is backpropagating with respect to the sample-independent. It may cause discrepancies between the forward and backward pass, and thus lead to higher variance (Jang et al., 2016).
### 2.4 Continuous Relaxation of Discrete Stochastic Layer
As mention above, we want to learn discrete Latent variables (hash codes) by maximizing the variational low bound assuming a multivariate categorical prior. Supposed the output of the encoding network, $h = g_\phi(x), h \in R^{l \times 2}$, represents the parameters of the multivariate categorical posterior $q(z|x)$. We can use reparameterization trick to draw samples of $z$ from the categorical posterior using Gumbel distribution (Gumbel, 1954; Jang et al., 2016):
$$z_i = \arg\max_k (G_k + \log h^k_i), k \in \{0, 1\}$$
(6)
$G_1, G_2$ is drawn i.i.d. from Gumbel $(0, 1) = \log(-\log(U(0, 1))$ where $U$ is the uniform distribution. We further represent $z_i$ as one-hot vector with 2 dimensions:
$$z_i = \text{OneHot}[\arg\max_k (G_k + \log h^k_i)], k \in \{0, 1\}$$
(7)
discrete latent variables $z$ can be seen as concatenation of $l$ one-hot vectors.
In the forward pass, we sample $z$ from the stochastic discrete layer via Eq. 7. However, in backpropagation, we cannot pass gradient through the hard threshold operator, $\arg\max$, since it is non-differentiable. The derivative of $\arg\max$ is 0 everywhere except the boundary of state change, where it is undefined. To end this, instead of employing ST estimator to skip gradients, we use the tempting softmax as a continuous relaxation of the $\arg\max$ computation:
$$z_i = \frac{\exp((G_k + \log h^k_i)/\gamma)}{\sum_k \exp((G_k + \log h^k_i)/\gamma)}, k \in \{0, 1\}$$
(8)
This relaxation approximates the exactly discrete $\arg\max$ computation as temperature parameter $\gamma \to 0$ yet keeps the relative order of $(G_k + \log h^k_i)$. Similar relaxation techniques have been introduced as the Gumbel-Softmax trick in (Jang et al., 2016; Maddison et al., 2016). Since Eq. 8 is differentiable, we can train the generative model in an end-to-end way via stochastic gradient descent to get the discrete latent variables (hash codes). The whole framework is summarized in the Figure 1 and the difference against the ST estimator is exemplified in the Figure 2.
### 2.5 Supervised Hashing
We extend our method to the supervised setting, where the mapping from latent variables $z$ to the label $y$ is learned, here parameterized by a two-layer multilayer perceptron (MLP) followed by a fully-connected softmax layer. To balance maximizing the variational lower bound and minimizing the discriminative loss, the following joint training objective is employed:
$$L = -L_{ELBO}(\theta, \phi, x) + \alpha L_{dis}(\eta, z, y)$$
(9)
where $\eta$ refers to parameters of the MLP classifier and $\alpha$ controls the relative weight between the
variational lower bound ($L_{ELBO}$) and the discriminative loss ($L_{dis}$). We assume a general multi-label classification setting where each document could have multiple labels/tags. $P(y_j|f(z; \eta))$ can be modeled by the logistic function defined as:
$$P(y_j|f(z, \eta)) = \frac{1}{1 + \exp(-y_j^T \eta_j z)}$$
### 3 Experiment
#### 3.1 Baseline and Setting
| Model | Unsupervised Hashing | Supervised Hashing |
|----------------|----------------------|--------------------|
| | 8bits | 16bits | 32bits | 64bits | 128bits |
| LSH | 0.4388 | 0.4393 | 0.4514 | 0.4553 | 0.4773 |
| S-RBM | 0.4846 | 0.5108 | 0.5166 | 0.5190 | 0.5137 |
| SpH | 0.5830 | 0.6000 | 0.6281 | 0.6281 | 0.6281 |
| STH | 0.3723 | 0.3947 | 0.4081 | 0.4181 | 0.4123 |
| VDSh | 0.4330 | 0.6853 | 0.7108 | 0.4410 | 0.5847 |
| NASH-DN | 0.6358 | 0.6956 | 0.7327 | 0.7010 | 0.6325 |
| Doc2hash-S | **0.6965** | **0.7224** | **0.7473** | **0.7532** | **0.7595** |
| Model | Unsupervised Hashing | Supervised Hashing |
|----------------|----------------------|--------------------|
| | 8bits | 16bits | 32bits | 64bits | 128bits |
| KSH | 0.6608 | 0.6872 | 0.7047 | 0.7175 | 0.7243 |
| SHHTM | 0.6280 | 0.6571 | 0.6785 | 0.6862 | 0.6914 |
| VDSh-SP | 0.7498 | 0.7708 | 0.7810 | 0.7888 | 0.7970 |
| NASH-DN-S | 0.7438 | 0.7946 | 0.7987 | 0.801 | 0.8139 |
| Doc2hash-S | **0.8140** | **0.8472** | **0.8490** | **0.8492** | **0.8439** |
Table 1: Precision of the top 100 retrieved documents on TMC dataset.
| Model | Unsupervised Hashing | Supervised Hashing |
|----------------|----------------------|--------------------|
| | 8bits | 16bits | 32bits | 64bits | 128bits |
| LSH | 0.2802 | 0.3115 | 0.3825 | 0.4667 | 0.5194 |
| S-RBM | 0.5113 | 0.5740 | 0.6154 | 0.6177 | 0.6452 |
| SpH | 0.6080 | 0.6340 | 0.6513 | 0.6290 | 0.6045 |
| STH | 0.6616 | 0.7351 | 0.7554 | 0.7350 | 0.6986 |
| VDSh | 0.6859 | 0.7165 | 0.7553 | 0.7456 | 0.7318 |
| NASH-DN | 0.7470 | 0.8013 | 0.8418 | 0.8297 | 0.7924 |
| Doc2hash | **0.7543** | **0.8102** | **0.8487** | **0.8361** | **0.8344** |
| Model | Unsupervised Hashing | Supervised Hashing |
|----------------|----------------------|--------------------|
| | 8bits | 16bits | 32bits | 64bits | 128bits |
| KSH | 0.7840 | 0.8376 | 0.8480 | 0.8537 | 0.8620 |
| SHHTM | 0.7992 | 0.8520 | 0.8323 | 0.8271 | 0.8150 |
| VDSh-SP | 0.8890 | 0.9326 | 0.9283 | 0.9286 | 0.9395 |
| NASH-DN-S | **0.9214** | **0.9327** | **0.9455** | **0.9589** | **0.9502** |
| Doc2hash-S | 0.9134 | **0.9338** | **0.9557** | **0.9602** | **0.9598** |
Table 2: Precision of the top 100 retrieved documents on Reuters dataset.
We evaluate the proposed method named Doc2hash in both supervised and unsupervised setting for semantic hashing. For unsupervised task, these baselines are selected: Locality Sensitive Hashing (LSH) (Datar et al., 2004), Stack Restricted Boltzmann Machines (Salakhutdinov and Hinton, 2009), Spectral Hashing (Weiss et al., 2009), Self taught Hashing (STH) (Zhang et al., 2010), Variational Deep Semantic Hashing (VDSh) (Chaidaroon and Fang, 2017), and the best variant of Neural Architecture for Generative Semantic Hashing (Shen et al., 2018) (NASH-DN). For the supervised task, we also compare the proposed method with kinds of baselines: Supervised Hashing with Kernels (KSH) (Liu et al., 2012), Semantic Hashing using Tags and Topic Modeling (SHHTM) (Wang et al., 2013), Supervised VDSh (VDSh-SP) and Supervised NASH (NASH-DN-S).
We follow the same experimental protocol and setting used in (Shen et al., 2018; Chaidaroon and Fang, 2017). Three standard public datasets of documents are chosen for training and evaluation: Reuters (Lewis, 1997), TMC (Oza, 2010), and RCV1 (Lewis et al., 2004). We evaluate the proposed model by calculating the precision of top 100 retrieved documents based on hamming distance of their hash codes. The final precision score is then averaged over all test documents. To make comparable results with previous works, we experiment with latent variables size of 8, 32, 64 and 128.
#### 3.2 Semantic Hashing Evaluation
In this section, we evaluate Doc2hash over various number of bits on the three datasets. In the unsupervised hashing, Doc2hash outperforms NASH-DN, the current state of the art model for semantic hashing, and other methods. The Table 1 shows the result of TMC dataset. Doc2hash shows its ability to assign the similar data (with the same label) to the hash codes of which hamming distances are small. The same trend and superiority of Doc2hash are also observed in both Reuters and RCV1 datasets as shown in Tables 2 and 3. Note that we do not compare with NASH-DN in RCV1 because NASH doesn’t report any results.
on RCV1 dataset and doesn’t release any code to reproduce their result. We compare the reminding methods with Doc2hash. Table 3 shows our approach improves the precision with significant margin compared with other models. We note that the retrieval results tend to drop when we set the length of hash codes to be 64 or larger, which also happens for some baselines. It is probably because of over-fitting. Compared with other methods, the proposed method is robust when the codes length increase. Our approach performs better than other methods in 64 and 128 bits setting, suggesting that Doc2hash can effectively generate hash codes to documents even with limited training data.
We also evaluate Doc2hash in the supervised hashing setting with the same datasets. We make use of the label/tag information during training. As shown in Tables 1, 2 and 3, Doc2hash yields better results than the other baseline models in different bits length.
### 3.3 Quantitative Analysis
In this section, we explore the reason why the proposed method outperforms the counterpart based on the ST estimator. We try to analyze the distribution of latent variables that trained with ST estimator (NASH) and Gumbel softmax relaxation (our method) respectively to quantitatively estimate the coding efficiency. To obtain efficient hash codes in the unsupervised setting, an expected pattern is that we get the same amount of 1 as well as 0. Because according to information theory, such a uniform distribution produces the maximum entropy in Bernoulli distribution. Motivated by this idea, we make a comparison between NASH and Doc2hash in the conditional probabilistic distribution of latent variables (i.e., $p(z|x)$). As we can see in Figure 4(a), the distribution of $p(z|x)$ in NASH is significantly asymmetric while the proposed method generates a well-balanced distribution (as Shown in Figure 4(b)). This comparison demonstrates that our approach is more close to the expected target in the probabilistic distribution of $p(z|x)$. Furthermore, we calculate the proportion of 1 in both methods. The proportion of NASH is 40%, while our method is 49%. Thus, it shows our approach is able to produce more efficient hash codes by using Gumbel softmax relaxation because it is very close to the up-bound of information theory for Bernoulli distribution. We demonstrate this point more clearly by showing the distribution of $g_\phi(x)$ in NASH. It is asymmetric because the peak value tilts to the left side. And quantization based on thresholding around the zero point implies that the hash codes produced by NASH contain more number of 0 than the number of 1.
### 4 Conclusion
In this paper, we present a generative model with discrete latent variables to learn binary representation for semantic hashing. We show that compared with the Straight-Through estimator, the Gumbel-Softmax relaxation provides a better solution to learn hash codes and thus gains the state of the art performance in three different datasets. We also explore the reason why the proposed method produces more efficient hash codes compared with the counterpart based on the ST estimator.
### Acknowledgements
We sincerely thank anonymous reviewers for your constructive suggestions to improve the quality of this paper.
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Surface roughness and hydrodynamic boundary conditions
Olga I. Vinogradova* and Gleb E. Yakubov†
Max Planck Institute for Polymer Research, Ackermannweg 10, 55128 Mainz, Germany and A. N. Frumkin Institute of Physical Chemistry and Electrochemistry, Russian Academy of Sciences, 31 Leninsky Prospect, 119991 Moscow, Russia
(Received 25 September 2005; published 27 April 2006)
We report results of investigations of a high-speed drainage of thin aqueous films squeezed between randomly nanorough surfaces. A significant decrease in the hydrodynamic resistance force as compared with that predicted by Taylor’s equation is observed. However, this reduction in force does not represent the slippage. The measured force is exactly the same as that between equivalent smooth surfaces obeying no-slip boundary conditions, but located at the intermediate position between peaks and valleys of asperities. The shift in hydrodynamic thickness is shown to be independent of the separation and/or shear rate. Our results disagree with previous literature data reporting very large and shear-dependent boundary slip for similar systems.
DOI: 10.1103/PhysRevE.73.045302 PACS number(s): 47.57.−s, 82.70.Dd, 83.80.Qr
It has recently been well recognized that the classical no-slip boundary condition [1], which has been applied for more than a hundred years to model macroscopic experiments, is often not applicable at the submicro-, and especially, nanoscale. Although the no-slip assumption seems to be valid for molecularly smooth hydrophilic surfaces down to a contact [2–6], it is now clear that this is not so for the majority of other systems. The changes in hydrodynamic behavior are caused by an impact of interfacial phenomena, first of all hydrophobicity and roughness, on the flow. A corollary from this is that a theoretical description based on the no-slip condition has to be corrected even for simple liquids. What, however, still remains the subject of hot debate is how to correct the flow near the interface, and what would be the amplitude of these corrections.
The simplest and most popular way to model the flow is to use a slip-flow approximation [7], which assumes that the slip velocity at the solid wall is proportional to the shear stress, and the proportionality constant is the so-called slip length. Such an assumption was justified theoretically for smooth hydrophobic surfaces [8–10] and was confirmed by the recent surface force apparatus (SFA) [6,11] and the atomic force microscope (AFM) [5] dynamic force experiments. Despite some remaining controversies in the data and the amount of slip (cf. [12]), the concept of the hydrophobic slippage is now widely accepted.
For rough surfaces, a situation is much less clear both on the theoretical and on the experimental sides. One point of view is that roughness decreases the degree of slippage [12–14], unless the surface is highly hydrophobic, so that trapped nanobubbles are formed to accelerate the flow [15,16]. An opposite conclusion is that roughness generates extremely large slip [17].
We believe our paper entirely clarifies the situation with flow past rough surfaces, highlights reasons for existing controversies, and resolves apparent paradoxes.
We use a specially designed homemade AFM-related setup [18–20] to perform dynamic force experiments on a nanoscale (Fig. 1). Glass spheres of radius $R = 20 \pm 2 \mu m$ (Duke Scientific, Palo Alto, CA) were attached with UV glue on the top of the rectangular tipless cantilevers (length $L = 450 \mu m$, width $w = 52 \mu m$, spring constant $k = 0.22 N/m$). The spheres were then coated with a gold layer (50 nm) using a layer of chromium (3 nm) to promote adhesion. For the planar substrate, we used silicon wafers coated with a gold layer (50 nm). Both surfaces were then treated with a 1 mM solution of 11-amino-undecane thiol $(SH-(CH_2)_{11}-NH_2)$ for 24 h to produce a chemically bound self-assembled monolayer (SAM). The advancing and receding water contact angle on the thiolated planar surfaces were measured with a commercial setup (Data Physics, Germany), and were found to be $(69 \pm 1)^\circ$ and $(63 \pm 1)^\circ$, respectively. These values are close to those for the surfaces used in [21]. Imaging of thiolated surfaces with a regular AFM tip revealed the root-mean-square roughness over $1 \times 1 \mu m^2$ is in the range 10–11 nm for a sphere and 0.5–0.8 nm for a plane. The maximum peak-to-valley difference is less than 45 nm for a sphere and less than 2.5 nm for a plane. This (nearly smooth against rough) geometry of configuration allows us to avoid large scatter in the data at separations of the order of or smaller than the roughness size. Such a scatter would be unavoidable for two rough surfaces (depending on whether the rough sphere is falling on a tip or in a valley of a rough plane). Cantilevers were then fixed in a
FIG. 1. (Color online) Schematic of the dynamic AFM force experiment.
holder with the variable tilt angle, and the intermediate position with the angle $\theta = (10 \pm 2)^\circ$ was chosen. A planar substrate was placed onto the bottom of a Teflon cuvette, which was filled with 1 mM NaCl (99.99%; Aldrich) aqueous solutions. Water for solutions was prepared using a commercial Milli-Q system containing ion-exchange and charcoal stages. The de-ionized water had a conductivity less than $0.1 \times 10^{-6}$ S/m and was filtered at 0.22 $\mu$m. To measure force-vs-position curves, the cuvette was moved toward the particle with a 12 $\mu$m range piezoelectric translator (Physik Instrumente, Germany). This translator was equipped with integrated capacitance position sensors, which allows to avoid any creep and hysteresis and provided the position with an accuracy of 1 nm in the closed-loop operation. During the movement, the deflection of the cantilever was measured with an optical lever technique. Therefore, the light of a laser diode (1.5 mW, 670 nm) was focused onto the back of the gold-coated cantilever. After reflection by a mirror, the position of the reflected laser spot was measured with a position sensitive device (United Detectors, U.K., active area $30 \times 30$ mm$^2$). The total force was calculated by multiplying the instantaneous cantilever deflection with the spring constant. The distance $h$ between surfaces was calculated by adding the piezodisplacement to the deflection of the cantilever, so that $h=0$ corresponds to the contact [of the tips of the sphere’s asperities with a plane] (see Fig. 1). We stress, that since our plane is smooth enough, we have no ambiguity in determining this zero of separation.
The AFM force balance incorporates both (concentrated) force on the sphere and the drag on the cantilever [5] (Fig. 1), so that the total force measured in the AFM dynamic experiment is
$$F_t = \frac{-1 + 3 \cos \theta}{2} (F_s + F_h) + F_c,$$
where $F_s$ and $F_h$ are the surface and hydrodynamic forces, respectively, acting on a sphere, and $F_c$ is the force due to the distributed hydrodynamic drag on the cantilever.
The total force $F_t$ is proportional to the instantaneous deflection of the end of the spring from its equilibrium position multiplied by the spring constant $k$ [2]:
$$F_t = k[h - (h_0 + vt)],$$
where $h_0$ is the initial separation between surfaces, and $v$ is the driving speed of the piezodisplacement (negative speed corresponds to approach).
The hydrodynamic force $F_h$ between a sphere and a plane can be written as [22]:
$$F_h = -\frac{6 \pi \mu R^2}{h} \left( \frac{dh}{dt} \right)^{\alpha},$$
where $\mu$ is the dynamic viscosity and $-dh/dt$ is the relative velocity of the surfaces. To finalize the description of $F_h$, we should define the expressions for a correction function $f^\alpha$, which will be discussed later. Note that when $f^\alpha = 1$, Eq. (3) transforms to the famous G. I. Taylor’s formula (which, however, never appeared in any of G. I. Taylor’s publications as discussed in [23]).
The drag force on a cantilever $F_c$ is given by [5]:
$$F_c = -\frac{v \mu L}{2} \left[ \left( \frac{w}{2R + h} \right)^3 \gamma^* + B \right]$$
with
$$\gamma^* = \gamma \left[ 1 - \frac{3 \gamma}{2} + 3 \gamma^2 - 3 \gamma^3 \ln \left( 1 + \frac{1}{\gamma} \right) \right],$$
where $\gamma = (2R + h)/(L \sin \theta)$. $B$ is a constant, which reflects the contribution from the Stokes flow to the cantilever deflection, and represents an adjustable (dimensionless) parameter to the model.
The surface force $F_s$ is assumed to be unaffected by the relative motion of the surfaces, and was taken to be the equilibrium force being a function of only $h$. It was obtained from low-speed (below 1 $\mu$m/s) force measurements. At distances larger than 20–25 nm, no interaction was detected. In other words, no electrostatic contribution can be seen despite a relatively large (9.6 nm) Debye length in a 1 mM NaCl solution. This suggests that the surfaces are uncharged. Similar observations have been made before for other classes of thiols [24]. The range of the jump distance was always 15±2 nm. The contribution of contact deformation to the jump distance was estimated using the experimental values for the pull-off force 0.70±0.05 mN/m (with the correction to the hydrodynamic interaction) and the values of Young’s modulus of the UV glue (3 GPa), as it was the softest material in our system. We also ignore the possible plastic flattening of the gold (50 GPa) asperities. For these parameters, the central displacement due to a contact deformation is of the order of 0.1 nm, so that it can safely be ignored. We have fitted the experimental results by assuming $F_s = AR/h^{1/2}$, taking the Hamaker constant, $A$, as an adjusting parameter. The value $A = 5.4 \times 10^{-20}$ J is obtained from fitting and was further used in all calculations.
Figure 3 shows the hydrodynamic resistance force calculated by subtracting $F_s$ and $F_c$ from the total force measured. Theoretical curves obtained by a numerical solution of differential Eq. (1) in the assumption $f^\alpha = 1$ are also included.
FIG. 3. (Color online) Hydrodynamic force acting on a sphere at a high speed of approach. Only each second point is shown. From bottom to top are data (symbols) obtained at the driving speed $-6$, $-10$, $-20$, $-30$, and $-40 \mu m/s$. Solid curves show the calculation results obtained for the same speed, by assuming $f^s = 1$.
Note that cantilever contribution was found to be neither small nor negligible. The adjusting parameter $B$ reflecting a Stokes-like flow on a cantilever was about 30–34 for our geometry of configuration and varied slightly from one experiment to another. Measured $F_h$ is much smaller than predicted by Taylor’s theory. The deviations from theory are clearly seen at distances 100–200 nm and depend on the driving speed. One can conclude, therefore, that there is a clear impact of roughness on the film drainage.
In Fig. 4, the hydrodynamic force measured at the driving speed $-30 \mu m/s$ is compared with Taylor’s equation (solid curves). The force is plotted vs the inverse of the surface separation. Note that even Taylor’s equation does not result in a linear plot. This would be expected only at a constant approach velocity, which is not the case due to forces acting on the sphere. However these deviations from linearity, caused by a decrease of $dh/dt$, are much smaller than required to fit the experimental data. The general analytical solution for rough interfaces does not exist in the literature, probably since such a problem is outside the scope of a lubrication approximation. Below we analyze some approximate models.
We have calculated the force expected between smooth slippery surfaces. The slip length is assumed to be roughly equal to zero for a plane and to the height of asperities $b_z$ (as defined in Fig. 2) for a sphere, which is close to its definition. In this case, the correction for slippage takes the form [22]:
$$f^s = \frac{1}{4} \left[ 1 + \frac{3h}{2b_z} \left( \left( 1 + \frac{h}{4b_z} \right) \ln \left( 1 + \frac{4b_z}{h} \right) - 1 \right) \right]. \quad (6)$$
An improved fit to the data is obtained when slip is permitted (dashed curve in Fig. 4). For this speed of approach, the best fit to Eq. (6) was found with $b_z = 48$ nm. Equation (6) provides an excellent fit at distances larger than $\sim 100$ nm. However, since data still deviate from theoretical predictions at smaller separations, it is clear that slippage does not necessarily represent the roughness.
Therefore, we further assumed that stick boundary conditions remain valid, but are applied to a surface defined at a distance $r_s$ toward a center of the sphere:
$$f^s = \frac{h}{h + r_s}. \quad (7)$$
By adjusting the value of $r_s$, we found that the hypothesis of a shift in separation gives a perfect coincidence between data and theoretical predictions (dash-dotted curve in Fig. 4, obtained with $r_s = 45$ nm). We remark and stress that Eq. (7) provides an excellent description of the data even when $h$ is much smaller than $r_s$. [Another point to note is that the values of $r_s$ seem to be slightly larger than would be expected from the AFM imaging, which is likely connected with the fact that the AFM tip has a finite size and cannot go into grooves. This can also be due to some non-zero roughness of the plane ignored in our analysis.]
Thus, we conclude that the description of flow near the rough surfaces has to be corrected, but this is not the relaxation of no-slip boundary conditions, but the correction for separation with its shift to larger distances within the asperities size. (Remark, however, that in case of a single nanoasperity the model becomes more complicated [28]). It has to be stressed that similar ideas were justified theoretically at macroscale for a shear flow along a periodically corrugated wall [25] and recently for a far-field motion of a sphere toward such a wall [26]. They are also consistent with molecular-dynamic simulations on simple model systems [27]. We provided accurate experimental data showing that the concept can be applied for a randomly rough surface and at the nanoscale, down to a contact. Note that so far Eq. (7) has not received any theoretical justification for short, i.e., of the order of or smaller than the size of asperities, separations. This is probably because this situation escapes from the framework of the lubrication approximation, since two length scales of the problem become comparable. The applicability of Eq. (7) at the short distances probably reflects the fact that the height of the roughness elements is much smaller than the sphere radius, so that even when separation is getting small, the plane “sees” many roughness elements.
at the same time and fluctuations are averaged out. This hypothesis remains the subject for further theoretical work.
This conclusion remains valid for all driving speeds, and results are summarized in Fig. 5. One can see that $r_s$ remains roughly the same at all speeds, although it shows some weak tendency to increase with the rate of approach. However, this increase is within the error of experimental data, so it remains an open question for future research. The same remarks are true for $b_s$, which is included for completeness since the slip model is applicable at large separations.
Note that our results clarify the reasons for apparently contradictory reports suggesting that roughness increases [14] and decreases [17] the drag force. In our opinion, these different conclusions only reflect that in these papers, the wall location was defined differently. It follows from our results that if an equivalent smooth surface is defined as coinciding with the location of the valleys of asperities (which corresponds to experimental techniques used in [14]), the measured force is larger than expected for an equivalent surface (cf. dotted curve in Fig. 4). If, however, it is defined on the peaks of asperities (experimental techniques used in [17]), then the measured force is smaller (cf. dashed curve in Fig. 4). Clearly, both results [14,17] physically mean that roughness increases the dissipation in the system, and that an equivalent surface is located at the intermediate position. Note that in [12], which reports the increase in force with roughness, the equivalent surface is also defined on the peaks of asperities. We do not have any explanation of this result.
Our data and conclusions do not confirm results obtained with similar, but “smooth” surfaces, where shear-rate-dependent slippage was detected [21]. In our opinion, the reduction in the hydrodynamic resistance force might indicate that their gold-coated thiolated sphere was in reality rougher than expected. Reasons for a shear dependency could probably be connected with some errors in the experimental determination of $dh/dt$, since the piezotranslator used in [21], and later in [17], is not suitable for highly dynamic force measurements due to its nonlinearity. Another reason for a significant rate dependence is the use of binary mixtures [21]. Clearly, both confinement and shear might lead to their stratification and a formation of a thin low viscosity lubricant layer [10]. It is well known and has been proven experimentally [23] that such a layer leads to rate-dependent phenomena (normally expected only at a very large shear rate [29]) even at a low speed. We suspect that this effect of the stratification of a binary mixture, enhanced by roughness, is responsible for a very large reduction in the force observed in [17]. Finally, we would like to stress that since the force balance represents a differential equation, even small $F_s$ could implicate the results by decreasing $dh/dt$, and therefore, $F_s$. The similar remark concerns $F_s$, which cannot be excluded from analysis. Both $F_s$ and $F_r$ are not present in the force balance specified in [17,21], which might cause a further inaccuracy in their results.
In summary, by performing a high-speed drainage experiment with nanorough hydrophilic surfaces, we demonstrate that their interaction is similar to that between equivalent smooth surfaces located at some position between the peaks and valleys of asperities. Thus, our results are in favor of no-slip assumptions for a hydrophilic surface valid down to a contact.
This work was supported by the DFG through its priority program “Micro and Nanofluidics” (Grant No. Vi 243/1-2). We thank E. Bonaccurso, H. J. Butt, and V. S. J. Craig for discussions of the details of their experiments, and F. Feuillebois and S. Granick for helpful remarks on the manuscript.
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CONSSENSUS IN NETWORKED MULTI-AGENT SYSTEMS WITH RANDOM PACKET LOSS
Ya Zhang
School of Automation
Southeast University
China
realzhy@ sina.com.cn
Yu-Ping Tian
School of Automation
Southeast University
China
yptian@ seu.edu.cn
Abstract
This paper studies the consensus seeking problem for a group of agents with general discrete-time linear time-invariant dynamics over Bernoulli random communication networks. It is shown for the first time that the connection weights in a communication network should be treated as control parameters to improve the solvability of the consensus problem. For networks without packet loss, it is proved that the asymptotic consensus problem is solvable under static state feedback protocol if and only if the communication topology has spanning trees. For Bernoulli lossy networks, it is revealed that the link loss probabilities of a network have non-negligible effects on the consensus seeking ability of multi-agent systems. A packet loss probability bound is obtained to ensure the solvability of the mean square consensus problem for the case when the mean topology has spanning trees.
Key words
Consensus, multi-agent systems, random networks, weighted graphs, loss probability.
1 Introduction
Consensus seeking in multi-agent systems has received considerable attention due to its broad applications in various areas, such like load balancing of communication networks [Cybenko, 1989], sensor networks [Olfati-Saber and Shamma, 2005; Xiao, Boyd and Lall, 2005], flocking of birds [Jadbabaie, Lin and Morse, 2003], formation control [Moreau, 2005; Tanner, Jadbabaie and Pappas, 2007], cooperative control [Fax and Murray, 2004], and so on.
In load balancing [Cybenko, 1989], consensus seeking aims at assigning to each processor the same number of tasks. In flocking [Jadbabaie, Lin and Morse, 2003], consensus means each bird moving in the same direction. In both cases, each agent runs a first-order integrator model to update its state. In the formation control of mobile vehicles, agents are often treated as rigid bodies and they are often modeled as first-order or second-order integrators [Hong, Chen and Bushnell, 2008; Hu and Hong, 2007; Moreau, 2005; Ren and Beard, 2005; Olfati-Saber and Murray, 2004]. The consensus protocol, which acts as each agent’s control input, drives the agents to rendezvous. Most of current works on consensus focus on first-order or second-order agents. However, there are also a number of applications in which agents are modeled by general linear dynamical systems, while the relevant results are very limited [Fax and Murray, 2004; Ma and Zhang, 2008; Tuna, 2008; Wang, Cheng and Hu, 2008].
Similar to stabilizability problem in stability theory, there is a fundamental problem in consensus seeking, i.e. whether there exist consensus protocols driving a multi-agent system to consensus. Here we briefly call it consentability problem. The problem is rarely discussed in literature. For first-order multi-agent systems, the consensus conditions proposed in [Hatano and Mesbahi, 2005; Moreau, 2005; Olfati-Saber and Murray, 2004; Porfiri and Stilwell, 2007; Ren and Beard, 2005; Tahbaz-Salehi and Jadbabaie, 2008] are actually the consentability conditions because these conditions almost have nothing to do with the parameters of consensus protocols. For the second-order case, [Zhang and Tian, 2009] reveals that under Markovian switching topologies there exist linear consensus protocols solving the mean square consensus problem, if and only if the union of the topology set has a globally reachable node. [Wang, Cheng and Hu, 2008], [Ma and Zhang, 2008] and [Tuna, 2008] discuss the consentability condition of general linear time-invariant (LTI) multi-agent systems under given connection weights. [Wang, Cheng and Hu, 2008] proves that if the adjacent topology is frequently connected then the consensus is achievable via decentralized state feedback controllers. [Ma and Zhang, 2008] and [Tuna, 2008] consider the static output feedback consensus protocol and point out that the consentability requires the fixed topology to have spanning trees.
In almost all of the existing references on consensus, connection weights are treated as a part of communication topology rather than control parameters, and the solvability of the consensus problem is independent of the connection weights. However, it will be shown by an example in this paper that such a conclusion does not hold for general discrete-time multi-agent systems, and the connection weights must be seen as control parameters in solving the consensus seeking problem.
This paper focuses on the agents with general discrete-time linear dynamics. We assume the agents exchange information through communication networks. There is a priori fixed communication topology, establishing which are the feasible communications among agents. For the network without packet loss, it is proved that the system is asymptotically consensurable under state feedback consensus protocol if and only if the topology has spanning trees. For Bernoulli random lossy networks, it is proved that the mean square consensus problem is solvable only if the mean topology has spanning trees. What is more, we show that the packet loss probabilities of the network are vital to the solvability of mean square consensus problem. When the probabilities are larger than some critical value, the consensus seeking problem may be unsolvable. A sufficient probability bound is also obtained. In addition, for a given linear state feedback consensus protocol, a packet loss probability condition under which the system can achieve mean square consensus is also proposed.
2 Problem Formulation
This section formulates the consensus problem that we address in this paper. Here we mainly focus on a linear consensus protocol based on static state feedback.
2.1 Communication Description
First of all, some notions on graph theory are introduced. $\mathcal{G} = (\mathcal{V}, \mathcal{E}, \mathcal{A})$ often denotes a graph, where $\mathcal{V}$ is the node set, $\mathcal{E}$ denotes the edge set and $\mathcal{A} = [a_{ij}]$ is the adjacency matrix. If the edge $e_{ij} = (i, j) \in \mathcal{E}$, i.e. node $j$ can obtain information from node $i$, then $a_{ji} = 1$, otherwise $a_{ji} = 0$. A directed path is a sequence of edges in a directed graph of the form $(i_1, i_2), (i_2, i_3) \cdots$. A directed tree is a directed graph in which every node has exactly one parent except for one node, called the root, which has no parent and has a directed path to every other node. A directed spanning tree $\mathcal{G}_0 = (\mathcal{V}_0, \mathcal{E}_0, \mathcal{A}_0)$ of the directed graph $\mathcal{G} = (\mathcal{V}, \mathcal{E}, \mathcal{A})$ is a subgraph of $\mathcal{G}$ such that $\mathcal{G}_0$ is a directed tree and $\mathcal{V}_0 = \mathcal{V}$.
In this paper, the agents exchange information through a lossy communication network. We assume a Bernoulli network: 1) at each iteration, a network link is lost with some probability; 2) network links may have different but constant link probabilities; 3) links fail independently of each other.
Suppose there is a priori fixed communication topology $\mathcal{G} = (\mathcal{V}, \mathcal{E}, \mathcal{A})$, establishing which are the feasible communications among agents. So if $e_{ji} \in \mathcal{E}$, $a_{ij}(t)$ is varying between 0 and 1, otherwise $a_{ij}(t) \equiv 0$. Define $r_{ji} \in \mathcal{E}$, $\{a_{ji}(t), t \geq 0\}$ is driven by a Bernoulli process with probability $\Pr(a_{ji}(t) = 0) = r_{ji} < 1$, where $\Pr(x)$ denotes the probability of event $x$. The mean topology of the network is defined as a topology corresponding to adjacency matrix $E(\mathcal{A}(t))$, where $E(\cdot)$ denotes the expected value. Obviously, the mean topology has the same edge set with the given communication topology $\mathcal{G}$.
2.2 State Feedback Consensus Protocol
Consider a group of $n$ agents, with linear dynamics
$$x_i(t + 1) = Ax_i(t) + Bu_i(t)$$
(1)
where $x_i \in \mathbb{R}^p$, $u_i \in \mathbb{R}^q$ denote the state and control input of agent $i$ respectively; $A \in \mathbb{R}^{p \times p}$, $B \in \mathbb{R}^{p \times q}$ are constant matrixes and $(A, B)$ is stabilizable. Suppose the open-loop system is not asymptotically stable, i.e. $\rho(A) \geq 1$, where $\rho(\cdot)$ denotes the spectral radius of a matrix.
We say that the protocol asymptotically solves the consensus problem, if and only if for any initial state, the agents agree upon a common state, i.e. $\lim_{t \to \infty} \|x_i(t) - x_j(t)\| = 0$ for any $i \neq j$. Moreover, the protocol solves the consensus problem in mean square sense, if and only if for any $i \neq j$ there holds $\lim_{t \to \infty} E(\|x_i(t) - x_j(t)\|^2) = 0$.
Here state information is exchanged via a weighted and directed random communication network, thus we apply a static state feedback consensus protocol:
$$u_i(t) = K \sum_{j=1}^{n} a_{ij}(t)w_{ij}(x_j(t) - x_i(t))$$
(2)
where $K \in \mathbb{R}^{q \times p}$ is the state feedback gain; $a_{ij}(t) \in \{0, 1\}$ denotes the connection from agent $j$ to $i$ at time $t$, $w_{ij} \in \mathbb{R}$ is the connection weight of edge $e_{ji}$. Here $K$ and $w_{ij}$ are control parameters to be designed.
2.3 System Transformation
Define the augmented state $x(t) = [x_1^T, \cdots, x_n^T]^T$ and the Laplacian matrix $L(t) = [l_{ij}(t)]_{n \times n}$, where for $i \neq j$, $l_{ij}(t) = -a_{ij}(t)w_{ij}$, and $l_{ii}(t) = \sum_{j=1}^{n} a_{ij}(t)w_{ij}$. Then system (1) with consensus control (2) becomes
$$x(t + 1) = (I_n \otimes A - L(t) \otimes BK)x(t)$$
(3)
Here $\otimes$ denotes Kronecker product. Obviously, for $I_n = [1, \cdots, 1]^T$, $L(t)I_n = 0$ holds for all graphs.
Let $z_i(t) = x_i(t) - x_1(t)$, $i = 2, \cdots, n$, then system (1)-(2) asymptotically reaches consensus is equivalent to $\lim_{t \to \infty} \|z_i(t)\| = 0$, and it
achieves consensus in mean square sense if and only if \( \lim_{t \to \infty} E(\|z_i(t)\|^2) = 0 \). Defining \( z(t) = [z_2^T, \cdots, z_n^T]^T \) we conclude that
\[
z(t + 1) = F(t)z(t)
\]
(4)
where \( F(t) = I_{n-1} \otimes A - \tilde{L}(t) \otimes BK \), \( \tilde{L}(t) = [\tilde{l}_{i1}(t)]_{(n-1) \times (n-1)}; \tilde{l}_{ij}(t) = l_{i(j+1)(j+1)} - l_{i(j+1)} \).
Therefore, the following lemma is obvious.
**Lemma 1**: Multi-agent system (1)-(2) reaches consensus asymptotically (or in mean square sense), if and only if system (4) is asymptotically stable (or mean square stable).
### 3 Main Results
In this section, we discuss the consentability problem defined as follows.
**Definition 1**: If there exists a state feedback gain \( K \in \mathbb{R}^{q \times p} \) and connection weight \( w_{ij} \in \mathbb{R} \) such that the protocol (2) asymptotically solves the consensus problem of system (1), we say system (1) is **asymptotically consentable** under static state feedback consensus protocol. Furthermore, if there exist \( K \) and \( w_{ij} \) such that the protocol (2) solves the consensus problem of system (1) in mean square sense, then we say system (1) is **mean square consentable** under static state feedback consensus protocol.
#### 3.1 Communication without Packet Loss
First of all, we explain why the connection weights are considered as control parameters in Definition 1. Indeed, most of previous work on the consensus or consentability problem treated \( w_{ij} \) as fixed positive constant. Coincidentally, for the single integrator, double integrator, even high-order continuous-time LTI multi-agent systems, the consentability of the system is independent of the connection weights as long as they are positive [Ma and Zhang, 2008; Ren and Beard, 2005; Wang, Cheng and Hu, 2008; Zhang and Tian, 2009]. This gives us an impression that they can be simply absorbed into the elements \( a_{ij} \) of the adjacency matrix. However, our Example 1 will show that the connection weights play a non-negligible role for the consentability of discrete-time LTI multi-agent systems. Even if the topology has a spanning tree and each agent is stabilizable, the consensus problem may be unsolvable.
**Example 1**: Consider a network of 3 agents, the edge set is given as \( \{\varepsilon_{12}, \varepsilon_{21}, \varepsilon_{23}\} \). Obviously, the graph has a spanning tree. Assume the connection weights are given as \( w_{ij} = 1 \) for all \( i, j \), then eigenvalues of \( \tilde{L} \) are 1 and 2. Given the system matrix \( A = 5, B = 1 \). By Lemma 1, consensus is achieved if and only if \( \rho(A - BK) < 1 \) and \( \rho(A - 2BK) < 1 \), i.e. \( 4 < K < 6 \) and \( 2 < K < 3 \). Obviously, such a gain \( K \) doesn’t exist. So even if the graph has a spanning tree and the connection weights are positive, the consensus problem may be unsolvable. \( \square \)
Now let us consider the consentability condition of system (1) in the communication networks without packet loss, i.e. the connection graph is fixed.
Denote \( \det(\cdot) \) as the determinant value of a matrix, \( \lambda_1, \cdots, \lambda_{n-1} \) as eigenvalues of \( \tilde{L} \). Then \( \det(sI_{(n-1)p} - F) = \prod_{i=1}^{n-1} \det(sI_{n-1} - (A - \lambda_i BK)) \), and thus the eigenvalues of \( F \) are composed of all eigenvalues of \( A - \lambda_i BK, i = 1, \cdots, n - 1 \).
First of all, we study how the connectivity of a graph affect the eigenvalues of \( \tilde{L} \).
**Lemma 2**: If the graph has no directed spanning trees, under any connection weight, \( \tilde{L} \) has at least one zero eigenvalue.
**Proof**: Since for all graphs there exists a nonsingular matrix \( T, T = \begin{bmatrix} 1 & 0 \\ I_{n-1} & I_{n-1} \end{bmatrix} \) such that \( T^{-1}LT = \begin{bmatrix} 0 & * \\ 0 & \tilde{L} \end{bmatrix} \). Thus by the results in [Ren and Beard, 2005], Lemma 2 can be obtained. \( \square \)
**Theorem 1**: When there’s no packet loss in transmissions, there exist connection weights and feedback gain \( K \) such that system (1) asymptotically achieves consensus under linear consensus protocol (2), if and only if the fixed communication topology has a directed spanning tree.
**Proof**: (Necessity) If the topology has no spanning trees, by Lemma 2 for any connection weight \( w_{ij} \), \( \tilde{L} \) has at least one zero eigenvalue. So for any \( K \in \mathbb{R}^{q \times p} \), there holds \( \rho(F) \geq \rho(A) \geq 1 \), which is contrary to consensus.
(Sufficiency) The proof of sufficiency is constructive. If the topology has directed spanning trees, there must exist proper connection weights such that \( \lambda_1 = \cdots = \lambda_{n-1} \neq 0 \). Since \( (A, B) \) is stabilizable, there exists \( K \) stabilizing \( A - \lambda_i BK \), and thus \( \rho(F) < 1 \). In the following, we’ll give an approach to the choice of \( w_{ij} \) such that all eigenvalues of \( \tilde{L} \) are nonzero and equal.
Denote \( G_0 = (\mathcal{V}, \mathcal{E}_0, \mathcal{A}_0) \) as a directed spanning tree, obviously \( \mathcal{E}_0 \subset \mathcal{E} \). Choose
\[
w_{ij} = \begin{cases}
1 & \text{if } \varepsilon_{ij} \in \mathcal{E}_0; \\
0 & \text{if } \varepsilon_{ij} \in \mathcal{E} \setminus \mathcal{E}_0; \\
\text{arbitrary else}.
\end{cases}
\]
Then it can be easily obtained that all eigenvalues of \( \tilde{L} \) are 1, thus the sufficiency is proved. \( \square \)
Back to Example 1, if the connection weights are selected as \( w_{12} = w_{23} = 0.5, w_{31} = 1 \) for \( j = 1, 2, 3 \), then as long as \( 4 < K < 6 \), protocol (2) solves the consensus problem of system (1). Thus the system is asymptotically consentable.
#### 3.2 Communication with Packet Loss
In this subsection we will discuss the consentability condition when the network has packet loss.
**Theorem 2**: If there exist linear protocol (2) solving the mean square consensus problem of system (1), then the mean topology has a spanning tree.
Proof: Since \( E(|z(t)|) \geq \|E(z(t))\| \), system (4) is mean square stable only if \( \lim_{t \to \infty} E(z(t)) = 0 \). Let \( e(t) = E(z(t)) \), then from system (4) we have
\[
e(t + 1) = E(F(t))e(t)
\]
(6)
By Lemma 1 the multi-agent system (1)-(2) reaches mean square consensus only if (6) is asymptotically stable. Due to the fact that \( E(L(t)) \) is the Laplacian matrix of the topology \( G \) with the connection weight \( w_{ij}(1 - r_{ij}) \) and \( E(\hat{L}(t)) \) is its corresponding reduced Laplacian matrix, if the topology has no spanning trees, by Lemma 2 for any connection weight, \( E(\hat{L}(t)) \) has at least one zero eigenvalue. Since \( E(F(t)) = I_{n-1} \otimes A - E(\hat{L}(t)) \otimes BK \), there doesn’t exist \( K \) stabilizing \( E(F(t)) \), thus system (6) cannot be asymptotically stable, which is contrary to consentability. □
Theorem 2 provides a necessary condition of mean square consentability, which is a topology condition. For the first-order and second-order integrator agents, [Hatano and Mesbahi, 2005], [Tabbaz-Salehi and Jadbabaie, 2008] and [Zhang and Tian, 2009] have shown that the mean square consentability just depends on the topology condition while is independent of packet loss probability. For the general discrete-time LTI multi-agent systems, when the topology condition is satisfied, is the mean square consensus problem solvable for any Bernoulli networks? A negative answer is given through the following example.
Example 2: Consider there are 2 agents in the network, and the packet loss probability of the link is \( r > 0 \). Agent 1 is the leader and agent 2 is the follower, then \( a_{12} \equiv 0, \ a_{21} \) is varying between 0 and 1 with probability \( r \) and \( 1 - r \). Given the system matrix as \( A = 2, B = 1 \), then by Lemma 1 system achieves mean square consensus if and only if \( r * A \otimes A + (1 - r) * (A - w_{21}BK) \otimes (A - w_{21}BK) < 1 \) ([Costa and Fragoso, 1993]), i.e. \( 4r + (1 - r)(2 - w_{21}K)^2 < 1 \). It is obvious that when \( r \geq 0.25 \), for all \( w_{21} \) and \( K \) the above inequation does not hold. So the consentability condition must depend on the packet loss probability. □
Our concerning problem is that how to search for a packet loss probability bound \( r^* \) such that for any \( r_{ij} < r^* \) the system is mean square consensable under the satisfied topology condition. This problem seems to be complicated. We firstly discuss the mean square stability condition of a Bernoulli switching system. Define a system
\[
y(t + 1) = (A - \omega(t)BK)y(t)
\]
(7)
where \( A \in \mathbb{R}^{p \times p}, B \in \mathbb{R}^{p \times q}, (A, B) \) is stabilizable, \( \rho(A) \geq 1; \ \{\omega(t), t \geq 0\} \subset \{0, 1\} \) is driven by a Bernoulli switching process with probability \( \Pr(\omega(t) = 0) = r \).
Lemma 3: If there exist symmetric positive definite matrixes \( Q_0, Q_1 \in \mathbb{R}^{p \times p} > 0 \) and matrix \( Y \in \mathbb{R}^{q \times p} \) such that the following LMIs hold
\[
\begin{bmatrix}
Q_0 & \sqrt{r}Q_0A^T & \sqrt{1-r}(Q_0A^T) \\
* & Q_0 & 0 \\
* & 0 & Q_1
\end{bmatrix} > 0,
\]
(8)
\[
\begin{bmatrix}
Q_1 & * & * \\
\sqrt{r}(AQ_1 - BY) & Q_0 & 0 \\
\sqrt{1-r}(AQ_1 - BY) & 0 & Q_1
\end{bmatrix} > 0,
\]
(9)
then system (7) is mean square stable under state feedback gain \( K = YQ_1^{-1} \). Furthermore, if the packet loss probability is \( \Pr(\omega(t) = 0) = \alpha \) and the LMI
\[
Q_1 > Q_0,
\]
(10)
holds as well, then as long as \( \alpha \leq r \), system (7) is always mean square stable under \( K = YQ_1^{-1} \).
Proof: Let \( V(y(t), a(t)) = y^T(t)P_{a(t)}y(t), P_{a(t)} = Q_{a(t)}^{-1} \), then \( E(V(y(t + 1), a(t + 1))|y(t), a(t) = s) = y^T(t)A_s^T(rP_0 + (1 - r)P_1)A_sy(t), \) where \( s = 0, 1, \ A_0 = A, \ A_1 = A - BK \).
If \( A_s^T(rP_0 + (1 - r)P_1)A_s < P_s \), then \( E(V(y(t + 1), a(t + 1))|y(t), a(t)) < V(y(t), a(t)) \) and thus system (7) is mean square stable. Pre- and post-multiplying the both sides of the above inequality by \( Q_s \) and denoting \( Y = KQ_1 \) yields \( rQ_0A^TQ_0^{-1}AQ_1 + (1 - r)Q_0A^TQ_1^{-1}AQ_0 < Q_0 \) and \( r(Q_1A^T - YB^T)Q_0^{-1}(AQ_1 - BY) + (1 - r)(Q_1A^T - YB^T)Q_1^{-1}(AQ_1 - BY) < Q_1 \), which combined with Schur complement lemma leads to (8) and (9).
On the other hand, if LMI (10) holds, i.e. \( P_0 > P_1 \), then for all \( \alpha \leq r \), there holds \( A_s^T(\alpha P_0 + (1 - \alpha)P_1)A_s < P_s \), and thus when the packet loss probability is \( \alpha \), system (7) is still mean square stable under \( K = YQ_1^{-1} \). □
We are in a position to give a sufficient mean square consentability condition for the multi-agent systems in lossy networks. By applying the results in stochastic control theory, the Bernoulli switching system (4) is mean square stable if and only if \( \rho(E(F(t) \otimes F(t))) < 1 \ ([Costa and Fragoso, 1993]) \). Therefore, we could seek for consentability condition by discussing under what condition there exist \( K \) and \( w_{ij} \) such that \( \rho(E(F(t) \otimes F(t))) < 1 \) holds.
Theorem 3: If the mean topology has spanning trees and the packet loss probability \( r_{ij} < r^* \) holds for all \( \varepsilon_{ij} \in \mathcal{E} \), then in the lossy networks the mean square consensus of system (1) is achievable under static state feedback protocol (2), where \( r^* \) is given by
\[
r^* = \sup\{\beta > 0; \text{LMIs (8) – (10) have feasible solutions for } \forall r \in (0, \beta)\}
\]
(11)
Proof: Here, we provide a brief constructive proof. Similar to the proof of Theorem 1, if the mean topology, i.e. the given communication topology, has directed spanning trees, denote $\mathcal{G}_0$ as one directed spanning tree, and define the connection weight $w_{ij}$ as that in (5).
Renumber the agents such that each agent’s parent node is lower numbered than itself, and obtain a new graph $\mathcal{G}_0$. Then the corresponding reduced order Laplacian matrix is a lower triangular matrix with diagonal elements $a_2(t), a_3(t), \ldots, a_n(t) \in [0, 1]$, $a_i(t) = 0$ represents that at time $t$ there’s no information received by agent $i$ from its parent node, and $\Pr(a_i(t) = 0) = \alpha_i \in \{\gamma_j | e_{ji} \in \mathcal{E}(\mathcal{G}_0)\}$. Therefore, $F(t)$ in (4) is of the form
$$F(t) = \begin{bmatrix}
A - a_2(t)BK & 0 \\
& \ddots \\
& * \\
& A - a_n(t)BK
\end{bmatrix},$$
and thus $F(t) \otimes F(t)$ is a lower triangular matrix with the diagonal blocks $(A - a_i(t)BK) \otimes (A - a_i(t)BK)$, $i, j = 2, \ldots, n$. Since for $i \neq j$, $\{a_i(t), t \geq 0\}$ and $\{a_j(t) \geq 0\}$ are independent of each other, thus the diagonal blocks of $E(F(t) \otimes F(t))$ are in form of $(A - (1 - \alpha_i)BK) \otimes (A - (1 - \alpha_i)BK)$ and $E((A - a_i(t)BK) \otimes (A - a_i(t)BK))$.
Consider the Bernoulli switching system (7). From the proof of Theorem 2, $\rho(A - (1 - r)BK) < 1$ is just its necessary mean square stability condition while $\rho(E((A - a(t)BK) \otimes (A - a(t)BK))) < 1$ is the necessary and sufficient one, thus we just study when there exists a common state feedback gain $K$ simultaneously mean square stabilizing $E((A - a_i(t)BK) \otimes (A - a_i(t)BK))$ for all $i$ to seek for a mean square consensusability condition.
By Lemma 3, if LMI s (8)-(10) are feasible, the obtained state feedback gain $K = YQ_1^{-1}$ must simultaneously mean square stabilize all systems $y_i(t + 1) = (A - a_i(t)BK)y(t)$ when $\alpha_i \leq r$. In the other words, these systems are simultaneously mean square stabilizable. Obviously, when $r = 0$, LMI s (8)-(10) are always solvable. As $r$ is increasing, LMI s (8)-(10) may be infeasible. When $r = 1$, system (7) is unstabilizable. Define $r^*$ as that in (11), then as long as $r_{ij} < r^*$, the mean square consensus problem is solvable.
The packet loss probability bound proposed in Theorem 3 can be easily obtained by applying the LMI toolbox in MatLab™.
In the following, we will discuss the mean square consensusability condition of some special agent dynamics. We begin with an example about double-integrator multi-agent system.
Example 3: Consider a discrete-time multi-agent system with second-order integrator dynamics. Computing $r^*$ by using (11) we obtain that $r^* = 1$. Thus under any Bernoulli network, as long as the communication topology has spanning trees, the mean square consensus problem is solvable. This result is in accord with that proposed in [Zhang and Tian, 2009], and thus the probability bound given by (11) is not conservative.
Theorem 4: For the networked multi-agent systems with integrator dynamics, the upper bound of packet loss probabilities is $r^* = 1$.
Proof: This can be proved by perturbation argument and hypothetic-deductive method.
Denote $A = I_p + J, B = [0, \ldots, 0, 1]^T, K = [k_1, \ldots, k_p]$, where $I_p$ is an identity matrix with dimension $p$, $J$ is a Jordan block. If the gain $K$ is small enough, i.e. $k_i$ is small enough, $E((A - a_i(t)BK) \otimes (A - a_i(t)BK)) = E(A \otimes (1 - \alpha_i)(A \otimes BK + BK \otimes A) + (1 - \alpha_i)BK \otimes BK)$ is a perturbation of $A \otimes A$ by two terms depending on $K$, and the latter perturbation term can be neglected comparing with the former one, and thus we just consider $A \otimes A - (1 - \alpha_i)(A \otimes BK + BK \otimes A)$ to verify whether its spectral radius is less than 1. Meantime, $E(A - a_i(t)BK) \otimes E(A - a_i(t)BK)$ is also a perturbation of $A \otimes A$ by two terms depending on $K$. For small enough $K$, just $A \otimes A - (1 - \alpha_i)(A \otimes BK + BK \otimes A)$ should be considered. Therefore, if there exists a small enough $K$ stabilizing $E(A - a_i(t)BK)$, it can stabilize $E((A - a_i(t)BK) \otimes (A - a_i(t)BK))$ as well.
Denote $\Delta_i = J - (1 - \alpha_i)BK$, thus $E(A - a_i(t)BK) = I_p + \Delta_i$. Under a small enough $K$, as long as $\Delta_i$ is Hurwitz, $\rho(E(A - a_i(t)BK)) < 1$ holds for all $\alpha_i < 1$. Since $\det(sI_p - \Delta_i) = s^p + (1 - \alpha_i)k_p s^{p-1} + \cdots + (1 - \alpha_i)k_2s + (1 - \alpha_i)k_1$, by applying hypothetic-deductive method, it can be proven that there exist small enough $k_1, \ldots, k_p$ such that all solutions lie in the left half-plane. The detailed process is omitted here. Therefore, $\rho(E(A - a_i(t)BK)) < 1$ sequentially and $\rho(E((A - a_i(t)BK) \otimes (A - a_i(t)BK))) < 1$. Similar to the proof of Theorem 3, Theorem 4 has been proved.
The above discussions focus on how to choose a linear state feedback protocol to make the system achieve mean square consensus. For a given protocol, under what network conditions can the system achieve mean square consensus? By applying the results in [Hu and Yan, 2007], the following remark can be obtained to answer this question.
Remark 2: The proofs of Theorem 1 and Theorem 3 provide an approach to choosing connection weights. In fact the least neighbor information is demanded in this approach. If the gain $K$ is given and the given communication topology has spanning trees, under these connection weights the networked multi-agent system can achieve mean square consensus if the packet loss probability $r_{ij} < \alpha$, where $\alpha = \frac{1}{\mu(H)}$, $\mu(\cdot)$ denotes the maximum positive eigenvalue of a matrix,
$$H = \begin{bmatrix}
H_1 \otimes H_2 + H_2 \otimes H_1 & H_3 & H_2 \otimes H_2 \\
H_3 & 0
\end{bmatrix},$$
$$H_1 = (A - BK) \otimes (A - BK),$$
$$H_2 = A \otimes A - (A - BK) \otimes (A - BK),$$
$$H_3 = (I - H_1 \otimes H_1)^{-1}.$$
4 Conclusion
A general discrete-time LTI multi-agent system in a Bernoulli network is discussed. The main contribution of this paper is to reveal the following two facts: 1) unlike the continuous-time LTI multi-agent systems, in discrete-time dynamics the connection weights should be treated as control parameters, otherwise consensus may be unsolvable even if the topology has spanning trees; 2) unlike the integrator case, for the general LTI multi-agent systems the packet loss probability of network is vital to consentability. A sufficient condition of the packet loss probability bound is also obtained to ensure that when the mean topology has spanning trees, the mean square consensus problem is solvable. It is not necessary for the interaction topology to be instantaneously connected.
Acknowledgements
This work was supported by National Natural Science Foundation of China (under grants 60974041, 60934006), National “863” Programme of China (under grant 2006AA04Z263) and Southeast University Outstanding Doctoral Dissertation Fund.
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SENATE
TUESDAY, January 27, 2015
The Senate met at 1 p.m., Eastern Standard Time.
The PRESIDENT (Lieutenant Governor Mike Stack) in the Chair.
PRAYER
The Chaplain, Reverend Monsignor JOSEPH P. GENTILI, Pastor of Our Lady of Guadalupe, Doylestown, offered the following prayer:
Governor, esteemed Members of the State Senate, let us bow our heads in prayer and join together in making room in our hearts for thanking Almighty God for the wonderful gifts of life, liberty, and the pursuit of happiness under the protection of divine providence.
As we gather at this Session, we invoke You, O Lord, to bless our deliberations and the work which we are about in order to represent and serve well the people of Pennsylvania during this year of 2015. Guide us in that work in order that all that we may do, we may make these places in which we live places of peace, harmony, justice, and mercy. As we gather today and always, may Almighty God watch over and guide us as we continue to be ever mindful of our responsibility to humbly represent and serve as instruments of the common good. Dear Lord, may we ever be mindful of Your providential love. Send forth Your spirit to breathe upon us that all of our actions begin with Your divine inspiration and continue with Your gracious assistance, that through You they may reach completion and that all we do may be for Your greater honor and glory.
May I suggest at this time that you may find inspiration in the words of a well-known prayer. While it is from my tradition, it is well known in all religious traditions, and it is the prayer of St. Francis. I might add that all of the delegates from all over the world to the United Nations prayed this prayer along with Mother Teresa back in 1985 as they celebrated their 40th anniversary. May these words be inspirational to you.
Lord, make me an instrument of Your peace; where there is hatred, let me so love; where there is injury, pardon; where there is doubt, faith; where there is despair, hope; where there is darkness, light; where there is sadness, joy. O Divine Master, grant that I may not so much seek to be consoled as to console; to be understood as to understand; to be loved as to love. For it is in giving that we receive, and it is in pardoning that we are pardoned, and it is in dying that we are born to eternal life. Amen.
The PRESIDENT. The Chair thanks Reverend Gentili, who is the guest today of Senator McIlhinney.
PLEDGE OF ALLEGIANCE
(The Pledge of Allegiance was recited by those assembled.)
BILLS INTRODUCED AND REFERRED
The PRESIDENT laid before the Senate the following Senate Bills numbered, entitled, and referred as follows, which were read by the Clerk:
January 27, 2015
Senators SMITH, BLAKE, WOZNIAK, TEPLITZ, BREWSTER, FONTANA, HUGHES, YUDICHAK, COSTA and FARNESE presented to the Chair SB 40, entitled:
An Act eliminating discrimination and ensuring reasonable workplace accommodations for workers whose ability to perform the functions of a job are limited by pregnancy, childbirth or a related medical condition; establishing a private right of action; and imposing duties on the Pennsylvania Human Relations Commission.
Which was committed to the Committee on LABOR AND INDUSTRY, January 27, 2015.
Senators SMITH, BLAKE, WOZNIAK, TEPLITZ, BREWSTER, FONTANA, BOSCOLA, HUGHES, COSTA, FARNESE, RAFFERTY and BROWNE presented to the Chair SB 41, entitled:
An Act amending the act of October 27, 1955 (P.L.744, No.222), known as the Pennsylvania Human Relations Act, further providing for definitions; and expanding protection from unlawful discriminatory practices to pregnancy.
Which was committed to the Committee on LABOR AND INDUSTRY, January 27, 2015.
Senators TEPLITZ, HUGHES, SCHWANK, COSTA, BREWSTER, YUDICHAK and WILLIAMS presented to the Chair SB 152, entitled:
An Act amending Title 12 (Commerce and Trade) of the Pennsylvania Consolidated Statutes, providing for implementation and administration of the Pennsylvania First Program; and imposing penalties.
Which was committed to the Committee on COMMUNITY, ECONOMIC AND RECREATIONAL DEVELOPMENT, January 27, 2015.
Senators TEPLITZ, BREWSTER, FONTANA, HUGHES, BLAKE, SMITH, WILEY, COSTA, VULAKOVICH, TARTAGLIONE, FARNESE and BROWNE presented to the Chair SB 155, entitled:
An Act establishing the Veteran's Entrepreneurial Training and Support Program; imposing powers and duties on the Department of Community and Economic Development; and making an appropriation.
Which was committed to the Committee on COMMUNITY, ECONOMIC AND RECREATIONAL DEVELOPMENT, January 27, 2015.
Senators GREENLEAF, ALLOWAY, WOZNIAK, BROWNE and RAFFERTY presented to the Chair SB 178, entitled:
An Act amending Title 10 (Charities) of the Pennsylvania Consolidated Statutes, consolidating the Solicitation of Funds for Charitable Purposes Act and the Institutions of Purely Public Charity Act, and making related repeals.
Which was committed to the Committee on STATE GOVERNMENT, January 27, 2015.
Senators GREENLEAF, GORDNER, TARTAGLIONE, VULAKOVICH, WOZNIAK and BROWNE presented to the Chair SB 179, entitled:
An Act amending Title 48 (Lodging and Housing) of the Pennsylvania Consolidated Statutes, consolidating statutory provisions on hotels, and repealing certain provisions of the Fire and Panic Act, The Landlord and Tenant Act of 1951, the Pennsylvania Innkeepers' Rights Act, the Infant Crib Safety Act and other acts relating to hotels.
Which was committed to the Committee on URBAN AFFAIRS AND HOUSING, January 27, 2015.
Senators TEPLITZ, RAFFERTY, TARTAGLIONE, FONTANA, BREWSTER, HUGHES, SMITH, COSTA, SCHWANK and BROWNE presented to the Chair SB 302, entitled:
An Act providing for report on submission of sexual assault evidence.
Which was committed to the Committee on JUDICIARY, January 27, 2015.
Senators BAKER, VOGEL, WARD, TEPLITZ, FONTANA, BLAKE, VULAKOVICH, PILEGGI, SMITH, RAFFERTY, AUMENT, VANCE, SCHWANK, FOLMER, YUDICHAK and BROWNE presented to the Chair SB 306, entitled:
An Act amending Title 65 (Public Officers) of the Pennsylvania Consolidated Statutes, on ethics, standards and financial disclosure, further providing for statement of financial interests required to be filed and for powers and duties of commission.
Which was committed to the Committee on STATE GOVERNMENT, January 27, 2015.
Senators EICHELBERGER, WHITE, AUMENT, HUTCHINSON, VOGEL, STEFANO, FOLMER, BROOKS, RAFFERTY and WAGNER presented to the Chair SB 325, entitled:
A Joint Resolution proposing an amendment to the Constitution of the Commonwealth of Pennsylvania, providing for super-majority votes relating to the imposition of taxes or license fees.
Which was committed to the Committee on STATE GOVERNMENT, January 27, 2015.
Senators BAKER, EICHELBERGER, VULAKOVICH, HUTCHINSON, WARD, WHITE and BROOKS presented to the Chair SB 326, entitled:
A Joint Resolution proposing an amendment to the Constitution of the Commonwealth of Pennsylvania, providing for general appropriation bill.
Which was committed to the Committee on APPROPRIATIONS, January 27, 2015.
Senators BAKER, EICHELBERGER, VULAKOVICH, WARD, WHITE and BROOKS presented to the Chair SB 327, entitled:
An Act amending the act of April 9, 1929 (P.L.177, No.175), known as The Administrative Code of 1929, in Commonwealth budget procedures, providing for general appropriation bill time line.
Which was committed to the Committee on APPROPRIATIONS, January 27, 2015.
Senators BAKER, GREENLEAF, VANCE, TEPLITZ, FONTANA, VULAKOVICH, BOSCOLA, SCHWANK, WOZNIAK, SMUCKER, SMITH and BLAKE presented to the Chair SB 334, entitled:
An Act amending the act of June 3, 1937 (P.L.1333, No.320), known as the Pennsylvania Election Code, in voting by qualified absentee electors, further providing for applications for official absentee ballots.
Which was committed to the Committee on STATE GOVERNMENT, January 27, 2015.
Senators VULAKOVICH, STEFANO, ALLOWAY, AUMENT, BAKER, BARTOLOTTA, BLAKE, BREWSTER, FOLMER, GORDNER, GREENLEAF, PILEGGI, RAFFERTY, SCHWANK, TEPLITZ, VANCE, VOGEL, WARD and YUDICHAK presented to the Chair SB 335, entitled:
An Act providing for expense reimbursement of public officials and public employees.
Which was committed to the Committee on STATE GOVERNMENT, January 27, 2015.
APPOINTMENTS BY THE PRESIDENT PRO TEMPORE
The PRESIDENT, The Chair wishes to announce the President pro tempore has made the following appointments:
Senator John P. Blake as a member of the Public Employee Retirement Commission.
Senator Patrick M. Browne as a member of the Public Employee Retirement Commission.
Senator John H. Eichelberger, Jr., as a member of the Local Government Commission.
Senator John R. Gordner as a member of the Ben Franklin Technology Development Authority and as a member of the Capitol Preservation Committee.
Senator Thomas McGarrigle as a member of the Local Government Commission.
Senator Lloyd Smucker to serve in his stead as a member of the State Public School Building Authority and to serve in his stead as a member of the Pennsylvania Higher Educational Facilities Authority.
Senator Patricia H. Vance as a member of the Capitol Preservation Committee.
Senator Randy Vulakovich to serve in his stead as a member of the Pennsylvania Emergency Management Council.
Senator John N. Wozniak as a member of the Board of Directors of the Center for Rural Pennsylvania.
Senator E. Eugene Yaw as a member of the Board of Directors of the Pennsylvania College of Technology and as a member of the Board of Directors of the Center for Rural Pennsylvania.
Mr. J. Andrew Crompton to serve in his stead as a member of the Joint Committee on Documents.
Mr. Patrick V. Larkin as a Commonwealth Trustee of Temple University.
LEGISLATIVE LEAVES
The PRESIDENT. The Chair recognizes the gentleman from Centre, Senator Corman.
Senator CORMAN. Mr. President, I request a temporary Capitol leave for Senator Folmer, and a legislative leave for Senator Greenleaf.
The PRESIDENT. The Chair recognizes the gentleman from Allegheny, Senator Costa.
Senator COSTA. Mr. President, I request a legislative leave for Senator Wiley.
The PRESIDENT. Senator Corman requests a temporary Capitol leave for Senator Folmer, and a legislative leave for Senator Greenleaf.
Senator Costa requests a legislative leave for Senator Wiley. Without objection, the leaves will be granted.
LEAVE OF ABSENCE
Senator COSTA asked and obtained a leave of absence for Senator KITCHEN, for today's Session, for personal reasons.
SENATE CONCURRENT RESOLUTION
WEEKLY RECESS
Senator CORMAN offered the following resolution, which was read as follows:
In the Senate, January 27, 2015
RESOLVED, (the House of Representatives concurring), Pursuant to Article II, Section 14, of the Pennsylvania Constitution, that when the Senate recesses this week, it reconvene on Monday, February 2, 2015, unless sooner recalled by the President Pro Tempore of the Senate; and be it further
RESOLVED, Pursuant to Article II, Section 14, of the Pennsylvania Constitution, that when the House of Representatives recesses this week, it reconvene on Monday, February 2, 2015, unless sooner recalled by the Speaker of the House of Representatives.
On the question,
Will the Senate adopt the resolution?
The yeas and nays were required by Senator CORMAN and were as follows, viz:
YEA-48
| Alloway | Dinniman | McIlhinney | Tomlinson |
|---------|----------|------------|-----------|
| Argall | Eichelberger | Mensch | Vance |
| Aument | Farnese | Pileggi | Vogel |
| Baker | Folmer | Rafferty | Vulakovich|
| Bartolotta | Fontana | Scarnati | Wagner |
| Blake | Gourher | Scavello | Ward |
| Boscola | Greenleaf | Schwank | White |
|---------|-----------|---------|-------|
| Brewster| Haywood | Smith | Wiley |
| Brooks | Hughes | Smucker | Williams |
| Browne | Hutchinson| Stefano | Wozniak |
| Corman | Leach | Tartaglione | Yaw |
| Costa | McGarrigle| Teplitz | Yudichak |
NAY-0
A majority of the Senators having voted "aye," the question was determined in the affirmative.
Ordered, That the Secretary of the Senate present the same to the House of Representatives for concurrence.
GUESTS OF SENATOR PATRICK J. STEFANO PRESENTED TO THE SENATE
The PRESIDENT. The Chair recognizes the gentleman from Fayette, Senator Stefano.
Senator STEFANO. Mr. President, it is my pleasure to introduce guests who are in the Senate Chamber today: Julie and Paul Michaels, along with their daughter, Sydney, their nurse, Debra Deetar, and with Sydney's service dog, Lexus. The Michaels live in my hometown of Connellsville in Fayette County.
Earlier this morning I had the opportunity to chat with them in my office and I wanted to share with the Senate their story. The Michaels family is here today to support Senate Bill No. 3, legalizing medical cannabis, and participating in a press conference this morning. When Sydney was 3 months old, she began to have seizures, and after months of doctor visits, she was diagnosed with Dravet syndrome. On a good day, Sydney will have around 100 seizures. On a bad day, Sydney can suffer with thousands of them. This heartbreaking story was brought to my attention when Julie spoke at my local Rotary Club about her daughter's condition. Julie is a teacher in the Connellsville Area School District, and Paul works for the VA in Pittsburgh. They are both tireless advocates for their daughter and for the thousands like her who will benefit from doctor-prescribed medical cannabis. They have been covered in news stories across the Commonwealth helping to educate citizens and legislators alike on this bill. I would like to thank them for their work, for not giving up hope, and I ask for the Senate to give them a very warm welcome.
Thank you, Mr. President.
The PRESIDENT. Would the guests of Senator Stefano please rise so that the Senate may give you its usual warm welcome.
(Applause.)
GUEST OF SENATOR CHARLES McILHINNEY PRESENTED TO THE SENATE
The PRESIDENT. The Chair recognizes the gentleman from Bucks, Senator McIlhinney.
Senator McILHINNEY. Mr. President, I want to thank our guest chaplain for coming out today, Monsignor Gentili, from my hometown of Doylestown. He actually came out here last night to make sure he got out before the snowstorm hit. With all of the titles you read when you were introducing him, there was one very important title that was left out. Monsignor Gentili is the chaplain of our local Ancient Order of Hibernians, Division 3, in Bucks County. We are very pleased to have him in that
capacity and here as well. Thank you for coming out, Monsignor.
The PRESIDENT. Would the guest of Senator McIlhinney please rise so that the Senate may give you its usual warm welcome.
(Applause.)
GUESTS OF THE PRESIDENT PRO TEMPORE PRESENTED TO THE SENATE
The PRESIDENT. The Chair recognizes the gentleman from Jefferson, Senator Scarnati.
The PRESIDENT pro tempore. Mr. President, today I would like to introduce a guest who is joining us in the gallery. Danielle VanSteenberg is shadowing me today in Harrisburg as part of a school project. Danielle resides in my senatorial district and is a very bright young woman who is a junior at Brookville Area Junior-Senior High School. She is active in the National Honor Society, Math Honor Society, National Young Business Leaders of America, and student council. She has been in German club and the school musicals for the past 3 years. This summer she will be a three-time People to People student ambassador traveling, once again, to Europe. She is also an alumni of the Junior National Young Leaders Conference, centered in Washington, D.C. She is an active member of the Brookville concert choir and a member of the school's chamber singers. During the summer, Danielle works with her father at Moons Meats Concessions and is a fifth-generation basketmaker with the Clint Ishman Basket Shop. In addition to her many activities and summer jobs, she donates her time processing doe licenses for her father, who is the county treasurer in Jefferson County. So, please join me in offering a warm welcome to Danielle and her family.
The PRESIDENT. Would the guests of Senator Scarnati please rise so that the Senate may give you its usual warm welcome.
(Applause.)
RECESS
The PRESIDENT. The Chair recognizes the gentleman from Centre, Senator Corman.
Senator CORMAN. Mr. President, I request a recess of the Senate for the purpose of a Republican caucus to be held in the first floor caucus room immediately.
The PRESIDENT. The Chair recognizes the gentleman from Allegheny, Senator Costa.
Senator COSTA. Mr. President, Senate Democrats will meet in the rear of the Chamber for caucus as well.
The PRESIDENT. For purposes of Republican and Democratic caucuses, without objection, the Senate stands in recess.
AFTER RECESS
The PRESIDENT. The time of recess having expired, the Senate will come to order.
LEGISLATIVE LEAVE CANCELLED
The PRESIDENT. Senator Folmer has returned, and his temporary Capitol leave is cancelled.
CALENDAR
THIRD CONSIDERATION CALENDAR
BILL ON THIRD CONSIDERATION AND FINAL PASSAGE
SB 79 (Pr. No. 55) -- The Senate proceeded to consideration of the bill, entitled:
An Act amending the act of July 2, 2014 (P.L.876, No.98), entitled "An act designating bridges on that portion of State Route 15 over the Yellow Breeches Creek, Carroll Township, York County, as the Glenn Bowers Memorial Bridge; designating a bridge on that portion of 17th Street over the 10th Avenue Expressway, City of Altoona, Blair County, as the Blair County Veterans Memorial Bridge; designating a bridge on that portion of State Route 764 over 31st Street, City of Altoona, Blair County, as the Alvin E. Mersky Memorial Bridge; designating West Erie Avenue, from its intersection with North Second Street in Philadelphia City, Philadelphia County, to the point where it meets North Front Street in Philadelphia City, Philadelphia County, as Roberto Clemente Way; designating the interchange at the crossing of State Route 33 and Main Street (State Route 1022) in Palmyra Township, Northampton County, as the Chris Hain Interchange; designating the interchange between the portion of State Route 3009 and State Route 119 in South Union Township, Fayette County, as the Fred L. Lebder Interchange; and designating a bridge on that portion of State Route 711 over the Youghiogheny River in the City of Connellsville, Fayette County, as the Officer Robb McCray Memorial Bridge," further providing for Officer Robb McCray Memorial Bridge.
Considered the third time and agreed to,
On the question,
Shall the bill pass finally?
The yeas and nays were taken agreeably to the provisions of the Constitution and were as follows, viz:
| Alloway | Dinniman | McIlhinney | Tonlinson |
|---------|----------|------------|-----------|
| Agrell | Eichelberger | Mensch | Vance |
| Aument | Farnese | Pileggi | Vogel |
| Baker | Folmer | Rafferty | Vulakovich |
| Bartolotta | Fontana | Scarnati | Wagner |
| Blake | Gorder | Scavello | Ward |
| Boscola | Greenleaf | Shinklek | White |
| Brewster| Haywood | Smith | Wiley |
| Brooks | Hughes | Smucker | Williams |
| Browne | Hutchinson | Stefano | Wozniak |
| Corman | Leach | Tarraglione | Yaw |
| Costa | McGarrigle | Tepitz | Yudichak |
NAY-0
A constitutional majority of all the Senators having voted "aye," the question was determined in the affirmative.
Ordered, That the Secretary of the Senate present said bill to the House of Representatives for concurrence.
SECOND CONSIDERATION CALENDAR
BILL ON SECOND CONSIDERATION, AMENDED
SB 147 (Pr. No. 177) -- The Senate proceeded to consideration of the bill, entitled:
An Act amending the act of July 20, 1979 (P.L.183, No.60), known as the Oil and Gas Lease Act, further providing for definitions, for payment information to interest owners, for accumulation of proceeds from production and for conflicts; and providing for joint ventures and for inspection of records.
On the question,
Will the Senate agree to the bill on second consideration?
Senator YAW offered the following amendment No. A0012:
Amend Bill, page 5, line 26, by inserting after "person":
except an attorney or accountant employed by the lessor
On the question,
Will the Senate agree to the amendment?
It was agreed to.
On the question,
Will the Senate agree to the bill on second consideration, as amended?
It was agreed to.
Ordered, To be printed on the Calendar for third consideration.
BILL ON SECOND CONSIDERATION
SB 148 (Pr. No. 95) -- The Senate proceeded to consideration of the bill, entitled:
An Act providing for protection for a lessor of natural gas rights who reports a violation or suspected violation of a contractual agreement and for remedies and penalties.
Considered the second time and agreed to,
Ordered, To be printed on the Calendar for third consideration.
BILLS OVER IN ORDER
SB 161, SB 166 and SB 180 -- Without objection, the bills were passed over in their order at the request of Senator CORMAN.
BILL ON SECOND CONSIDERATION
SB 210 (Pr. No. 121) -- The Senate proceeded to consideration of the bill, entitled:
An Act amending Title 42 (Judiciary and Judicial Procedure) of the Pennsylvania Consolidated Statutes, injuries and jurors, further providing for exemptions from jury duty.
Considered the second time and agreed to,
Ordered, To be printed on the Calendar for third consideration.
BILL OVER IN ORDER
SB 290 -- Without objection, the bill was passed over in its order at the request of Senator CORMAN.
BILLS REPORTED FROM COMMITTEE
Senator BROWNE, from the Committee on Appropriations, reported the following bills:
SB 4 (Pr. No. 168) (Rereported)
A Joint Resolution proposing an amendment to the Constitution of the Commonwealth of Pennsylvania, providing for criteria for institutions of purely public charity.
SB 283 (Pr. No. 161) (Rereported)
A Joint Resolution proposing integrated amendments to the Constitution of the Commonwealth of Pennsylvania, eliminating the Traffic Court of Philadelphia.
SB 301 (Pr. No. 187) (Rereported)
An Act amending Title 2 (Administrative Law and Procedure) of the Pennsylvania Consolidated Statutes, consolidating provisions on administrative procedure and rulemaking; and making related repeals.
SPECIAL ORDER OF BUSINESS
SUPPLEMENTAL CALENDAR No. 1
BILLS ON SECOND CONSIDERATION
SB 4 (Pr. No. 168) -- The Senate proceeded to consideration of the bill, entitled:
A Joint Resolution proposing an amendment to the Constitution of the Commonwealth of Pennsylvania, providing for criteria for institutions of purely public charity.
Considered the second time and agreed to,
Ordered, To be printed on the Calendar for third consideration.
SB 283 (Pr. No. 161) -- The Senate proceeded to consideration of the bill, entitled:
A Joint Resolution proposing integrated amendments to the Constitution of the Commonwealth of Pennsylvania, eliminating the Traffic Court of Philadelphia.
Considered the second time and agreed to,
Ordered, To be printed on the Calendar for third consideration.
SB 301 (Pr. No. 187) -- The Senate proceeded to consideration of the bill, entitled:
An Act amending Title 2 (Administrative Law and Procedure) of the Pennsylvania Consolidated Statutes, consolidating provisions on administrative procedure and rulemaking; and making related repeals.
Considered the second time and agreed to,
Ordered, To be printed on the Calendar for third consideration.
COMMUNICATIONS FROM THE GOVERNOR
REPORTED FROM COMMITTEE ON RULES
AND EXECUTIVE NOMINATIONS
Senator ALLOWAY, from the Committee on Rules and Executive Nominations, reported the following nominations made by His Excellency, the Governor of the Commonwealth, which were read by the Clerk as follows:
MEMBER OF THE COUNCIL OF TRUSTEES OF CALIFORNIA UNIVERSITY OF PENNSYLVANIA OF THE STATE SYSTEM OF HIGHER EDUCATION
January 14, 2015
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In conformity with law, I have the honor hereby to nominate for the advice and consent of the Senate, Scott Logue, 300 Gilkinton Road, Pittsburgh 15288, Allegheny County, Thirty-seventh Senatorial District, for appointment as a member of the Council of Trustees of California University of Pennsylvania of the State System of Higher Education, to serve for a term of six years and until his successor is appointed and qualified, vice The Honorable Peter Daley, California, whose term expired.
TOM CORBETT
Governor
MEMBER OF THE STATE BOARD OF EDUCATION
January 14, 2015
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In conformity with law, I have the honor hereby to nominate for the advice and consent of the Senate, Mary Ann Eisenreich, 9997 Parkland Drive, Wexford 15090, Allegheny County, Thirty-eighth Senatorial District, for appointment as a member of the State Board of Education, to serve until October 1, 2020, or until her successor is appointed and qualified, vice Wendy Beedlestone, Wynnewood, resigned.
TOM CORBETT
Governor
MEMBER OF THE BOARD OF GOVERNORS OF THE STATE SYSTEM OF HIGHER EDUCATION
January 14, 2015
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In conformity with law, I have the honor hereby to nominate for the advice and consent of the Senate, Christopher H. Franklin, 1642 Knobb Hill Lane, Paoli 19301, Chester County, Nineteenth Senatorial District, for reappointment as a member of the Board of Governors of the State System of Higher Education, to serve until December 31, 2018, and until his successor is appointed and qualified.
TOM CORBETT
Governor
MEMBER OF THE BOARD OF GOVERNORS OF THE STATE SYSTEM OF HIGHER EDUCATION
January 13, 2015
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In conformity with law, I have the honor hereby to nominate for the advice and consent of the Senate, Ronald G. Henry, 711 Pennstone Road, East Mars 16110, Mercer County, Seventeenth Senatorial District, for reappointment as a member of the Board of Governors of the State System of Higher Education, to serve until December 31, 2018, and until his successor is appointed and qualified.
TOM CORBETT
Governor
MEMBER OF THE BOARD OF GOVERNORS OF THE STATE SYSTEM OF HIGHER EDUCATION
January 14, 2015
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In conformity with law, I have the honor hereby to nominate for the advice and consent of the Senate, The Honorable Daniel P. Meuser, 100 Oldfield Road, Shavertown 18708, Luzerne County, Twentieth Senatorial District, for appointment as a member of the Board of Governors of the State System of Higher Education, to serve until December 31, 2018, and until his successor is appointed and qualified, [data missing] Joseph McGinn, Linwood, whose term expired.
TOM CORBETT
Governor
MEMBER OF THE STATE BOARD OF MASSAGE THERAPY
January 9, 2015
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In conformity with law, I have the honor hereby to nominate for the advice and consent of the Senate, Jamie H. Smith, 333 Linnippi Trail, Lock Haven 17745, Clinton County, Twenty-fifth Senatorial District, for reappointment as a member of the State Board of Massage Therapy,
to serve until October 9, 2018, or until her successor is appointed and qualified, but not longer than six months beyond that period.
TOM CORBETT
Governor
MEMBER OF THE STATE BOARD OF EXAMINERS
OF NURSING HOME ADMINISTRATORS
January 14, 2015
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In conformity with law, I have the honor hereby to nominate for the advice and consent of the Senate, William E. Tunkle, 1450 Promise Lane, Wescosville 18106, Lehigh County, Sixteenth Senatorial District, for reappointment as a member of the State Board of Examiners of Nursing Home Administrators, to serve for a term of four years or until his successor is appointed and qualified, but not longer than six months beyond that period.
TOM CORBETT
Governor
MEMBER OF THE PUBLIC EMPLOYEE
RETIREMENT COMMISSION
January 6, 2015
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In conformity with law, I have the honor hereby to nominate for the advice and consent of the Senate, John J. Egan, Jr., 309 Whitemarsh Valley Road, Fort Washington 19034, Montgomery County, Seventh Senatorial District, for reappointment as a member of the Public Employee Retirement Commission, to serve until October 27, 2020, and until his successor is appointed and qualified.
TOM CORBETT
Governor
MEMBER OF THE PUBLIC SCHOOL
EMPLOYEES’ RETIREMENT BOARD
January 13, 2015
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In conformity with law, I have the honor hereby to nominate for the advice and consent of the Senate, Martin J. Silverstein, 224 North Bowman Avenue, Lower Merion 19066, Montgomery County, Seventeenth Senatorial District, for reappointment as a member of the Public School Employees’ Retirement Board, to serve until January 1, 2018, and until his successor is appointed and qualified.
TOM CORBETT
Governor
MEMBER OF THE STATE BOARD OF
CERTIFIED REAL ESTATE APPRAISERS
January 8, 2015
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In conformity with law, I have the honor hereby to nominate for the advice and consent of the Senate, William F. Rothman, 553 Bridgeview Drive, Lemoyne 17043, Cumberland County, Thirty-first Senatorial District, for appointment as a member of the State Board of Certified Real Estate Appraisers, to serve for a term of four years and until his successor is appointed and qualified, but not longer than six months beyond that period, vice Roberta McGettigan, Upper Darby, resigned.
TOM CORBETT
Governor
MEMBER OF THE STATE EMPLOYEES’
RETIREMENT BOARD
January 15, 2015
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In conformity with law, I have the honor hereby to nominate for the advice and consent of the Senate, Michael V. Puppio, Jr., 962 Edwards Drive, Springfield 19064, Delaware County, Twenty-sixth Senatorial District, for appointment as a member of the State Employees’ Retirement Board, to serve for a term of four years and until his successor is appointed and qualified, vice The Honorable Robert Bittenbender, Mechanicsburg, whose term expired.
TOM CORBETT
Governor
MEMBER OF THE BOARD OF TRUSTEES OF
TEMPLE UNIVERSITY OF THE COMMONWEALTH
SYSTEM OF HIGHER EDUCATION
January 14, 2015
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In conformity with law, I have the honor hereby to nominate for the advice and consent of the Senate, The Honorable James Cawley, 85 Brownsburg Road, Newtown, 18940, Bucks County, Sixth Senatorial District, for appointment as a member of the Board of Trustees of Temple University of the Commonwealth System of Higher Education, to serve until October 14, 2018, and until his successor is appointed and qualified, vice Jay Shah, Wynnewood, whose term expired.
TOM CORBETT
Governor
NOMINATIONS LAID ON THE TABLE
Senator ALLOWAY. Mr. President, I request that the nominations just read by the Clerk be laid on the table.
The PRESIDENT. The nominations will be laid upon the table.
UNFINISHED BUSINESS
SENATE RESOLUTIONS ADOPTED
Senators PILEGGI, BAKER, BARTOLOTTA, BREWSTER, DINNIMAN, EICHELBERGER, FOLMER, FONTANA, GORDNER, GREENLEAF, HAYWOOD, HUTCHINSON, SCARNATI, SCHWANK, SMITH, TARTAGLIONE, TEPLITZ, VOGEL, WHITE, YAW, YUDICHAK, ALLOWAY, ARGALL, COSTA, AUMENT, RAFFERTY and BOSCOLA, by unanimous consent, offered Senate Resolution No. 12, entitled:
A Resolution designating the week of January 25 through 31, 2015, as "Catholic Schools Week" in Pennsylvania.
On the question,
Will the Senate adopt the resolution?
The PRESIDENT. The Chair recognizes the gentleman from Delaware, Senator Pileggi.
Senator PILEGGI. Mr. President, I am pleased to introduce this resolution designating January 25 through 31 as "Catholic Schools Week" in Pennsylvania. Catholic schools educate 153,000 students annually, saving State and local taxpayers more than $2 billion per year. Catholic schools have a dropout rate of less than 3 percent, and 90 percent of graduates go on to continue their education. Catholic elementary and secondary schools provide young people with the strong foundation of values and academic skills needed to become responsible citizens of this Commonwealth and this nation. Mr. President, on behalf of all Pennsylvanians, I am delighted to sponsor this resolution, and I ask for an affirmative vote.
And the question recurring,
Will the Senate adopt the resolution?
A voice vote having been taken, the question was determined in the affirmative.
Senators LEACH, TEPLITZ, VOGEL, FARNES, BREWSTER, BLAKE, TARTAGLIONE, VULAKOVICH, GREENLEAF, MENSCH, HUGHES, AUMENT, SCHWANK, SMITH, COSTA, BOSCOLA, RAFFERTY, YUDICHAK and PILEGGI, by unanimous consent, offered Senate Resolution No. 13, entitled:
A Resolution recognizing January 11, 2015, as "National Human Trafficking Awareness Day" in Pennsylvania.
On the question,
Will the Senate adopt the resolution?
The PRESIDENT. The Chair recognizes the gentleman from Montgomery, Senator Leach.
Senator LEACH. Mr. President, this resolution establishes "National Human Trafficking Awareness Day." It is a day in which we will all be made aware of human trafficking. Human trafficking is the second most pervasive crime in the world after drug trafficking. It is a truly horrendous crime which involves human slavery, human sex trafficking, has victims of all ages, including very young children, and one of the biggest problems we have is the fact that so many people are unaware of how pervasive human trafficking is, especially in our own country, especially here in Pennsylvania. So we are trying to raise awareness of human trafficking, which will help fight the scourge that it is, and I ask for its immediate adoption.
Thank you, Mr. President.
And the question recurring,
Will the Senate adopt the resolution?
A voice vote having been taken, the question was determined in the affirmative.
CONGRATULATORY RESOLUTIONS
The PRESIDENT laid before the Senate the following resolutions, which were read, considered, and adopted by voice vote:
Congratulations of the Senate were extended to Tyler James Rine by Senator Browne.
Congratulations of the Senate were extended to Neighborhood Services Center by Senator Dinniman.
Congratulations of the Senate were extended to Jessica Jaramillo by Senators Dinniman and Pileggi.
Congratulations of the Senate were extended to Carole D. Bree by Senator Rafferty.
Congratulations of the Senate were extended to Stephen Jacob Woundery by Senator Schwank.
Congratulations of the Senate were extended to Master Sergeant David Allen Myers by Senator Wagner.
Congratulations of the Senate were extended to Olivia Zambruno, Greensburg Central Catholic High School Girls' Volleyball Team and to the Greensburg Central Catholic High School Girls' Soccer Team by Senator Ward.
Congratulations of the Senate were extended to Master Sergeant David W. Hill, Jr., by Senator Wozniak.
CONDOLENCE RESOLUTIONS
The PRESIDENT laid before the Senate the following resolutions, which were read, considered, and adopted by voice vote:
Condolences of the Senate were extended to the family of the late Maire A. Box by Senator Baker.
Condolences of the Senate were extended to the family of the late Christian T. Ciannetti by Senator Kitchen.
Condolences of the Senate were extended to the family of the late Elizabeth Suckow Nichols by Senator McIlhinney.
POSTHUMOUS CITATION
The PRESIDENT laid before the Senate the following citation, which was read, considered, and adopted by voice vote:
A posthumous citation honoring the late Camryn Lee Shultz was extended to the family by Senator Baker.
ANNOUNCEMENTS BY THE SECRETARY
The following announcements were read by the Secretary of the Senate:
| Time | Event | Location |
|------------|----------------------------------------------------------------------|-------------------|
| 10:00 A.M. | BASIC EDUCATION FUNDING COMMISSION (to consider basic education funding) | Greenville Jr./Sr. H.S. Greenville |
| 10:00 A.M. | BASIC EDUCATION FUNDING COMMISSION (to consider basic education funding) | Central Montco. Tech H.S. Plymouth Meeting |
SENATE OF PENNSYLVANIA
COMMITTEE MEETINGS
THURSDAY, JANUARY 29, 2015
THURSDAY, FEBRUARY 5, 2015
### WEDNESDAY, FEBRUARY 11, 2015
| Time | Committee | Location |
|------------|------------------------------------------------|---------------------------|
| 10:30 A.M. | JUDICIARY (a public hearing to discuss best practices for law enforcement) | Allegheny County Courthouse Pittsburgh |
### MONDAY, MARCH 16, 2015
| Time | Committee | Location |
|------------|---------------------------------------------------------------------------|---------------------------|
| 9:30 A.M. | APPROPRIATIONS (Budget Hearing - Governor's Office/Governor's Budget Office/Executive Offices) | Hrg. Rm. 1 North Off. |
| 1:00 P.M. | APPROPRIATIONS (Budget Hearing - Independent Fiscal Office - Economic Outlook & Revenue Overview) | Hrg. Rm. 1 North Off. |
| 3:00 P.M. | APPROPRIATIONS (Budget Hearing - Dept. of General Services) | Hrg. Rm. 1 North Off. |
### TUESDAY, MARCH 17, 2015
| Time | Committee | Location |
|------------|---------------------------------------------------------------------------|---------------------------|
| 9:30 A.M. | APPROPRIATIONS (Budget Hearing - Attorney General) | Hrg. Rm. 1 North Off. |
| 1:00 P.M. | APPROPRIATIONS (Budget Hearing - Treasury Department) | Hrg. Rm. 1 North Off. |
| 3:00 P.M. | APPROPRIATIONS (Budget Hearing - Auditor General) | Hrg. Rm. 1 North Off. |
### WEDNESDAY, MARCH 18, 2015
| Time | Committee | Location |
|------------|---------------------------------------------------------------------------|---------------------------|
| 9:30 A.M. | APPROPRIATIONS (Budget Hearing - Judiciary) | Hrg. Rm. 1 North Off. |
| 1:00 P.M. | APPROPRIATIONS (Budget Hearing - State Police/Homeland Security) | Hrg. Rm. 1 North Off. |
| 3:00 P.M. | APPROPRIATIONS (Budget Hearing - Dept. of Drug & Alcohol Programs) | Hrg. Rm. 1 North Off. |
### THURSDAY, MARCH 19, 2015
| Time | Committee | Location |
|------------|---------------------------------------------------------------------------|---------------------------|
| 9:30 A.M. | APPROPRIATIONS (Budget Hearing - Gaming Control Board) | Hrg. Rm. 1 North Off. |
| 1:30 P.M. | APPROPRIATIONS (Budget Hearing - PA State System of Higher Education) | Hrg. Rm. 1 North Off. |
| 3:00 P.M. | APPROPRIATIONS (Budget Hearing - Community Colleges) | Hrg. Rm. 1 North Off. |
### MONDAY, MARCH 23, 2015
| Time | Committee | Location |
|------------|---------------------------------------------------------------------------|---------------------------|
| 9:30 A.M. | APPROPRIATIONS (Budget Hearing - Dept. of Revenue/Lottery) | Hrg. Rm. 1 North Off. |
| 1:00 P.M. | APPROPRIATIONS (Budget Hearing - SERS/PSERS) | Hrg. Rm. 1 North Off. |
| 3:00 P.M. | APPROPRIATIONS (Budget Hearing - Dept. of Military and Veteran Affairs) | Hrg. Rm. 1 North Off. |
### TUESDAY, MARCH 24, 2015
| Time | Committee | Location |
|------------|---------------------------------------------------------------------------|---------------------------|
| 9:30 A.M. | APPROPRIATIONS (Budget Hearing - Dept. of Insurance) | Hrg. Rm. 1 North Off. |
| 11:00 A.M. | APPROPRIATIONS (Budget Hearing - Thaddeus Stevens College of Technology) | Hrg. Rm. 1 North Off. |
| 1:00 P.M. | APPROPRIATIONS (Budget Hearing - State Related Universities) | Hrg. Rm. 1 North Off. |
### WEDNESDAY, MARCH 25, 2015
| Time | Committee | Location |
|------------|---------------------------------------------------------------------------|---------------------------|
| 9:30 A.M. | APPROPRIATIONS (Budget Hearing - Dept. of Environmental Protection) | Hrg. Rm. 1 North Off. |
| 1:00 P.M. | APPROPRIATIONS (Budget Hearing - Dept. of Corrections/Office of Probation and Parole) | Hrg. Rm. 1 North Off. |
| 3:00 P.M. | APPROPRIATIONS (Budget Hearing - PA Liquor Control Board) | Hrg. Rm. 1 North Off. |
### THURSDAY, MARCH 26, 2015
| Time | Committee | Location |
|------------|---------------------------------------------------------------------------|---------------------------|
| 9:30 A.M. | APPROPRIATIONS (Budget Hearing - Dept. of Human Services) | Hrg. Rm. 1 North Off. |
| 1:00 P.M. | APPROPRIATIONS (Budget Hearing - Dept. of Community & Economic Development) | Hrg. Rm. 1 North Off. |
| 3:00 P.M. | APPROPRIATIONS (Budget Hearing - Dept. of State) | Hrg. Rm. 1 North Off. |
### MONDAY, MARCH 30, 2015
| Time | Committee | Location |
|------------|---------------------------------------------------------------------------|---------------------------|
| 9:30 A.M. | APPROPRIATIONS (Budget Hearing - Dept. of Education) | Hrg. Rm. 1 North Off. |
| 1:00 P.M. | APPROPRIATIONS (Budget Hearing - Dept. of Labor & Industry) | Hrg. Rm. 1 North Off. |
| 3:00 P.M. | APPROPRIATIONS (Budget Hearing - Dept. of Banking & Securities) | Hrg. Rm. 1 North Off. |
### TUESDAY, MARCH 31, 2015
| Time | Committee | Location |
|------------|---------------------------------------------------------------------------|---------------------------|
| 9:30 A.M. | APPROPRIATIONS (Budget Hearing - Public Utility Commission) | Hrg. Rm. 1 North Off. |
| 11:00 A.M. | APPROPRIATIONS (Budget Hearing - Historical & Museum Commission) | Hrg. Rm. 1 North Off. |
| 1:00 P.M. | APPROPRIATIONS (Budget Hearing - Dept. of Transportation) | Hrg. Rm. 1 North Off. |
| 3:00 P.M. | APPROPRIATIONS (Budget Hearing - Dept. of Agriculture) | Hrg. Rm. 1 North Off. |
### WEDNESDAY, APRIL 1, 2015
| Time | Committee | Location |
|------------|---------------------------------------------------------------------------|---------------------------|
| 9:30 A.M. | APPROPRIATIONS (Budget Hearing - PA Emergency Management Agency) | Hrg. Rm. 1 North Off. |
| 11:00 A.M. | APPROPRIATIONS (Budget Hearing - Dept. of Conservation and Natural Resources) | Hrg. Rm. 1 North Off. |
| 1:00 P.M. | APPROPRIATIONS (Budget Hearing - Dept. of Health) | Hrg. Rm. 1 North Off. |
### PETITIONS AND REMONSTRANCES
The PRESIDENT. The Chair recognizes the gentleman from Chester, Senator Dinniman.
Senator DINNIMAN. Mr. President, I would like to do a brief remonstrance today on unfunded mandates for our schools. As you know, I have been trying to give a series of remonstrances that involve education. The one thing we can all agree on, no matter what party we are in, is that schools are in fiscal diffiPart of the reason for that fiscal difficulty is our unfunded mandates. During this Session, Mr. President, I am going to present two bills to deal with unfunded mandates. The first bill, which got through the Committee on Education last year unanimously but was never brought to the floor, dealt with the State Board of Education.
Mr. President, the vast majority of unfunded mandates on our schools do not come out of the legislature, they come out of the State Board of Education. The State Board of Education does not seriously, in my judgment, consider the financial impact of their regulations. This became quite clear last year, Mr. President, when we debated the so-called graduation tests. Everything we heard and all the research we did, and whether it was research and information from PASBO, which is the business officers, from the superintendents, from PSEA, PFT, it was quite clear that that regulation created a $300 million mandate on our public schools. Until we insist, Mr. President, that every regulation of the Board of Education be accompanied by a fiscal note approved by the Budget Office, then these regulations and the expense that they incur on our local school districts will continue to grow. We cannot even afford giving many students an adequate education without more mandates. For example, some of our schools -- I talked about Overbrook High School last week when I gave a remonstrance. They do not have a certified biology teacher. They do not have a lab. Some of our schools cannot even afford the basics of education, and now we want to put more mandates on them.
So, Mr. President, all of us when we are on the campaign trail, all of us when we speak to our constituents, we all say, we oppose unfunded mandates. Well, if we oppose them, it is time to do something about it. At least to make sure that any mandate from the State Board which does not come back to us, that mandate goes for approval to the Independent Regulatory Review Commission, that when it goes to IRRC that there be a budget note, a fiscal note by the Budget Office of this Commonwealth. As I mentioned, this was unanimously approved by the Committee on Education last year. Let us get it on the floor. Let us get this into action.
In fact, Mr. President, a number of bills have been introduced in the House, which wants to change the whole structure of the State Board in the first place. Because education is being run, in many ways, by the State Board of Education, which is often ignoring the financial reality and the wishes of our local school districts, and we need to do something about it. So I hope we not only will pass this bill to make sure that we control these regulations and the spending that comes out of it, but we also think seriously about how we can restructure the State Board of Education.
Finally, Mr. President, on this matter of unfunded mandates, I am going to present a second bill. The second bill has been passed in a number of States, and if we are serious about unfunded mandates, we will go with both bills. That second bill, Mr. President, says you cannot pass in this Senate an unfunded mandate on a school without a two-thirds vote. Let us get real. If we really want to help out our schools, and they are in deep trouble, if we really have hesitated to do property reform and people cannot take the property tax anymore because it is so expensive, then let us really do something on unfunded mandates, not just talk about this when we run for office, not just write about this in columns and newspapers, not just tell our constituents we oppose unfunded mandates, but actually do something about it. These two bills - to make sure that the regulations have a fiscal note with them, and because, by the way, on that bill that costs $300 million on our schools, the Department of Education said it costs no money at all. We had all the facts to show that was not true. Second, if we are serious, let us begin to make sure that we do not pass resolutions here without a two-thirds vote.
So, Mr. President, we will continue in our remonstrances on another issue in education. My hope is that as I talk, as we start to think about these issues, we can come together in a bipartisan way to help our students. We need to understand there is a limited amount of money and we need to make sure we get the most that we can get out of this financing.
Thank you very much, Mr. President, for the opportunity to do this remonstrance.
The PRESIDENT. The Chair recognizes the gentleman from Allegheny, Senator Smith.
Senator SMITH. Mr. President, I rise today to share a story of a little boy from Bethel Park with great courage who has touched the hearts of so many, in such a big way. I am talking about 8-year-old Joey Fabus. Joey passed away on Wednesday, January 21, 2015, just 8 short months after receiving the grave diagnosis of an inoperable brain tumor. It was Joey's courage and optimism that helped carry his family and the entire community through this difficult time. His smile and spirit lifted the hearts of all who knew him and knew of him.
Joey's dream was to become a police officer. On June 24, 2014, he was granted that wish. Joey was sworn in as an honorary member of the Bethel Park Police Department by Magisterial District Judge Ron Arnoni, and partnered with Bethel Park Police Officer Tom Rigatti. In the following months, he was so embraced by the public safety community that he so adored, visiting the Pittsburgh Police Bomb Squad and SWAT Team, playing with Pleasant Hills Police Department's K9 Officer Scrappi, and becoming commander for a day of the 171st Air Refueling Wing of the Pennsylvania Air National Guard, where his sister is based. In a post on Facebook following his son's passing, David Fabus said, "Some of his last words to me were, will I get better? At that moment I knew he would be gone soon and the only thing I could tell him was, Joey, you will be better than all of us."
As I joined the other mourners at his viewing, the outpouring of support from the community was overwhelming, and the grace with which his family carried themselves humbling. His father wrote, "Our baby boy will be loved in heaven as much as he was loved here on earth." Joey's lasting impact is evidenced by the members of the public safety community who attended the viewings and funeral Mass at St. Bernard Catholic Church in Mt. Lebanon and the flood of donations to the Joey Fabus Childhood Cancer Foundation. As Reverend David Bonnar, pastor of St. Bernard Church, noted on Joey's desire to become a police officer, "There is no greater form of respect or flattery than imitation." That respect for our law enforcement professionals is why he was given an officer's funeral yesterday, Monday, January 26, 2015. Upper St. Clair Police Corporal Rob McMaster may have given the best reason as quoted in the Pittsburgh Post-Gazette, "because law enforcement sticks together."
Joey was buried in his police uniform with dozens of police, fire, and emergency services departments in the funeral procession, and even more supporters lining the streets of the route
holding signs that read "Stay Joey Strong." He is survived by his parents, David and Cindy Fabus; sisters, Clarissa and Olivia; brothers, Joshua and Nickolas; and maternal grandparents, Barbara and Robert Eichelsbacher.
I can only try to comprehend the grief that Joey's parents, David and Cindy, are experiencing right now. May they find comfort from the grace of God, friends, loved ones, and the entire community during this difficult time. I respectfully ask my Senate colleagues to observe a moment of silence for Joey Fabus, honor his legacy, and ask that we keep the Fabus family in our thoughts and prayers.
Thank you, Mr. President.
The PRESIDENT. Senators will please rise and offer a moment of silence.
(Whereupon, the Senate en bloc stood in a moment of silence in solemn respect to the memory of JOSEF GIOVANNI FABUS.)
APPOINTMENTS BY THE PRESIDENT PRO TEMPORE
The PRESIDENT. The Chair wishes to announce the President pro tempore has made the following appointments:
Senator Patrick M. Browne as a member of the Legislative Audit Advisory Commission.
Senator Lawrence Farnese as a member of the Legislative Audit Advisory Commission.
Senator Mike Folmer as a member of the Basic Education Funding Commission.
Senator John C. Rafferty, Jr., as a member of the Pennsylvania Commission on Sentencing.
RECESS
The PRESIDENT. The Chair recognizes the gentleman from Centre, Senator Corman.
Senator CORMAN. Mr. President, I move that the Senate do now recess until Wednesday, January 28, 2015, at 11 a.m., Eastern Standard Time, unless sooner recalled by the President pro tempore.
The motion was agreed to by voice vote.
The Senate recessed at 4:42 p.m., Eastern Standard Time. |
IN THE MATTER OF GRIEVANCE NO. K/E/0114/0131OF 07-08
OF SHRI MANOHARLAL K CHHUTLANI REGISTERED WITH
CONSUMER GRIEVANCE REDRESSAL FORUM KALYAN
ZONE, KALYAN ABOUT ILLEGAL RECOVEY BY
PROVISIONAL BILL.
Shri J. A. Juseja (Here in after referred to as consumer)
C/o. Shri Manoharlal K Chhutlani,
Shop No.205, M/S Ajay Construction,
Near R.K.T. Collage,
Ulhasnagar – 3.
Versus
Maharashtra State Electricity Distribution Company Limited through its Deputy Executive Engineer, Ulhasnagar S/Dn. -- (Here in after referred to as licensee)
1) Consumer Grievance Redressal Forum has been established under regulation of "Maharashtra Electricity Regulatory Commission (Consumer Grievance Redressal Forum & Ombudsman) Regulation 2006" to redress the grievances of consumers. This regulation has been made by the Maharashtra Electricity Regulatory Commission vide powers conformed on it by section 181 read with sub-section 5 to 7 of section 42 of the Electricity Act, 2003. (36 of 2003).
2) The consumer is a L.T. consumer of the licensee connected to their 415-volt network. The Consumer is billed as per the Commercial tariff. The bill stands in the name of Shri Manoharlal K Chhutlani and the electricity used by Shri J. A. Juseja. The consumer registered grievance with the Forum on dated 21.04.2008 for illegal recovery by provisional bill.
The details are as follows: -
Name of the consumer: Shri J. A. Juseja C/o Shri Manoharlal K Chhutlani
Consumer No. 021510710077
Address: - As above
3) Reason for Dispute:- The illegal recovery by provisional bill for assessed consumption for the period of December 2005 to September 2006 amounting to Rs. 29,740/-.
4) The batch of papers containing above grievance was sent by Forum vide letter No EE/CGRF/Kalyan/088 dated 21.04.2008 to Nodal Officer of licensee. However, the letter is un-replied.
5). The Member Secretary & Member of the Forum heard both the parties on 05/05/2008 @ 15 Hrs. In the meeting hall of the Forum’s office Shri J. A. Juseja representatives of consumer and Shri M. S. N. Murthy Nodal Officer, Shri S. K. Sawale Deputy Executive Engineer, Shri V. Y. Kamble Assistance Engineer & Shri S. T. Nagthane Junior Engineer, representatives of the licensee attended hearing.
6) Consumer repeated his grievance regarding illegal recovery by provisional bill.
7) Consumer’s meter accuchecked by licensee dated 11/05/2006. Meter was found -3.8% slow and meter seal was found in broken condition. The accucheck report also signed by the consumer’s representative.
8). The lab. Test Panchanama carried out on 28/02/07 in the presence of consumer’s representative. As per the Panchanama in the lab, observations of the meter are as follows.
1) ehVjps lhy rqVysys vk<Gys
2) ehVje;/;s dks.krsgh →ssj →kj cny vk<Gyk ukgh
3) ehVj 3@80 0@0 laÉ vk<Gyk
4) ehVjoj ,dw.k 2@820 yksM brdk layXu Hkkj vk<Gyk
9. The licensee replaced the meter on 21/09/2007.
10; Licensee raised provisional bill amounting to Rs. 29,740/- for the period from December 2005 to September 2006 against 3727 units (assessed).
11. The bill was not acceptable to the consumer & he approached the Executive Engineer vide his letter dated 07/02/2008 he also lodged his complaint in Internanal Grievance Redressal Cell (IGRC) on 06/02/2008. But there was no response from IGRC. So consumer approached to Forum.
12; The Licensee issued the notice for disconnection of power on 07/01/2008 giving 7 days notice to the consumer (action taken by licensee on this notice is not clear?). The licensee once again sent a notice on 19/04/2008 for disconnection of power subject to none payment of bill giving notice period of 15 days.
9). The licensee disconnected the power supply of the said consumer on …… at …….hours and and was reconnected on …….. at …….hours, after the consumer made necessary payment.
9). The Licensee stated that as the meter seal was broken, they applied Section 126 of Electricity Act 2003.
10). The Licensee calculated the assessed consumption on the basis of connected load which was found at the time of inspection. The calculation for assessed consumption appears to be on the higher side as compared to the consumption pattern as per Consumer Personal Ledger (CPL) record in the old as well as new meters.
11). As per the accucheck report dated 11.05.2006, it has been reported at sr.no.(h) Seal position - “seal is broken”, and in the para of accucheck meter details at seal position cause it is mentioned as - “seal tampered”. From the above, it is clear that the Licensee is not sure about the status of the meter seal as they mentioned two different words while describing the meter seal status.
12). The accucheck was carried out on 11.05.06 and suspected meter bearing No.1048314 was replaced on 21.09.06 with a new meter having Sr.No.2297842. The lab test of the old meter was carried out on 28.02.07 after a lapse of 9 months. The lab test results is in conferring with the accucheck results and in both cases, results are found to be same i.e. meter is slow by -3.8%.
14). As per Section 126, the assessment of consumption has to be done only for the unauthorized use of electricity as explained in the Part (b) of Section 126. Explanation read as follows:-
“Unauthorised use of electricity” means the usage of electricitya) by an artificial means; or
b) by a means not authorized by the concerned person or authority or license; or
c) through a tampered meter; or
d) for the purpose other than for which the usage of electricity was authorized.
Let us now examine this case in the light of above explanation. The questions to be answered before us were:
a) Whether the use of electricity was by an artificial means?
b) Whether the use of electricity was by a means not authorized by the concerned person or authority or licensee?
c) Whether the use of electricity was through a tampered meter?
d) Whether the use of electricity was for the purpose other than, for which the usage of electricity was authorized?
Our answers to above questions are
a) No
b) No
c) No, it is clear in panchanama that the meter was intact internally and it was not tampered, only seal was found in broken condition.
d) No.
15). From the record made available to the Forum it is clear that the meter in use prior to Oct.97 (CPL record available from Oct. 97) and the same meter was accuchecked on 11.5.06. The seal condition can get deteriorated during the above long period of 9 years.
16). It is very clear from the lab test report that the meter was not a tampered meter and hence Section 126 can not be applied in this case as none of the condition mentioned above are present in this case.
17). It is observed by Forum that the meter is -3.8% which only marginally beyond permissible limit as per the Rules.
18). The consumption pattern of the consumer with the new meter is similar to the consumption pattern as recorded by old meter. The average consumption of the old meter for the six month is 75 units per month and the average consumption recorded by the new meter for six months is 87 units per month as per the CPL.
19). The licensee had communicated to the Forum vide letter No. Dy.EE/Sub Dvn.Camp.3/808 dt. 08.05.2008 that the bill, which was earlier issued for Rs.29,740/- under section126 to the consumer, has been revised to Rs. 6870/- as per the revised assessment vide receipt No.2425 dt. 07.05.08. He has also paid the reconnection charges Rs.50/- for restoring the power supply.
20). After taking all points into consideration, Forum unanimously
passed following order.
**O-R-D-E-R**
1). The assessment made under Section 126 is not correct and hence set aside.
2). The amount paid by the consumer Rs.6870/-, (the amount recovered against Electricity Act 203 Section 126) on dated vide receipt No. 2425 dated 07.05.2008 should be refunded by Licensee, within 90 days from the date of Forum’s decision.
3). The licensee should make assessment for recovery due to slow meter reading as per the **Clause No. 15.4 : Billing in the Event of Defective meters as per Maharashtra Electricity Regulatory Commission (Electricity Supply Code and other Conditions of supply) Regulations, 2005** which read as follows:
“15.4.1: Supply to the provisions of Part XII and Part XIV of the Act, in case of a defective meter, the amount of the consumer’s bill shall be adjusted, for a maximum period of three months prior to the month in which the dispute has arisen, in accordance with the results of the test taken subject to furnishing the test report of the meter along with the assessed bill:
Provided that, in case of broken or damaged meter seal, the meter shall be tested for defectiveness or tampering.”
In case of defective meter, the assessment shall be carried out as per clause 15.4.1 above and, in case of tampering as per Section 126 or Section 135 of the Act, depending on the circumstances of each case.” The bill for 3.8% slowness of meter should be charged for 3 months considering the date of accucheck i.e. 11.05.06 to the consumer within 2 billing cycles from the date of this order (as per Clause No. 15.4.1 of Maharashtra Electricity Regulatory Commission (Electricity Supply Code and other Conditions of Supply) Regulation 2005.
4) The licensee should charge arrears with DPC and interest to the consumer for which he has not paid the regular bills (if any).
5) Compliance should be informed to Forum.
6). Consumer can file appeal against this decision with the Ombudsman at the following address.
“Maharashtra Electricity Regulatory Commission,
606/608, Keshav Building, Bandra Kurla Complex, Mumbai
400 051”. Appeal can be filed within 60 days from the date of this order.
7). Consumer, as per section 142 of the Electricity Act, 003, can approach Maharashtra Electricity Regulatory Commission the following address:-
“Maharashtra Electricity Regulatory Commission,
13th floor, World Trade Center, Cuffe Parade,
For non-compliance, part compliance or delay in compliance of this decision issued under “Maharashtra Electricity Regulatory Commission (Consumer Grievance Redressal Forum & Ombudsman) Regulation 2003”.
Date: -
(Sau V. V. Kelkar)
Member
CGRF Kalyan
(R.V.Shivdas)
Member Secretary
CGRF |
Beamforming: A Versatile Approach to Spatial Filtering
Barry D. Van Veen and Kevin M. Buckley
A beamformer is a processor used in conjunction with an array of sensors to provide a versatile form of spatial filtering. The sensor array collects spatial samples of propagating wave fields, which are processed by the beamformer. The objective is to estimate the signal arriving from a desired direction in the presence of noise and interfering signals. A beamformer performs spatial filtering to separate signals that have overlapping frequency content but originate from different spatial locations. This paper provides an overview of beamforming from a signal processing perspective, with an emphasis on recent research. Data independent, statistically optimum, adaptive, and partially adaptive beamforming are discussed.
I. INTRODUCTION
The term beamforming derives from the fact that early spatial filters were designed to form pencil beams (see polar plot in Fig. 1.1) in order to receive a signal radiating from a specific location and attenuate signals from other locations. "Forming beams" seems to indicate radiation of energy; however, beamforming is applicable to either radiation or reception of energy. In this paper we discuss formation of beams for reception.
Systems designed to receive spatially propagating signals often encounter the presence of interference signals. If the desired signal and interferers occupy the same temporal frequency band, then temporal filtering cannot be used to separate signal from interference. However, the desired and interfering signals usually originate from different spatial locations. This spatial separation can be exploited to separate signal from interference using a spatial filter at the receiver. Implementing a temporal filter requires processing of data collected over a temporal aperture. Similarly, implementing a spatial filter requires processing of data collected over a spatial aperture.
Several applications that employ spatial filtering of data are listed in Table 1.1. Fig. 1.1 illustrates a microwave communications antenna that employs a continuous spatial aperture to accomplish spatial filtering with a single antenna. Fig. 1.2 depicts a low frequency-towed sonar array in which the spatial aperture is obtained through a discrete spatial sampling by an array of sensors. When the spatial sampling is discrete, the processor that performs the spatial filtering is termed a beamformer. Typically a
Figure 1.1 A continuous spatial aperture provides one mechanism for spatial filtering. Illustrated is a parabolic microwave antenna system. The antenna dish provides the spatial aperture over which energy is collected. This energy is reflected to the antenna feed. The dish and feed operate as a spatial integrator. The energy from a far field source located directly in front of the antenna arrives at the feed temporarily aligned (i.e., all source-to-feed path lengths are equal) and is coherently summed. In general, energy from other sources will arrive at the feed via variable length paths, and add incoherently. A polar plot of a typical antenna beampattern (i.e., power gain vs., in this case, azimuth angle) is shown for a selected frequency and for the elevation angle at which the antenna is pointed.
TABLE 1.1
ARRAYS AND BEAMFORMERS PROVIDE AN EFFECTIVE AND VERSATILE MEANS OF SPATIAL FILTERING. THIS TABLE LISTS A NUMBER OF APPLICATIONS OF SPATIAL FILTERING, GIVES EXAMPLES OF ARRAYS AND BEAMFORMERS, AND PROVIDES A FEW KEY REFERENCES.
| Application | Description | References |
|-----------------------------|------------------------------------------------------------------------------|-------------------------------------------------|
| RADAR | phased-array RADAR; air traffic control; synthetic aperture RADAR | Brookner [1985]; Haykin [1985]; Munson et al. [1983] |
| SONAR | source localization and classification | Knight et al. [1981]; Owsley [1985] |
| Communications | directional transmission and reception; sector broadcast in satellite communications | Mayhan [1976]; Compton [1978]; Adams et al. [1980] |
| Imaging | ultrasonic; optical; tomographic | Macovski [1983]; Pratt [1978]; Kak [1985] |
| Geophysical Exploration | earth crust mapping; oil exploration | Justice [1985] |
| Astrophysical Exploration | high resolution imaging of the universe | Readhead [1982]; Yen [1985] |
| Biomedical | fetal heart monitoring; tissue hyperthermia; hearing aids | Widrow et al. [1975]; Gee et al. [1984]; Peterson et al. [1987] |
beamformer linearly combines the spatially sampled time series from each sensor to obtain a scalar output time series in the same manner that an FIR filter linearly combines temporally sampled data. Two principal advantages of spatial sampling with an array of sensors are discussed below.
Spatial discrimination capability depends on the size of the spatial aperture; as the aperture increases, discrimination improves. The absolute aperture size is not important, rather its size in wavelengths is the critical parameter. A single physical antenna (continuous spatial aperture) capable of providing the requisite discrimination is often practical for high frequency signals since the wavelength is short. However, when low frequency signals are of interest, an array of sensors can often synthesize a much larger spatial aperture than that practical with a single physical antenna.
A second very significant advantage of using an array of sensors, relevant at any wavelength, is the spatial filtering versatility offered by discrete sampling. In many application areas it is necessary to change the spatial filtering function in real time to maintain effective suppression of interfering signals. This change is easily implemented in a discretely sampled system by changing the way in which the beamformer linearly combines the sensor data. Changing the spatial filtering function of a continuous aperture antenna is impractical.
The purpose of this paper is to describe beamforming from a signal processing perspective, provide an overview of beamformer design, and briefly discuss performance and implementation issues with an emphasis on recent research. The paper begins with a section devoted to defining basic terminology, notation, and concepts. Succeeding sections cover data-independent, statistically optimum, adaptive, and partially adaptive beamforming. We then provide a brief discussion of implementation issues and conclude with a summary.
Throughout the paper we use familiar methods and techniques from FIR filtering to provide insight into various aspects of spatial filtering with a beamformer. However, in some ways beamforming differs significantly from FIR filtering. For example, in beamforming a source of energy has several parameters that can be of interest: range, azimuth and elevation angles, polarization, and temporal frequency content. Different signals are often mutually correlated as a result of multipath propagation. The spatial sampling is often nonuniform and multidimensional. Uncertainty must often be included in characterization of individual sensor response and location, motivating development of robust beamforming techniques. These differences indicate that beamforming represents a more general problem than FIR filtering and as a result, more general design procedures and processing structures are common.
Rather than making a futile attempt at attributing developments due to many different researchers in beamforming, we refer the reader to the following references: books—J. W. R. Griffiths et al., ed. [1973], Hudson [1981], Monzingo and Miller [1980], Haykin, ed. [1985], Compton [1988]; special issues—IEEE Transactions on Antennas and Propagation [1976], [1986], Journal of Ocean Engineering [1987]; tutorial—Gabriel [1976]; and bibliography—Marr [1986]. Papers devoted to beamforming are often found in the IEEE Transactions on: Antennas and Propagation,
tinction between narrowband and broadband beamforming. The final subsection defines various types of beamformers.
A. Beamforming and Spatial Filtering
Fig. 2.1 depicts two beamformers. The first, which samples the propagating wave field in space, is typically used for processing narrowband signals. The output at time $k$, $y(k)$, is given by a linear combination of the data at the $J$ sensors at time $k$:
$$y(k) = \sum_{i=1}^{J} w_i^* x_i(k)$$ \hspace{1cm} (2.1)
where * represents complex conjugate. It is conventional to multiply the data by conjugates of the weights to simplify notation. We assume throughout that the data and weights are complex since in many applications a quadrature receiver is used at each sensor to generate in phase and quadrature (I and Q) data. Each sensor is assumed to
Figure 1.2 This figure exemplifies spatial filtering with a discrete aperture from a towed SONAR array of equi-spaced sensors. The signals received at the sensors due to far field sources located at array broadside (i.e., from along the plane perpendicular to the array axis) will be temporarily aligned across the array, assuming the sensors are identical and propagation is isotropic. Summing the sensor outputs results in a coherent gain similar to that demonstrated in Figure 1.1. If a source from another Direction-Of-Arrival (DOA) is of interest, delays can be electronically implemented at the sensor outputs to compensate for that DOA's intersensor propagation delays, thereby temporarily aligning the source. The delays and summing device constitute a beamformer. A more versatile approach is to use filters at the sensor outputs and sum the filter outputs. A rectangular plot of the magnitude vs. DOA is shown for a phase shift and sum beamformer. A linear equi-spaced array of 16 omnidirectional sensors is employed. The beamformer is "steered" to 18°.
Acoustics, Speech, and Signal Processing, Aerospace and Electronic Systems, and in the Journal of the Acoustical Society of America. There is a vast body of literature on various aspects of beamforming and we can only reference a subset in support of our discussions. We often refer to the FIR filtering literature in our discussions of beamforming, since their histories are both parallel and overlapping.
II. BASIC TERMINOLOGY AND CONCEPTS
In this section we introduce terminology and concepts employed throughout the paper. We begin with a subsection that defines the beamforming operation and discusses spatial filtering. The next subsection, entitled "Second Order Statistics," develops representations for the covariance of the data received at the array and discusses dis-
Figure 2.1 A beamformer forms a linear combination of the sensor outputs. In (a), sensor outputs are each multiplied by a complex weight and then summed (for notational convenience it is conventional to apply conjugates of the defined weights). This beamformer is typically used with narrowband signals. A common broadband beamformer is illustrated in (b).
have any necessary receiver electronics and an A/D converter if beamforming is performed digitally.
The second beamformer in Fig. 2.1 samples the propagating wave field in both space and time and is often used when signals of significant frequency extent (broadband) are of interest. The output in this case can be expressed as
\[ y(k) = \sum_{l=1}^{J} \sum_{p=0}^{K-1} w^*_l p x_l(k-p) \]
(2.2)
where \( K - 1 \) is the number of delays in each of the \( J \) sensor channels. If the signal at each sensor is viewed as an input, then a beamformer represents a multi-input single output system.
It is convenient to develop notation which permits us to treat both beamformers in Fig. 2.1 simultaneously. Note that (2.1) and (2.2) can be written as
\[ y(k) = w^H x(k). \]
(2.3)
by appropriately defining a weight vector \( w \) and data vector \( x(k) \). We use lower and upper case boldface to denote vector and matrix quantities respectively, and let superscript \( H \) represent Hermitian (complex conjugate) transpose. Vectors are assumed to be column vectors. Assume that \( w \) and \( x(k) \) are \( N \) dimensional; this implies that \( N = KJ \) when referring to (2.2) and \( N = J \) when referring to (2.1). Except for Section V on adaptive algorithms, we will drop the time index and assume that its presence is understood throughout the remainder of the paper. Thus (2.3) is written as \( y = w^H x \). Many of the techniques described in this paper are applicable to continuous time as well as discrete time beamforming.
The frequency response of an FIR filter with tap weights \( w^*_p, 0 \leq p \leq J \) and a tap delay of \( T \) seconds is given by
\[ r(\omega) = \sum_{p=1}^{J} w^*_p e^{-j\omega T(p-1)}. \]
(2.4a)
Alternatively
\[ r(\omega) = w^H d(\omega) \]
(2.4b)
where \( w^H = [w^*_1 w^*_2 \ldots w^*_J]^T \) and \( d(\omega) = [1 e^{j\omega T} e^{j2\omega T} \ldots e^{j(J-1)\omega T}]^T \). \( r(\omega) \) represents the response of the filter to a complex sinusoid of frequency \( \omega \) and \( d(\omega) \) is a vector describing the phase of the complex sinusoid at each tap in the FIR filter relative to the tap associated with \( w_1 \).
Similarly, beamformer response is defined as the amplitude and phase presented to a complex plane wave as a function of location and frequency. Location is in general a three dimensional quantity, but often we are only concerned with one or two dimensional direction of arrival (DOA). Throughout the remainder of the paper we do not consider range. Fig. 2.2 illustrates the manner in which an array of sensors samples a spatially propagating signal. Assume that the signal is a complex plane wave with DOA \( \theta \) and frequency \( \omega \). For convenience let the phase be zero at the first sensor. This implies \( x_1(k) = e^{j\omega k} \) and \( x_l(k) = e^{j\omega[k-\Delta_l(\theta)]}, 2 \leq l \leq J \). \( \Delta_l(\theta) \) represents the time delay due to propagation from the first to the \( l^{th} \) sensor. Substitution into (2.2) results in the beamformer output
\[ y(k) = e^{j\omega k} \sum_{l=1}^{J} \sum_{p=0}^{K-1} w^*_l p e^{-j\omega[\Delta_l(\theta)+p]} = e^{j\omega k} r(\theta, \omega) \]
(2.5)
where \( \Delta_l(\theta) = 0 \). \( r(\theta, \omega) \) is the beamformer response and can be expressed in vector form as
\[ r(\theta, \omega) = w^H d(\theta, \omega). \]
(2.6)
The elements of \( d(\theta, \omega) \) correspond to the complex exponentials \( e^{-j\omega[\Delta_l(\theta)+p]} \). In general it can be expressed as
\[ d(\theta, \omega) = [1 e^{j\tau_2(\theta)} e^{j\tau_3(\theta)} \ldots e^{j\tau_N(\theta)}]^T \]
(2.7)
where the \( \tau_i(\theta), 2 \leq i \leq N, \) are the time delays due to propagation and any tap delays from the zero phase reference to the point at which the \( i^{th} \) weight is applied. We refer to \( d(\theta, \omega) \) as the array response vector. It is also known as the steering vector or direction vector. Nonideal sensor characteristics can be incorporated into \( d(\theta, \omega) \) by multiplying each phase shift by a function \( a_i(\theta, \omega) \), which describes the associated sensor response as a function of frequency and direction.
The *beampattern* is defined as the magnitude squared of $r(\theta, \omega)$. Note that each weight in $\mathbf{w}$ affects both the temporal and spatial response of the beamformer. Historically, use of FIR filters has been viewed as providing frequency dependent weights in each channel. This interpretation is accurate but somewhat incomplete since the coefficients in each filter also influence the spatial filtering characteristics of the beamformer. As a multi-input single output system, the spatial and temporal filtering that occurs is a result of mutual interaction between spatial and temporal sampling.
The correspondence between FIR filtering and beamforming is closest when the beamformer operates at a single temporal frequency $\omega_0$ and the array geometry is linear and equi-spaced as illustrated in Fig. 2.3. Letting the sensor spacing be $d$, propagation velocity be $c$, and $\theta$ represent DOA relative to broadside (perpendicular to the array) we have $\tau_i(\theta) = (i - 1)(d/c) \sin \theta$. In this case we identify the relationship between temporal frequency $\omega$ in $\mathbf{d}(\omega)$ (FIR filter) and direction $\theta$ in $\mathbf{d}(\theta, \omega_0)$ (beamformer) as $\omega = \omega_0(d/c) \sin \theta$. Thus, temporal frequency in an FIR filter corresponds to the sine of direction in a narrowband, linear equi-spaced beamformer. Complete interchange of beamforming and FIR filtering methods is possible for this special case provided the mapping between frequency and direction is accounted for.
The vector notation introduced in (2.6) suggests a vector space interpretation of beamforming. This point of view is useful both in beamformer design and analysis. We use it here in consideration of spatial sampling and array geometry. The weight vector $\mathbf{w}$ and the array response vectors $\mathbf{d}(\theta, \omega)$ are vectors in an N dimensional vector space. The angles between $\mathbf{w}$ and $\mathbf{d}(\theta, \omega)$ determine the response $r(\theta, \omega)$. For example, if for some $(\theta, \omega)$ the angle between $\mathbf{w}$ and $\mathbf{d}(\theta, \omega)$ is 90° (i.e., if $\mathbf{w}$ is orthogonal to $\mathbf{d}(\theta, \omega)$), then the response is zero. If the angle is close to 0°, then the response magnitude will be relatively large. The ability to discriminate between sources at different locations and/or frequencies, say $(\theta_1, \omega_1)$ and $(\theta_2, \omega_2)$, is determined by the angle between their array response vectors, $\mathbf{d}(\theta_1, \omega_1)$ and $\mathbf{d}(\theta_2, \omega_2)$ (Cox [1973]).
The general effects of spatial sampling are similar to temporal sampling. Spatial aliasing corresponds to an ambiguity in source locations. The implication is that sources at different locations have the same array response vector, e.g., for narrowband sources $\mathbf{d}(\theta_1, \omega_0) = \mathbf{d}(\theta_2, \omega_0)$. This can occur if the sensors are spaced too far apart. If the sensors are too close together, spatial discrimination suffers as a result of the smaller than necessary aperture; array response vectors are not well dispersed in the N dimensional vector space. Another type of ambiguity occurs with broadband signals when a source at one location and frequency cannot be distinguished from a source at a different location and frequency, i.e., $\mathbf{d}(\theta_1, \omega_1) = \mathbf{d}(\theta_2, \omega_2)$. For example, this occurs in a linear equi-spaced array whenever $\omega_1 \sin \theta_1 = \omega_2 \sin \theta_2$. (The addition of temporal samples at one sample prevents this particular ambiguity.)
A primary focus of this paper is on designing response via weight selection; however, (2.6) indicates that response is also a function of array geometry (and sensor characteristics if the ideal omnidirectional sensor model is invalid). In contrast with single channel filtering where A/D converters provide a uniform sampling in time, there is no compelling reason to space sensors regularly. Sensor locations provide additional degrees of freedom in designing a desired response and can be selected so that over the range of $(\theta, \omega)$ of interest the array response vectors are unambiguous and well dispersed in the N dimensional vector space. Utilization of these degrees of freedom can become very complicated due to the multidimensional nature of spatial sampling and the nonlinear relationship between $r(\theta, \omega)$ and sensor locations. References discussing array geometry design for response synthesis include Unz [1956], Harrington [1961], Ishimaru [1962], Lo [1963], and Skolnik et al. [1964].
**B. Second Order Statistics**
Evaluation of beamformer performance usually involves power or variance, so the second order statistics of the
data play an important role. We assume the data received at the sensors is zero mean throughout the paper. The variance or expected power of the beamformer output is given by $E[y^2] = w^T E[xx^H]w$. If the data is wide sense stationary, then $R_x = E[xx^H]$, the data covariance matrix, is independent of time. Although we often encounter non-stationary data, the wide sense stationary assumption is used in developing statistically optimal beamformers and in evaluating steady state performance.
Suppose $x$ represents samples from a uniformly sampled time series having a power spectral density $S(\omega)$ and no energy outside of the spectral band $[\omega_a, \omega_b]$. $R_x$ can be expressed in terms of the power spectral density of the data using the Fourier transform relationship as
$$R_x = \frac{1}{2\pi} \int_{\omega_a}^{\omega_b} S(\omega) d(\omega) d^H(\omega) \, d\omega$$ \hspace{1cm} (2.8)
with $d(\omega)$ as defined for (2.4b). Now assume the array data $x$ is due to a source located at direction $\theta$. In like manner to the time series case we can obtain the covariance matrix of the array data as
$$R_x = \frac{1}{2\pi} \int_{\omega_a}^{\omega_b} S(\omega) d(\theta, \omega) d^H(\theta, \omega) \, d\omega.$$ \hspace{1cm} (2.9)
A source is said to be narrowband of frequency $\omega_0$ if $R_x$ can be represented as the rank one outer product
$$R_x = \sigma_s^2 d(\theta, \omega_0) d^H(\theta, \omega_0)$$ \hspace{1cm} (2.10)
where $\sigma_s^2$ is the source variance or power.
The conditions under which a source can be considered narrowband depend on both the source bandwidth and the time over which the source is observed. To illustrate this, consider observing an amplitude modulated sinusoid or the output of a narrowband filter driven by white noise on an oscilloscope. If the signal bandwidth is small relative to the center frequency (i.e., if it has a small fractional bandwidth), and the time intervals over which the signal is observed are short relative to the inverse of the signal bandwidth, then each observed waveform has the shape of a sinusoid. Note that as the observation time interval is increased, the bandwidth must decrease for the signal to remain sinusoidal in appearance. It turns out, based on statistical arguments, that the observation time bandwidth product (TBWP) is the fundamental parameter that determines whether a source can be viewed as narrowband (Buckley [1987], Compton [1988]).
An array provides an effective temporal aperture over which a source is observed. Fig. 2.2 illustrates this temporal aperture $T(\theta)$ for a source arriving from direction $\theta$. Clearly the TBWP is dependent on the source DOA. An array is considered narrowband if the observation TBWP is much less than one for all possible source directions.
Narrowband beamforming is conceptually simpler than broadband since one can ignore the temporal frequency variable. This fact, coupled with interest in temporal frequency analysis for some applications, has motivated implementation of broadband beamformers with a narrowband decomposition structure, as illustrated in Fig. 2.4. The narrowband decomposition is often performed by taking a discrete Fourier transform (DFT) of the data in each sensor channel using an FFT algorithm. The data across the array at each frequency of interest are processed by their own beamformer. This is often termed frequency domain beamforming. The frequency domain beamformer outputs can be made equivalent to the DFT of the broadband beamformer output depicted in Fig. 2.1b with proper selection of beamformer weights and careful data partitioning. This equivalence corresponds to implementing FIR filters via circular convolution with the DFT.
C. Beamformer Classification
Beamformers can be classified as either data independent or statistically optimum, depending on how the weights are chosen. The weights in a data independent beamformer do not depend on the array data and are chosen to present a specified response for all signal/interference scenarios. The weights in a statistically optimum beamformer are chosen based on the statistics of the array data to “optimize” the array response. In general, the statistically optimum beamformer places nulls in the directions of interfering sources in an attempt to maximize the signal to noise ratio at the beamformer output. A comparison between data independent and statistically optimum beamformers is illustrated in Fig. 2.5.
The next four sections cover data independent, statistically optimum, adaptive, and partially adaptive beamforming. Data independent beamformer design techniques are often used in statistically optimum beamforming (e.g., constraint design in linearly constrained minimum variance beamforming). The statistics of the array data are not usually known and may change over time so adaptive algorithms are typically employed to determine the weights. The adaptive algorithm is designed so the beamformer
*Figure 2.4* Beamforming is sometimes performed in the frequency domain when broadband signals are of interest. This figure illustrates transformation of the data at each sensor into the frequency domain. Weighted combinations of the data at each frequency (bin) are formed. An inverse discrete Fourier transform produces the output time series.
Figure 2.5 Beamformers come in both data independent and statistically optimum varieties. In this figure we consider an equi-spaced narrowband line array of sixteen sensors spaced at one-half wavelength. The magnitude of the weights and beampatterns are shown for a data independent and two statistically optimum beamformers. In (a) and (b) a Dolph-Chebyshev beamformer (Dolph [1948]) with $-30$ dB sidelobes is represented. In (c) through (f) statistically optimum beamformers are designed to minimize output power subject to a constraint that the response be unity for an arrival angle of $18^\circ$. Energy is assumed to arrive at the array from several interference sources. In (c) and (d) several interferers are located between $-20^\circ$ and $-23^\circ$, each with power of $30$ dB relative to the uncorrelated noise power at a single sensor. Deep nulls are formed at the interferer directions. The interferers in (e) and (f) are located between $20^\circ$ and $23^\circ$, again with relative power levels of $30$ dB. Again deep nulls are formed at the interferer directions; however the sidelobe levels are significantly higher at other directions.
response converges to a statistically optimum solution. Partially adaptive beamformers reduce the adaptive algorithm computational load at the expense of a loss (designed to be small) in statistical optimality.
III. DATA INDEPENDENT BEAMFORMING
The weights in a data independent beamformer are designed so the beamformer response approximates a desired response independent of the array data or data statistics. This design objective—approximating a desired response—is the same as that for classical FIR filter design (see, for example, Parks and Burrus [1987]). We shall exploit the analogies between beamforming and FIR filtering where possible in developing an understanding of the design problem and in presenting design procedures. We also discuss design problems specific to beamforming.
The first part of this section discusses forming beams in a classical sense, i.e., approximating a desired response of unity at a point of direction and zero elsewhere. Methods for designing beamformers having more general forms of desired response are presented in the second part.
A. Classical Beamforming
Consider the problem of separating a single complex frequency component from other frequency components using the J tap FIR filter illustrated in Fig. 2.3. If frequency $\omega_o$ is of interest, then the desired frequency response is unity at $\omega_o$ and zero elsewhere. A common solution to this problem is to choose $w$ as the vector $d(\omega_o)$. This choice can be shown to be optimal in terms of minimizing the squared error between the actual response and desired response. The actual response is characterized by a main lobe (or beam) and many sidelobes. Since $w = d(\omega_o)$, each element of $w$ has unit magnitude. Tapering or windowing the amplitudes of the elements of $w$ permits trading of main lobe (or beam) width against sidelobe levels to form the response into a desired shape. Let $T$ be a $J$ by $J$ diagonal matrix with the real-valued taper weights as diagonal elements. The tapered FIR filter weight vector is given by $Td(\omega)$. A detailed comparison of a large number of tapering functions is given in Harris [1978].
In spatial filtering one is often interested in receiving a signal arriving from a known location point $\theta_o$. Assuming the signal is narrowband (frequency $\omega_o$), a common choice for the beamformer weight vector is the array response vector $d(\theta_o, \omega_o)$. The resulting array and beamformer is termed a phased array since the output of each sensor is phase shifted prior to summation. Fig. 1.2 depicts the magnitude of the actual response when $w = d(\theta_o, \omega_o)$. As in the FIR filter discussed above, beam width and sidelobe levels are the important characteristics of the response. Amplitude tapering can be used to control the shape of the response, i.e., to form the beam. Figs. 2.5a and b illustrate the effect of amplitude tapering on the response.
The equivalence of the narrowband linear equi-spaced array and FIR filter (see Fig. 2.3) implies that the same techniques for choosing taper functions are applicable to either problem (Schelkunoff [1943]). Methods for choosing tapering weights also exist for more general array configurations. If the array is narrowband and the sensors lie on a line, then methods evolving from continuous spatial aperture design can be employed. A desirable smooth amplitude distribution function from a continuous aperture is approximated by a step distribution in a discrete aperture (see Ishimaru [1962] for relationship between continuous and discrete apertures).
If the array is planar and factorable, then line array techniques can be used to synthesize the overall response as the product of two linear array responses. A planar array in the xy plane is factorable if its response can be “factored” into the product of responses due to line arrays in the x and y directions. Fig. 3.1 depicts the beampattern for a $16 \times 16$ narrowband planar array. The sensors are spaced by one-half wavelength in both the x and y directions and the direction of interest is 30° bearing and 45° elevation. The response is synthesized as the product of Dolph-Chebyshev tapered line arrays in the x and y directions.
If the beamformer is broadband and employs FIR filters, then tapering can be applied independently to both the
sensor outputs and FIR filters as illustrated in Fig. 3.2. The taper weights are chosen to shape the spatial response and the FIR filter coefficients to present a desired temporal response. As noted in Section II, spatial and temporal response interact so the spatial and temporal responses cannot be synthesized completely independently. One example of where the structure of Fig. 3.2 is used is delay sum beamforming. Here the FIR filters approximate the propagation delays (linear phase over the frequency band of interest) and the taper weights are chosen to shape the main beam and sidelobe structure of the spatial response.
B. General Data Independent Response Design
The methods discussed in this subsection apply to design of beamformers that approximate an arbitrary desired response. This is of interest in several different applications. For example, we may wish to receive any signal arriving from a range of directions, in which case the desired response is unity over the entire range. As another example, we may know that there is a strong source of interference arriving from a certain range of directions, in which case the desired response is zero in this range. These two examples are analogous to bandpass and bandstop FIR filtering. Although we are no longer “forming beams,” it is conventional to refer to this type of spatial filter as a beamformer.
Consider choosing \( \mathbf{w} \) so the actual response \( r(\theta, \omega) = \mathbf{w}^H \mathbf{d}(\theta, \omega) \) approximates a desired response \( r_d(\theta, \omega) \). Ad hoc techniques similar to those employed in FIR filter design can be used for selecting \( \mathbf{w} \); however, here we only consider choosing \( \mathbf{w} \) to minimize the weighted \( L_p \) norm of the difference between desired and actual response. Weighted \( L_p \) approximation is utilized in several established FIR filter design techniques. The most commonly used norms are \( L_\infty \) (minmax) and \( L_2 \) (least squares). Specific techniques include (see Parks and Burrus [1987]):
1) Windowing of an ideal filter’s unit pulse response (minimizes \( L_2 \) norm over continuous \( \omega \));
2) Frequency response sampling and linear weighted least squares (minimized \( L_2 \) norm over discrete \( \omega \));
3) Minmax design with the Remez exchange algorithm (minimizes \( L_\infty \) norm over discrete \( \omega \));
4) Minmax complex and magnitude response design (minimizes \( L_\infty \) norm over discrete \( \omega \)).
FIR filter design corresponds to a polynomial approximation problem since the frequency response (2.4b) is the discrete Fourier transform of the FIR filter weight sequence. Several of the above methods exploit this polynomial structure.
Excluding the cases for which beamformer design can be reduced to equi-spaced line array geometries, beamformer design is not a polynomial approximation problem. In general, the response in (2.6) is a weighted sum of exponentials raised to non-integer powers. Thus, the \( L_\infty \) methods (3 and 4) are not applicable since they are based on the alteration theorem of polynomial approximation. The windowing method (1) is based on the discrete time Fourier transform and is also not applicable. However, the \( L_2 \) procedure using linear weighted least squares (2) is applicable.
To illustrate data independent beamformer design via \( L_2 \) optimization, consider minimizing the squared error between the actual and desired response at \( P \) points \( (\theta_i, \omega_i), 1 \leq i \leq P \). If \( P > N \), then we obtain the overdetermined least squares problem
\[
\min_{\mathbf{w}} |A^H \mathbf{w} - \mathbf{r}_d|^2
\]
(3.1)
where
\[
A = [\mathbf{d}(\theta_1, \omega_1) \mathbf{d}(\theta_2, \omega_2) \cdots \mathbf{d}(\theta_P, \omega_P)];
\]
\[
\mathbf{r}_d = [\mathbf{r}_d(\theta_1, \omega_1) \mathbf{r}_d(\theta_2, \omega_2) \cdots \mathbf{r}_d(\theta_P, \omega_P)]^H.
\]
Provided \( AA^+ \) is invertible (i.e., \( A \) is full rank), then the solution to (3.1) is given as
\[
\mathbf{w} = A^+ \mathbf{r}_d
\]
(3.2)
where \( A^+ = (AA^+)^{-1}A \) is the pseudo inverse of \( A \). Fig. 3.3 depicts the response of a beamformer design using (3.2).
A note of caution is in order at this point. The white noise gain of a beamformer is defined as the output power due to unit variance white noise at the sensors. Thus, the norm squared of the weight vector, \( \mathbf{w}^H \mathbf{w} \), represents the white noise gain. If the white noise gain is large, then the accuracy by which \( \mathbf{w} \) approximates the desired response is a moot point, since the beamformer output will have a poor SNR due to white noise contributions. If \( A \) is ill-conditioned, then \( \mathbf{w} \) can have a very large norm and still approximate the desired response. The matrix \( A \) is ill-conditioned when the numerical dimension of the space spanned by the \( \mathbf{d}(\theta_i, \omega_i), 1 \leq i \leq P \), is less than \( N \). For example, if only one source direction is sampled, then the numerical rank of \( A \) is approximately given by the TBWP for that direction. Low rank approximates of \( A \) and \( A^+ \) should be used whenever the numerical rank is less than \( N \). This ensures that the norm of \( \mathbf{w} \) will not be unnecessarily large.
Specific directions and frequencies can be emphasized in (3.1) by selection of the sample points \( (\theta_i, \omega_i) \) and/or
There are several alternatives to $L_p$ optimization for general data independent response design, including methods discussed in Butler and Unz [1967] and Sanzgiri and Butler [1971].
IV. STATISTICALLY OPTIMUM BEAMFORMING
In statistically optimum beamforming the weights are chosen based on the statistics of the data received at the array. Loosely speaking, the goal is to "optimize" the beamformer response so that output contains minimal contributions due to noise and signals arriving from directions other than the desired signal direction. We discuss below several different criteria for choosing statistically optimum beamformer weights. Table 4.1 summarizes these different approaches. Where possible, equations describing the criteria and weights are confined to Table 4.1. Throughout the section we assume that the data is wide-sense stationary and that its second order statistics are known. Determination of weights when the data statistics are unknown or time varying is discussed in the following section on adaptive algorithms.
A. Multiple Sidelobe Canceller
The multiple sidelobe canceller (MSC) is perhaps the earliest statistically optimum beamformer. An MSC consists of a "main channel" and one or more "auxiliary channels" as depicted in Fig. 4.1a. The main channel can be either a single high gain antenna or a data independent
| Type | MSC | Reference Signal | Max SNR | LCMV |
|-----------------------|----------------------------------------------------------------------|------------------|------------------------------------------------------------------------|---------------------------------------------------------------------|
| Definitions | $x_a$ — auxiliary data | $x$ — array data | $x = s + n$ — array data | $x$ — array data |
| | $y_m$ — primary data | $y_d$ — desired signal | $s$ — signal component | $C$ — constraint matrix |
| | $r_{ma} = E\{x_a y_m^H\}$ | $r_{xd} = E\{xy_d^H\}$ | $n$ — noise component | $f$ — response vector |
| | $R_s = E\{x_a x_a^H\}$ | $R_x = E\{xx^H\}$ | $R_s = E\{ss^H\}$ | $R_n = E\{xx^H\}$ |
| | output: $y = y_m - w_a^H x_a$ | output: $y = w^H x$ | $R_n = E\{nn^H\}$ | output: $y = w^H x$ |
| Criterion | $\min_w E\{|y_m - w_a^H x_a|^2\}$ | $\min_w E\{|y - y_d|^2\}$ | $\max_w \frac{w^H R_s w}{w^H R_n w}$ | $\min_w \{w^H R_s w\} s.t. C^H w = f$ |
| Optimum Weights | $w_a = R_a^{-1} r_{ma}$ | $w = R_x^{-1} r_{xd}$ | $R_n^{-1} s, w = \lambda_{\text{max}} w$ | $w = R_x^{-1} C[C^H R_x^{-1} C]^{-1} f$ |
| Advantages | Simple | Direction of desired signal can be unknown | True maximization of SNR | Flexible and general constraints |
| Disadvantages | Requires absence of desired signal from auxiliary channels for weight determination | Must generate reference signal | Must know $R_s$ and $R_n$, Solve generalized eigenproblem for weights | Computation of constrained weight vector |
| References | Applebaum [1976] | Widrow [1967] | Monzingo and Miller [1980] | Frost [1972] |
The multiple sidelobe canceller (MSC) consists of a main channel and several auxiliary channels as illustrated in Fig. 4.1a. The auxiliary channel weights are chosen to "cancel" interference entering through the sidelobes of the main channel response. Part b depicts the main channel, auxiliary branch, and overall system response when an interferer arrives from direction $\theta_1$.
The beamformer (see Section III). It has a highly directional response, which is pointed in the desired signal direction. Interfering signals are assumed to enter through the main channel sidelobes. The auxiliary channels also receive the interfering signals. The goal is to choose the auxiliary channel weights to cancel the main channel interference component. This implies that the responses to interferers of the main channel and linear combination of auxiliary channels must be identical. The overall system then has a response of zero as illustrated in Fig. 4.1b. In general, requiring zero response to all interfering signals is either not possible or can result in significant white noise gain. Thus, the weights are usually chosen to trade off interference suppression for white noise gain by minimizing the expected value of the total output power as indicated in Table 4.1.
Choosing the weights to minimize output power can cause cancellation of the desired signal, since it also contributes to total output power. In fact, as the desired signal gets stronger it contributes to a larger fraction of the total output power and the percentage cancellation increases. Clearly this is an undesirable effect. The MSC is very effective in applications where the desired signal is very weak (relative to the interference), since the optimum weights will not pay any attention to it, or when the desired signal is known to be absent during certain time periods. The weights can be adapted in the absence of the desired signal and frozen when it is present.
B. Use of Reference Signal
If the desired signal were known, then the weights could be chosen to minimize the error between the beamformer output and the desired signal. Of course, knowledge of the desired signal eliminates the need for beamforming. However, for some applications enough may be known about the desired signal to generate a signal that closely represents it. This signal is called a reference signal. As indicated in Table 4.1, the weights are chosen to minimize the mean square error between the beamformer output and the reference signal.
The weight vector depends on the cross covariance between the unknown desired signal present in $x$ and the reference signal. Acceptable performance is obtained provided this approximates the covariance of the unknown desired signal with itself. For example, if the desired signal is amplitude modulated, then acceptable performance is often obtained by setting the reference signal equal to the carrier. It is also assumed that the reference signal is uncorrelated with interfering signals in $x$. The fact that the direction of the desired signal does not need to be known is a distinguishing feature of the reference signal approach.
C. Maximization of Signal to Noise Ratio
Here the weights are chosen to directly maximize the signal to noise ratio (SNR) as indicated in Table 4.1. A general solution for the weights requires knowledge of both the desired signal, $R_d$, and noise, $R_n$, covariance matrices. The attainability of this knowledge depends on the application. For example, in an active radar system $R_n$ can be estimated during the time that no signal is being transmitted and $R_d$ can be obtained from knowledge of the transmitted pulse and direction of interest. If the signal component is narrowband, of frequency $\omega$, and direction $\theta$, then $R_d = \alpha^2 d(\theta, \omega)d^*(\theta, \omega)$ from the results in Section II. In this case the weights are obtained as
$$w = \alpha R_n^{-1}d(\theta, \omega)$$ \hspace{1cm} (4.1)
where the $\alpha$ is some non-zero complex constant. Substitution of (4.1) into the SNR expression shows that the SNR is independent of the value chosen for $\alpha$.
D. Linearly Constrained Minimum Variance Beamforming
In many applications none of the above approaches is satisfactory. The desired signal may be of unknown strength and may always be present, resulting in signal cancellation with the MSC and preventing estimation of signal and noise covariance matrices in the maximum SNR processor. Lack of knowledge about the desired signal may prevent utilization of the reference signal approach. These limitations can be overcome through the application of linear constraints to the weight vector. Use of linear constraints is a very general approach that permits extensive control over the adapted response of the beamformer. In this subsection we illustrate how linear constraints can be employed to control beamformer response, discuss the optimum linearly constrained beamforming problem, and present the generalized sidelobe canceller structure.
The basic idea behind linearly constrained minimum variance (LCMV) beamforming is to constrain the response of the beamformer so signals from the direction of interest are passed with specified gain and phase. The weights are chosen to minimize output variance or power subject to the response constraint. This has the effect of
preserving the desired signal while minimizing contributions to the output due to interfering signals and noise arriving from directions other than the direction of interest. The analogous FIR filter has the weights chosen to minimize the filter output power subject to the constraint that the filter response to signals of frequency $\omega_0$ be unity.
In Section II we saw that the beamformer response to a source at angle $\theta$ and temporal frequency $\omega$ is given by $w^H d(\theta, \omega)$. Thus, by linearly constraining the weights to satisfy $w^H d(\theta, \omega) = g$, where $g$ is a complex constant, we ensure that any signal from angle $\theta$ and frequency $\omega$ is passed to the output with response $g$. Minimization of contributions to the output from interference (signals not arriving from $\theta$ with frequency $\omega$) is accomplished by choosing the weights to minimize the expected value of output power or variance $E[|y|^2] = w^H R_s w$. The LCMV problem for choosing the weights is thus written
$$\min_{w} w^H R_s w \quad \text{subject to} \quad d^*(\theta, \omega) w = g^*.$$ \hspace{1cm} (4.2)
The method of Lagrange multipliers can be used to solve (4.2) resulting in
$$w = g^* \frac{R_s^{-1} d(\theta, \omega)}{d^*(\theta, \omega) R_s^{-1} d(\theta, \omega)}. \hspace{1cm} (4.3)$$
Note that in practice the presence of uncorrelated noise will ensure that $R_s$ is invertible. If $g = 1$, then (4.3) is often termed the minimum variance distortionless response (MVDR) beamformer. It can be shown that (4.3) is equivalent to the maximum SNR solution given in (4.1) by substituting $\sigma^2 d^*(\theta, \omega) d^{(H)}(\theta, \omega) + R_s$ for $R_s$ in (4.3) and applying the matrix inversion lemma.
The single linear constraint in (4.2) is easily generalized to multiple linear constraints for added control over the beampattern. For example, if there is a fixed interference source at a known direction $\phi$, then it may be desirable to force zero gain in that direction in addition to maintaining the response $g$ to the desired signal. This is expressed as
$$\begin{bmatrix} d^*(\theta, \omega) \\ d^*(\phi, \omega) \end{bmatrix} w = \begin{bmatrix} g^* \\ 0 \end{bmatrix}. \hspace{1cm} (4.4)$$
If there are $L < N$ linear constraints on $w$, we write them in the form $C^H w = f$ where the $N$ by $L$ matrix $C$ and $L$ dimensional vector $f$ are termed the constraint matrix and response vector. The constraints are assumed to be linearly independent so $C$ has rank $L$. The LCMV problem and solution with this more general constraint equation are given in Table 4.1.
**Constraint Design.** Several different philosophies can be employed for choosing the constraint matrix and response vector. We discuss point (Kelly and Levin [1964]), derivative (Owsley [1973], Er and Cantonni [1983]), and eigenvector (Buckley [1987]) constraints below. In many applications, a combination of the different types of constraints is most effective. Each linear constraint uses one degree of freedom in the weight vector so with $L$ constraints there are only $N - L$ degrees of freedom available for minimizing variance.
Point constraints fix the beamformer response at points of spatial direction and temporal frequency. Equation (4.4) represents an example of two point constraints on $w$. The number of points at which response can be constrained is limited to $N$. If $N$ constraints are used then there are no degrees of freedom left for power minimization and a data independent beamformer is obtained.
Derivative constraints are employed to influence response over a region of direction and/or frequency by forcing the derivatives of the beamformer response at some point of direction and frequency to be zero. They are usually employed in conjunction with point constraints. An example where derivative constraints are useful is when the desired signal direction is only known approximately. If the signal arrives near the direction at which a point constraint is employed, then application of a derivative constraint at that point prevents the beamformer from synthesizing a response of zero to the desired signal.
Eigenvector constraints are based on a least squares approximation to the desired response and are typically used to control beamformer response over regions of direction and/or frequency. Constraining the beamformer response in a least squares sense ensures that the mean square error between desired and actual beamformer response over a region is minimized for a given number of constraints. In this sense eigenvector constraints are efficient. Consider designing a set of constraints which will control the beamformer response to a source from direction $\theta_o$ over the frequency band $[\omega_a, \omega_b]$. The dimension of the span of $d(\theta_o, \omega)$ over this band is approximately given by the source TBWP discussed in Section II. Eigenvector constraints are derived from (3.1) by choosing $P$ significantly greater than the TBWP. The $\omega_i$ then oversample $[\omega_a, \omega_b]$ and $A$ is ill-conditioned. A rank $L$ approximation of $A$ is obtained from its singular value decomposition
$$A_L = V \Sigma_L U^H \hspace{1cm} (4.5)$$
where $\Sigma_L$ is an $L$ by $L$ diagonal matrix containing the largest singular values of $A$, and the $L$ columns of $V$ and $U$ are respectively the left and right singular vectors of $A$ corresponding to these singular values. Replacing $A$ in (3.1) by its rank $L$ approximate (4.5) and bringing $U \Sigma_L$ to the right side (the pseudo inverse of $U$ is $U^H$), yields
$$V^H w = \Sigma_L^{-1} U^H r_d. \hspace{1cm} (4.6)$$
Equation (4.6) has the same form as the constraint equation $C^H w = f$. The columns of $V$ correspond to the eigenvectors of $AA^H$; hence the name eigenvector constraints. (Note that $AA^H$ represents an approximation of $R_s$ in (2.9) if $S(\omega) = 1$.)
**Example.** Fig. 4.2 depicts the response of an LCMV beamformer at eight equally spaced frequencies on the interval $[2\pi/5, 4\pi/5]$ when two interferers arrive from $-17.5$ and $-5.75$ degrees in the presence of white noise. The interferer power levels relative to the white noise are
30 and 40 dB, respectively, and the interferers have a flat spectrum on $[2\pi/5, 4\pi/5]$. The array has sixteen linear equi-spaced sensors with five taps per sensor. The tap spacing is normalized to one second and the sensors are spaced at one-half wavelength corresponding to frequency $4\pi/5$. The response is constrained to pass signals arriving from 18 degrees in the band $[2\pi/5, 4\pi/5]$, with unit gain and linear phase using ten eigenvector constraints designed from (4.6). The effectiveness of the constraints is evident, since all the frequency curves pass through zero dB at 18 degrees. The response has nulls in the directions of the interferers with the deeper null corresponding to the stronger interferer. The response as a function of frequency for the interferer directions is plotted in Fig. 6.2. The array gain is 50 dB for this example.
**Generalized Sidelobe Canceller.** The generalized sidelobe canceller (GSC) represents an alternative formulation of the LCMV problem, which provides insight, is useful for analysis, and can simplify LCMV beamformer implementation. It also illustrates the relationship between the MSC and LCMV beamforming. Essentially, the GSC is a mechanism for changing a constrained minimization problem into unconstrained form. Perhaps the first reference to this concept is in Hanson and Lawson [1969], where a procedure for transforming constrained least squares problems to unconstrained least squares problems is given. Griffiths and Jim [1982] applied the same concept to LCMV beamforming and coined the term GSC. Similar techniques were discussed in Applebaum and Chapman [1976].
Suppose we decompose the weight vector $\mathbf{w}$ into two orthogonal components $\mathbf{w}_o$ and $-\mathbf{v}$ ($\mathbf{w} = \mathbf{w}_o - \mathbf{v}$) that lie in the range and null space of $C$, respectively. The range and null space of a matrix span the entire space so this decomposition can be used to represent any $\mathbf{w}$. Since $C^H\mathbf{v} = 0$, we must have
$$\mathbf{w}_o = C(C^HC)^{-1}\mathbf{f} \quad (4.7)$$
if $\mathbf{w}$ is to satisfy the constraints. (4.7) is the minimum $L_2$ norm solution to the underdetermined equivalent of (3.1). The vector $\mathbf{v}$ is a linear combination of the columns of an $N$ by $N-L$ matrix $C_n(\mathbf{v} = C_n\mathbf{w}_n)$ provided the columns of $C_n$ form a basis for the null space of $C$. $C_n$ can be obtained from $C$ using any of several orthogonalization procedures such as Gram-Schmidt, QR decomposition, or singular value decomposition. The weight vector $\mathbf{w} = \mathbf{w}_o - C_n\mathbf{w}_n$ is depicted in block diagram form in Fig. 4.3. The choice for $\mathbf{w}_n$ and $C_n$ implies that $\mathbf{w}$ satisfies the constraints independent of $\mathbf{w}_n$ and reduces the LCMV problem to the unconstrained problem
$$\min_{\mathbf{w}_n} [\mathbf{w}_o - C_n\mathbf{w}_n]^H R_x [\mathbf{w}_o - C_n\mathbf{w}_n]. \quad (4.8)$$
The solution is
$$\mathbf{w}_n = (C_n^HR_xC_n)^{-1}C_n^HR_x\mathbf{w}_o. \quad (4.9)$$
**Figure 4.3** The generalized sidelobe canceller (GSC) represents an implementation of the LCMV beamformer in which the adaptive weights are unconstrained. It consists of a fixed beamformer, $\mathbf{w}_o$, signal blocking matrix, $C_n$, and unconstrained adaptive weight vector $\mathbf{w}_n$.
The primary implementation advantages of this alternate but equivalent formulation stem from the facts that the weights $\mathbf{w}_n$ are unconstrained and a data independent beamformer $\mathbf{w}_o$ is implemented as an integral part of the adaptive beamformer. The unconstrained nature of the adaptive weights permits much simpler adaptive algorithms to be employed and the data independent beamformer is useful in situations where adaptive signal cancellation occurs (see subsection E).
As an example, assume the constraints are as given in (4.2). (4.7) implies $\mathbf{w}_o = g^H d(\theta, \omega)/|d^H(\theta, \omega)d(\theta, \omega)|$. $C_n$ satisfies $d^H(\theta, \omega)C_n = 0$ so each column $[C_n]_i; \ 1 \leq i \leq N-L$, can be viewed as a data independent beamformer with a null in direction $\theta$ at frequency $\omega$: $d^H(\theta, \omega)[C_n]_i = 0$. Thus, a signal of frequency $\omega$ and direction $\theta$ arriving at the array will be blocked or nulled by the matrix $C_n$. In general, if the constraints are designed to present a specified response to signals from a set of directions and frequencies, then the columns of $C_n$ will block those directions and frequencies. This characteristic has led to the term “blocking matrix” for $C_n$. These signals are only processed by $\mathbf{w}_o$ and since $\mathbf{w}_o$ satisfies the constraints, they are presented
with the desired response independent of \( \mathbf{w}_n \). Signals from directions and frequencies over which the response is not constrained will pass through the upper branch in Fig. 4.3 with some response determined by \( \mathbf{w}_n \). The lower branch chooses \( \mathbf{w}_n \) to estimate the signals at the output of \( \mathbf{w}_n \) as a linear combination of the data at the output of the blocking matrix. This is similar to the operation of the MSC, in which weights are applied to the output of auxiliary sensors in order to estimate the primary channel output (see Fig. 4.1).
**E. Signal Cancellation in Statistically Optimum Beamforming.**
Optimum beamforming requires some knowledge of the desired signal characteristics, either its statistics (for maximum SNR or reference signal methods), its direction (for the MSC), or its response vector \( \mathbf{d}(\theta, \omega) \) (for the LCMV beamformer). If the required knowledge is inaccurate, the optimum beamformer will attenuate the desired signal as if it were interference. Cancellation of the desired signal is often significant, especially if the SNR of the desired signal is large (Cox [1973]). Several approaches have been suggested to reduce this degradation (e.g., Jablon [1986], Cox et al. [1987]).
A second cause of signal cancellation is correlation between the desired signal and one or more interference signals. This can result either from multipath propagation of a desired signal or from smart (correlated) jamming. When interference and desired signals are uncorrelated the beamformer attenuates interferers to minimize output power. However, with a correlated interferer the beamformer minimizes output power by processing the interfering signal in such a way as to cancel the desired signal. If the interferer is partially correlated with the desired signal, then the beamformer will cancel the portion of the desired signal that is correlated with the interferer. Methods for reducing signal cancellation due to correlated interference have been suggested (e.g., Widrow et al. [1982], Shan and Kailath [1985], Yang and Kaveh [1987]).
**V. ADAPTIVE ALGORITHMS FOR BEAMFORMING**
The optimum beamformer weight vector equations listed in Table 4.1 require knowledge of second order statistics. These statistics are usually not known, but with the assumption of ergodicity, they (and therefore the optimum weights) can be estimated from available data. Statistics may also change over time (e.g., due to moving interferers). To solve these problems, weights are typically determined by adaptive algorithms.
There are two basic adaptive approaches: 1) block adaptation, where statistics are estimated from a temporal block of array data and used in an optimum weight equation; and 2) continuous adaptation, where the weights are adjusted as the data is sampled such that the resulting weight vector sequence converges to the optimum solution. If a nonstationary environment is anticipated, block adaptation can be used, provided that the weights are recomputed periodically. Adams, et al. [1980] and others have described applications of block data processing. Continuous adaptation is usually preferred when statistics are time-varying or (for computational reasons) when the number of adaptive weights \( M \) is moderate to large (values of \( M > 50 \) are not uncommon).
Among notable adaptive algorithms proposed for beamforming are the Howells-Applebaum adaptive loop developed in the late 1950’s and reported by Howells [1966, 1976] and Applebaum [1966], and the Frost LCMV algorithm [1972]. Rather than recapitulating adaptive algorithms for each optimum beamformer listed in Table 4.1 (for this see texts by Monzingo and Miller [1980], Hudson [1981] and Compton [1988]), we take a unifying approach using the standard adaptive filter problem illustrated in Fig. 5.1.
In Fig. 5.1 the weights are chosen to estimate the desired signal \( y_d \) as linear combination of the elements of the data vector \( \mathbf{u} \). We select \( \mathbf{w}_M \) to minimize the MSE
\[
J(\mathbf{w}_M) = E\{|y_d - \mathbf{w}_M^H \mathbf{u}|^2\}
= \sigma_d^2 - \mathbf{w}_M^H \mathbf{r}_{ud} + \mathbf{r}_{ud}^H \mathbf{w}_M + \mathbf{w}_M^H \mathbf{R}_u \mathbf{w}_M,
\]
(5.1)
where \( \sigma_d^2 = E\{|y_d|^2\}, \mathbf{r}_{ud} = E\{\mathbf{u} y_d^*\} \) and \( \mathbf{R}_u = E\{\mathbf{u} \mathbf{u}^H\} \). (5.1) is minimized by
\[
\mathbf{w}_{opt} = \mathbf{R}_u^{-1} \mathbf{r}_{ud}.
\]
(5.2)
Comparison of (5.1) and the criteria listed in Table 4.1 indicates that this standard adaptive filter problem is equivalent to both the MSC beamformer problem (with \( y_d = y_m \) and \( \mathbf{u} = \mathbf{x}_m \)) and the reference signal beamformer problem (with \( \mathbf{u} = \mathbf{x} \)). The LCMV problem is apparently different. However closer examination of Figs. 4.3, 5.1, and Equations (4.9), (5.2) reveals that the standard adaptive filter problem is equivalent to the LCMV problem implemented with the GSC structure. Setting \( \mathbf{u} = \mathbf{C}_d^T \mathbf{x} \) and \( y_d = \mathbf{w}_M^H \mathbf{x} \) implies \( \mathbf{R}_u = \mathbf{C}_d^T \mathbf{R}_x \mathbf{C}_d \), and \( \mathbf{r}_{ud} = \mathbf{C}_d^T \mathbf{R}_x \mathbf{w}_M \). The maximum SNR beamformer can not in general be represented by Fig. 5.1 and Equation (5.2). However, it was noted after (4.3) that if the desired signal is narrowband, then the maximum SNR and the LCMV beamformers are equivalent.
The block adaptation approach solves (5.2) using estimates of \( \mathbf{R}_u \) and \( \mathbf{r}_{ud} \) formed from \( K \) samples of \( \mathbf{u} \) and \( y_d \): \( \mathbf{u}(k), y_d(k); \ 0 \leq k \leq K - 1 \). The most common are the sample covariance matrix
\[
\hat{\mathbf{R}}_u = \frac{1}{K} \sum_{k=0}^{K-1} \mathbf{u}(k) \mathbf{u}^H(k)
\]
and sample cross-covariance vector
\[ \hat{r}_{ud} = \frac{1}{K} \sum_{k=0}^{K-1} u(k)y^*(k). \]
Performance analysis and guidelines for selecting the block size \( K \) are provided in Reed et al. [1974].
Continuous adaptation algorithms are easily developed in terms of Fig. 5.1 and Equation (5.1). Note that \( J(w_M) \) is a quadratic error surface. Since the quadratic surface’s “Hessian” \( R_u \) is the covariance matrix of noisy data, it is positive definite. This implies that the error surface is a “bowl.” The shape of the bowl is determined by the eigenstructure of \( R_u \). The optimum weight \( w_{opt} \) corresponds to the bottom of the bowl.
One approach to adaptive filtering is to envision a point on the error surface that corresponds to the present weight vector \( w_M(k) \). We select a new weight vector \( w_M(k + 1) \) so as to descend on the error surface. The gradient vector
\[
\nabla_{w_M(k)} = \left. \frac{\partial}{\partial w_M} J(w_M) \right|_{w_M = w_M(k)} \\
= -2r_{ud} + 2R_u w_M(k)
\]
(5.3)
tells us the direction in which to adjust the weight vector. Steepest descent, i.e., adjustment in the negative gradient direction, leads to the popular least-mean-square (LMS) adaptive algorithm. The LMS algorithm replaces \( \nabla_{w_M(k)} \) with the instantaneous gradient estimate \( \hat{\nabla}_{w_M(k)} = -2[u(k)y^*(k) - u(k)u^*(k)w_M(k)] \). Denoting \( y(k) = y_d(k) - w_M^*(k)u(k) \), we have
\[ w_M(k + 1) = w_M(k) + \mu u(k)y^*(k). \]
(5.4)
The gain constant \( \mu \) controls convergence characteristics of the random vector sequence \( w_M(k) \). Table 5.1 provides guidelines for its selection.
The primary virtue of the LMS algorithm is its simplicity. Its performance is acceptable in many applications; however, its convergence characteristics depend on the shape of the error surface and therefore the eigenstructure of \( R_u \). When the eigenvalues are widely spread, convergence can be slow and other adaptive algorithms with better convergence characteristics should be considered. Alternative procedures for searching the error surface have been proposed in addition to algorithms based on least-squares and Kalman filtering. Roughly speaking, these algorithms trade-off computational requirements with speed of convergence to \( w_{opt} \). We refer you to texts on adaptive filtering for detailed descriptions and analysis (Widrow and Stearns [1985], Haykin [1986], Alexander [1986], Treichler et al. [1987], and others).
One alternative to LMS is the exponentially weighted recursive least squares (RLS) algorithm. At the \( K^{th} \) time
### TABLE 5.1
**Comparison of the LMS and RLS Weight Adaptation Algorithms**
| Algorithm | **LMS** | **RLS** |
|-----------|---------|---------|
| **Initialization** | \( w_M(0) = 0 \) | \( w_M(0) = 0 \) |
| | \( y(0) = y_d(0) \) | \( P(0) = \delta^{-1}I \) |
| | \( 0 < \mu < \frac{1}{Trace[R_u]} \) | \( \delta \) small, \( I \) identity matrix |
| **Update Equations** | \( w_M(k) = w_M(k - 1) + \mu u(k - 1)y^*(k - 1) \) | \( v(k) = P(k - 1)u(k) \) |
| | \( y(k) = y_d(k) - w_M^*(k)u(k) \) | \( k(k) = \frac{\lambda^{-1}v(k)}{1 + \lambda^{-1}u^*(k)v(k)} \) |
| | | \( \alpha(k) = y_d(k) - w_M^*(k - 1)u(k) \) |
| | | \( w_M(k) = w_M(k - 1) + k(k)\alpha^*(k) \) |
| | | \( P(k) = \lambda^{-1}P(k - 1) - \lambda^{-1}k(k)v^*(k) \) |
| | | \( 4M^2 + 4M + 2 \) |
| **Multiplies per update** | \( 2M \) | |
| **Performance Characteristics** | Under certain conditions, convergence of \( w_M(k) \) to the statistically optimum weight vector \( w_{opt} \) in the mean-square sense is guaranteed if \( \mu \) is chosen as indicated above. The convergence rate is governed by the eigenvalue spread of \( R_u \). For large eigenvalue spread, convergence can be very slow. | The \( w_M(k) \) represents the least-squares solution at each instant \( k \) and are optimum in a deterministic sense. Convergence to the statistically optimum weight vector \( w_{opt} \) is often faster than that obtained using the LMS algorithm because it is independent of the eigenvalue spread of \( R_u \). |
IEEE ASSP MAGAZINE APRIL 1988
step, \( \mathbf{w}_M(K) \) is chosen to minimize a weighted sum of past squared errors
\[
\min_{\mathbf{w}_M(K)} \sum_{k=0}^{K} \lambda^{K-k} |y_d(k) - \mathbf{w}_M^H(K)\mathbf{u}(k)|^2.
\]
(5.5)
\( \lambda \) is a positive constant less than one which determines how quickly previous data are deemphasized. The RLS algorithm is obtained from (5.5) by expanding the magnitude squared and applying the matrix inversion lemma. Table 5.1 summarizes both the LMS and RLS algorithms.
VI. INTERFERENCE CANCELLATION AND PARTIALLY ADAPTIVE BEAMFORMING
The computational requirements of each update in adaptive algorithms are proportional to either the weight vector dimension \( M \) or dimension squared (\( M^2 \)). If \( M \) is large, this requirement is quite severe and for practical real time implementation it is often necessary to reduce \( M \).
The expression degrees of freedom refers to the number of unconstrained or “free” weights in an implementation. For example, an LCMV beamformer with \( L \) constraints on \( N \) weights has \( N-L \) degrees of freedom; the GSC implementation separates these as the unconstrained weight vector \( \mathbf{w}_o \). There are \( M \) degrees of freedom in the structure of Fig. 5.1. A fully adaptive beamformer uses all available degrees of freedom and a partially adaptive beamformer uses a reduced set of degrees of freedom. Reducing degrees of freedom lowers computational requirements and often improves adaptive response time.\(^1\) However, there is a performance penalty associated with reducing degrees of freedom. A partially adaptive beamformer cannot converge to the same optimum solution as the fully adaptive beamformer. The goal of partially adaptive beamformer design is to reduce degrees of freedom without significant degradation in performance.
The discussion in this section is general, applying to different types of beamformers although we borrow much of the notation from the GSC. We assume the beamformer is described by the adaptive structure of Fig. 5.1 where the desired signal \( y_d \) is obtained as \( y_d = \mathbf{w}_o^H x \) and the data vector \( \mathbf{u} \) as \( \mathbf{u} = T^H x \). Thus, the beamformer output is \( y = \mathbf{w}^H x \) where \( \mathbf{w} = \mathbf{w}_o - T \mathbf{w}_M \). In order to distinguish between fully and partially adaptive implementations we decompose \( T \) into a product of two matrices \( C_n T_M \). The definition of \( C_n \) depends on the particular beamformer and \( T_M \) represents the mapping which reduces degrees of freedom. The MSC and GSC are obtained as special cases of this representation. In the MSC \( \mathbf{w}_o \) is an \( N \) vector that selects the primary sensor, \( C_n \) is an \( N \) by \( N-1 \) matrix that selects the \( N-1 \) possible auxiliary sensors from the complete set of \( N \) sensors, and \( T_M \) is an \( N-1 \) by \( M \) matrix that selects the \( M \) auxiliary sensors actually utilized. In terms of the GSC, \( \mathbf{w}_o \) and \( C_n \) are defined as in Section IV and \( T_M \) is an \( N-L \) by \( M \) matrix that reduces degrees of freedom (\( M < N-L \)).
This section begins by considering the interference cancellation process in these general beamformer implementations. This develops the intuition required for understanding why and how the number of adaptive weights can be reduced. We conclude this section by surveying different partially adaptive beamformer design philosophies.
A. Interference Cancellation Vs Degrees of Freedom.
The results in this subsection depend on \( T \) and are independent of the individual terms \( C_n \) and \( T_M \). We assume that the beamformer does not cancel the desired signal (see Section IV.E.) and that the optimum weights affect only interferers and uncorrelated noise. This simplifies the analysis by permitting us to exclude consideration of the desired signal.
Suppose a narrowband interfering source of frequency \( \omega_o \) arrives at the array from direction \( \theta_1 \). The response of the \( \mathbf{w}_o \) branch is \( g_1 = \mathbf{w}_o^H d(\theta_1, \omega_o) \). Perfect cancellation of this source requires \( \mathbf{w}^H d(\theta_1, \omega_o) = 0 \) so we must choose \( \mathbf{w}_M \) to satisfy
\[
\mathbf{w}_M^H T^H d(\theta_1, \omega_o) = g_1.
\]
(6.1)
If we assume that \( T^H d(\theta_1, \omega_o) \) is nonzero, (6.1) represents a system of one equation in \( M \) unknowns (elements of \( \mathbf{w}_M \)) for which a solution always exists. To simultaneously cancel a second interferer located at \( \theta_2 \), \( \mathbf{w}_M \) must satisfy
\[
\mathbf{w}_M^H [T^H d(\theta_1, \omega_o) \ T^H d(\theta_2, \omega_o)] = [g_1, g_2]
\]
(6.2)
where \( g_2 = \mathbf{w}_o^H d(\theta_2, \omega_o) \). Assuming \( T^H d(\theta_2, \omega_o) \) and \( T^H d(\theta_2, \omega_o) \) are linearly independent and nonzero, and provided \( M \geq 2 \), then at least one \( \mathbf{w}_M \) exists that satisfies (6.2). Continuing this reasoning, we see that \( \mathbf{w}_M \) can be chosen to cancel \( M \) narrowband interferers (assuming the \( T^H d(\theta_i, \omega_o) \) are linearly independent and nonzero), independent of \( T \). Total cancellation occurs if \( \mathbf{w}_M \) is chosen so the response of \( T \mathbf{w}_M \) perfectly matches the \( \mathbf{w}_o \) branch response to the interferers.
So far we have only considered narrowband point interferers. Uncorrelated noise will be present in any real system and contributes to the output power. In an optimum beamformer \( \mathbf{w}_M \) is chosen to minimize the overall output power. Recall that the output power due to uncorrelated noise is proportional to the \( L_2 \) norm squared of the overall weight vector \( \mathbf{w} \) (white noise gain). The norm of \( \mathbf{w} \) can become large when \( \mathbf{w}_M \) is chosen to provide total interference cancellation, depending on the choice for \( T \) and the interferer locations. Thus, although in principle point sources of energy in direction and frequency can be totally canceled with one weight per interferer independent of \( T \), the presence of uncorrelated noise results in the degree of cancellation being dependent on the mapping described by \( T \).
Now consider interferers that are spatial point sources but emit broadband energy on the band \( \omega_a \leq \omega \leq \omega_b \). The response of the \( \mathbf{w}_o \) branch to an interferer at \( \theta_1 \) is \( \mathbf{w}_o^H d(\theta_1, \omega) = g_1(\omega) \). To achieve total cancellation \( \mathbf{w}_M \) must
be chosen to satisfy
\[ w_o^H T^H d(\theta_1, \omega) = g_i(\omega) \quad \omega_a \leq \omega \leq \omega_b . \tag{6.3a} \]
Define the response of each column of \( T \) as
\[ f_i(\omega) = [T]^H d(\theta_1, \omega) \quad 1 \leq i \leq M \tag{6.3b} \]
where \([T]^i\) denotes the \( i \)th column of \( T \). (6.3a) requires \( g_i(\omega) \) to be expressed as a linear combination of the \( f_i(\omega), 1 \leq i \leq M, \) on \( \omega_a \leq \omega \leq \omega_b \). In general, this cannot be accomplished and we conclude that total cancellation of broadband interference cannot be obtained. The output power due to the broadband interferer can be expressed as the integral over frequency of the magnitude squared of the difference between the \( w_o \) branch and adaptive branch responses weighted by the interferer power spectrum. The degree of cancellation can vary dramatically and is critically dependent on the interferer direction, frequency content, and choice for \( T \). Good cancellation can be obtained in some situations when \( M = 1 \), while in others even large values of \( M \) result in poor cancellation. These conclusions are also valid for narrowband sources that are broad in direction (spatially distributed radiation).
**B. Partially Adaptive Beamformer Design.**
The preceding discussion indicates that the degree of interference cancellation is critically dependent on the ability of the adaptive channel (\( T w_o \)) to match the main beam response over the interferer frequency extent. This provides a means by which to evaluate partially adaptive beamformers. The majority of work reported on partially adaptive beamforming has been concerned with narrowband environments. We begin with a discussion of several narrowband approaches and briefly discuss their extension to broadband situations. We then consider techniques that are directly applicable to broadband situations. Some techniques select \( T_M \) for a given \( C_n \), while others select \( T \) directly.\(^2\)
Several approaches to reducing degrees of freedom are based on processing a subset of the outputs of the matrix \( C_n \). This implies that \( T_M \) is a sparse matrix of zeros and ones. The outputs of \( C_n \) in the MSC are simply auxiliary sensor outputs. Morgan [1978] evaluated partially adaptive beamformer performance when \( T_M \) selected various subsets of the auxiliary outputs. This is termed an element space approach, since a subset of the sensor element outputs is utilized. Several investigators, including Vural [1977], Adams, et al. [1980], and Gabriel [1986a] have considered choosing the columns of \( T \) to form beams. This is traditionally termed a beam space approach. The columns of \( C_n \) are designed as data independent beamformers, each steered to a different direction, and \( T_M \) can be used to select a subset of the beam outputs. The objective is to direct a beam at each interfering source so that it can be subtracted from the output of the \( w_o \) branch. One way to accomplish this is by selecting enough beams to cover all possible directions from which interferers might arrive. Another is to utilize source direction finding techniques to select which beams correspond to estimated interferer directions. The biggest advantage of the element space approach is the simplicity of implementation. Improved performance obtained using beam space processing is especially evident for interference due to either spatially distributed sources or sources with appreciable temporal bandwidth. However, this improvement is obtained at the expense of implementing the required beams.
Chapman [1976] and Owsley [1978] have considered choosing the columns of \( T \) to select subarrays, i.e., each column involves only a subset of the sensors in the array. The weightings applied to each subarray (elements of \( T \)) can be chosen in various ways, one of which is to use the subarray to form a beam. Performance depends on the number of sensors in each subarray, which sensors are used in each subarray, and the weightings used to combine the sensor outputs in each subarray. Note that each column of \( T \) will have zeros in locations corresponding to sensors excluded from that subarray, so the overall \( T \) is of sparse structure.
Owsley [1985] suggests a narrowband method for the GSC in which the columns of \( T_M \) are chosen as a basis for the space spanned by the fully adaptive weight vectors. The dimension of this space is given by the rank of the spatially correlated component of the interference covariance matrix. Van Veen [1988a] extended this approach to the broadband case. The dimension of the fully adaptive space can be large in this case since it is given by the rank of the correlated components of the broadband interference covariance matrix.
The above approaches are capable of satisfactory performance with narrowband interference since cancellation requires about one degree of freedom per interferer to match the main beam response at each interferer direction. However, with broadband interference the main beam response must be matched over a range of frequency at each interferer direction. Although the narrowband approaches can be extended, it is difficult to do this and keep the number of adaptive weights \( M \) small. For example, several banks of beams could be designed to span the range of directions, with each bank operating at different frequency. The problem is that the number of beams required can become large as the frequency bandwidth increases. We seek a \( T \) that is efficient, i.e., provides good cancellation with a minimum of columns.
Van Veen and Roberts [1987a] have considered an optimization based approach for choosing the columns of \( T \) in the context of LCMV beamforming. The matrix \( C_n \) is designed to meet the constraints, reducing the problem to an unconstrained optimization over the elements of \( T_M \). \( T_M \) is chosen to minimize the average interference output power over a range of likely interference environments. Let a vector \( \alpha \) parameterize the interference environment of interest. In general \( \alpha \) can represent interferer locations, power levels, spectral distributions, numbers of interferers, etc. Defining $P_i(\alpha)$ as the interference output power, $T_M$ is chosen according to
$$\min_{T_M} \int_{\alpha_a}^{\alpha_b} P_i(\alpha) \, d\alpha$$ \hspace{1cm} (6.4)
where $[\alpha_a, \alpha_b]$ denotes the set of interference scenarios of interest. Since output power corresponds to the error between the $w_o$ branch and adaptive channel responses, in effect (6.4) selects $T_M$ to provide the best response match possible for interference environments in $[\alpha_a, \alpha_b]$.
Equation (6.4) represents a design problem that is nonlinear in the design parameters (elements of $T_M$). A suboptimal approach to solving (6.4), in which $T_M$ is sequentially designed one column at a time, has been shown to be effective in achieving nearly fully adaptive interference cancellation using a small adaptive dimension. The problem is still nonlinear; however an effective approximate solution is obtained by solving a linear least squares problem. An interpretation of this approximate solution is given in Van Veen [1988b].
Fig. 6.1 illustrates the magnitude response at several frequencies for a partially adaptive beamformer designed using this approach for the same interference environment and array geometry as the fully adaptive example in Section IV (see Fig. 4.2). The partially adaptive beamformer has 28 adaptive weights compared to 70 for the fully adaptive beamformer. Fig. 6.2 compares the magnitude response of the fully and partially adaptive beamformers as a function of frequency at the interferer DOA's. $T_M$ is designed assuming $\alpha$ is a two-dimensional vector with each element corresponding to the DOA of an interferer. Both interferers have white spectra on $2\pi/5 \leq \omega \leq 4\pi/5$ and power levels of 40 dB relative to white noise. The region $[\alpha_a, \alpha_b]$ includes all DOA's between -45 and 45 degrees. Partially and fully adaptive array gain was evaluated at 190 points in this region; the maximum difference between partially adaptive and fully adaptive array gain was 2.4 dB and the average .7 dB for this particular design.
VII. BEAMFORMER IMPLEMENTATIONS
In its simplest form, a beamformer represents a linear combination of the sensor data. However, there are many different ways of implementing the weighted sum, each with its own performance and complexity characteristics. The section begins by introducing a general description for implementations and then briefly overviews several beamformer implementations. For additional detail the reader is encouraged to consult the references given in this section.
In essence, most implementations can be represented by decomposing $w$ into a product of matrices and a vector
$$w = \left[ \prod_{i=1}^{v_o} V_i \right] w_v.$$ \hspace{1cm} (7.1)
$V_i$, $1 \leq i \leq v_o$, are a series of matrix transformations of conformable dimensions and $w_v$ is a vector. As a general rule, the matrix transformations are chosen to enhance performance and/or lower computational complexity. The FFT implementation of the DFT is analogous to (7.1), since the DFT matrix can be expressed as a product of permutation and butterfly matrices, representing a series of very simple computations. The GSC is an example of (7.1) where $v_o = 1$, $V_1 = [w_o | C_n]$, and $w_v = [1, w_o^H]^H$. $V_1$ simplifies adaptive algorithm implementation by permitting unconstrained adaptation of $w_o$. In order to simplify multiplication of the data by $w_o$ and $C_n$, several researchers have studied decomposition of $[w_o | C_n]$ into products of simple matrices (e.g., Kalson and Yao [1985] and Ward, et al. [1986]).
As discussed in Section II, broadband beamforming can be performed in the frequency domain or time domain. The weights used to obtain the outputs at each frequency for the frequency domain beamformer depicted in Fig. 2.4 are easily represented in terms of (7.1) by employing the matrix representation of the DFT. Frequency domain optimum beamformers usually choose the weights at each frequency based solely on the data at the frequency. This partitioning of the data influences both performance and computational complexity. Discussion and evaluation of frequency domain beamforming is given in Owsley [1985], Vural [1977], and Gabriel [1986b].
Systolic implementations of optimum beamformers have been studied by a number of investigators. They are usually designed to both compute and implement the adaptive weights. In general, systolic implementations can be described in terms of (7.1) where each $V_i$ has a structure amenable to parallel computation and local communication. McWhirter [1983] (see also Haykin [1986] ch. 10) has developed a systolic array that computes the beamformer output without explicit computation of the adaptive weight vector. Additional references to systolic implementations include Schreiber and Kuekes [1985], Ward, et al. [1986], Owsley [1987], and Van Veen and Roberts [1987b].
The study of beamformer implementations is an evolving research area. Future developments will result from advances in VLSI and parallel computing technologies.
VIII. SUMMARY
A beamformer forms a scalar output signal as a weighted combination of the data received at an array of sensors. The weights determine the spatial filtering characteristics of the beamformer and enable separation of signals having overlapping frequency content if they originate from different locations. The weights in a data independent beamformer are chosen to provide a fixed response independent of the received data. Statistically optimum beamformers select the weights to optimize the beamformer response based on the statistics of the data. The data statistics are often unknown and may change with time so adaptive algorithms are used to obtain weights that converge to the statistically optimum solution. Computational considerations dictate the use of partially adaptive beamformers with arrays composed of large numbers of sensors. Many different approaches have been proposed for implementing optimum beamformers. Future work will likely address signal cancellation problems, further reductions in computational load for large arrays and improved structures for implementation. Beamforming truly represents a versatile approach to spatial filtering.
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Kevin M. Buckley (M'81) was born in Washington, DC, on December 4, 1954. He received the B.S. and M.S. degrees in electrical engineering from Villanova University, Philadelphia, PA, in 1976 and 1980, respectively, and the Ph.D. degree in electrical engineering from the University of Southern California, Los Angeles, in 1986.
From 1980 to 1982, he worked at Sonic Sciences Inc., Warminster, PA, on communication and sonar applications of digital signal processing. In 1982–1983 he worked as a full time Instructor at Villanova University. He is currently an Assistant Professor in the Department of Electrical Engineering, University of Minnesota, Minneapolis. His primary research and teaching interests are in the theory and application of sensor array processing, spectrum estimation, and adaptive algorithms.
Barry D. Van Veen was born in Green Bay, WI, on June 20, 1961. He received the B.S. degree from Michigan Technological University in 1983 and the Ph.D. degree from the University of Colorado in 1986, both in electrical engineering. He was an ONR Fellow while working on the Ph.D. degree. In the spring of 1987 he was with the Department of Electrical and Computer Engineering at the University of Colorado–Boulder. Since August of 1987 he has been with the Department of Electrical and Computer Engineering at the University of Wisconsin–Madison as an Assistant Professor. His research interests include array processing, spectral estimation, and adaptive algorithms. |
A Pheromone Receptor Mediates 11-cis-Vaccenyl Acetate-Induced Responses in *Drosophila*
Tal Soo Ha and Dean P. Smith
Department of Pharmacology and Center for Basic Neuroscience, University of Texas Southwestern Medical Center, Dallas, Texas 75390
Insect pheromones elicit stereotypic behaviors that are critical for survival and reproduction. Defining the relevant molecular mechanisms mediating pheromone signaling is an important step to manipulate pheromone-induced behaviors in pathogenic or agriculturally important pests. The only volatile pheromone identified in *Drosophila* is 11-cis-vaccenyl acetate (VA), a male-specific lipid that mediates aggregation behavior. VA activates a few dozen olfactory neurons located in T1 sensilla on the antenna of both male and female flies. Here, we identify a neuronal receptor required for VA sensitivity. We identified two mutants lacking functional T1 sensilla and show that the expression of the VA receptor is dramatically reduced or eliminated. Importantly, we show misexpression of this receptor in non-T1 neurons, normally insensitive to VA, confers pheromone sensitivity at physiologic concentrations. Sensitivity of T1 neurons to VA requires LUSH, an extracellular odorant-binding protein (OBP76a) present in the sensillum lymph bathing trichoid olfactory neuron dendrites. Here, we show LUSH are also required in non-T1 neurons misexpressing the receptor to respond to VA. These data provide new insight into the molecular components and neuronal basis of volatile pheromone perception.
**Key words:** olfaction; olfactory; sensory perception; behavior; pheromone; receptor
**Introduction**
Chemicals released by individuals to influence the behavior of other members of the same species are defined as pheromones (for review, see Dahanukar et al., 2005). Pheromones are widely used in the animal kingdom, eliciting stereotypic behaviors in both invertebrates and vertebrates (Bigiani et al., 2005; Howard and Blomquist, 2005; Vossshall, 2005). Pheromone communication is used extensively in insects, in which a variety of chemicals trigger such diverse behaviors as mating, recruitment, aggregation, and dispersal (for review, see Vander Meer et al., 1998). However, the molecular components required for pheromone sensitivity are mostly unknown.
The only volatile pheromone identified to date in *Drosophila* is 11-cis-vaccenyl acetate (VA). This male-specific lipid induces aggregation behavior in both male and female flies (Bartelt et al., 1985; Xu et al., 2005). VA detection is mediated by olfactory neurons located in the trichoid sensilla on the ventral-lateral surface of the antenna (Clyne et al., 1997). Trichoid sensilla fall into multiple functional groups, including T1, and T2a and T2b (Clyne et al., 1997; Couto et al., 2005; Xu et al., 2005). For simplicity, the T2 types will be referred to as “non-T1” here. T1 sensilla typically contain a single olfactory neuron that is exquisitely tuned to VA, and have spontaneous action potential firing rates of ~1 spike per second (Clyne et al., 1997; Xu et al., 2005). T1 sensilla are clustered in the proximal portion of the trichoid sensilla expression zone (Xu et al., 2005) (see Fig. 1). Non-T1 sensilla as a group contain multiple neurons, have a combined spontaneous rate of ~35 spikes per second, and are not influenced by VA. Non-T1 neurons are inhibited by high concentrations of various alcohols (Clyne et al., 1997; Xu et al., 2005).
Recent work indicates the molecular mechanisms underlying pheromone perception are unique. LUSH, an extracellular odorant-binding protein (OBP76a), is required for VA-induced activation of T1 neurons and pheromone-triggered behaviors (Xu et al., 2005). LUSH is expressed exclusively in trichoid sensilla (Kim et al., 1998; Shanbhag et al., 2001, 2005). LUSH is secreted by non-neuronal support cells into the fluid bathing the trichoid olfactory neuron dendrites, but is not expressed by the neurons themselves (Kim et al., 1998; Shanbhag et al., 2001). Mutants defective for LUSH lack pheromone-induced behavioral responses and T1 sensitivity. Therefore, the binding protein is required for pheromone detection.
The LUSH protein itself appears to specifically trigger action potentials in T1 neurons, producing the normal spontaneous activity observed in wild-type animals. Spontaneous activity is reduced 400-fold in *lush* mutants, and is restored when recombinant LUSH protein is infused directly to mutant T1 sensilla (Xu et al., 2005). No effect is observed on the spontaneous activity of non-T1 neurons. Therefore, there is something in T1 sensilla lacking in non-T1 sensilla responsible for VA sensitivity and spontaneous activity in the presence of LUSH protein. A likely candidate for such a factor is a receptor expressed by T1 neurons lacking in non-T1 neurons. In this paper, we report the identification of a receptor candidate expressed by T1 neurons required for VA sensitivity.
Materials and Methods
Identification of mutants lacking T1 sensilla. We screened a subset of the Zuker EMS mutant collection (Koushikian et al., 2004) for abnormal responses to VA using single sensillum electrophysiological recordings (see below). We identified two mutants that lacked T1 sensilla, *tod*¹ (T-one-deficient) mutants (*Zer* nos. 23-6129) and *tot*¹ (T-one-transformation) mutants (*Zer* no. 23-6628).
Single sensillum recordings. Extracellular electrophysiological recordings were performed according to de Bruyne et al. (2001). Flies (2–7 d of age; males and females) were under a constant stream of charcoal-filtered air (36 ml/min; 22–25°C) to prevent any potential environmental odors from inducing activity during these studies. 11-cis-Vaccenyl acetate was diluted in paraffin oil and 1 μl was applied to filter paper and inserted in a Pasteur pipette, and air was passed over the filter and presented as the stimulus. The purity of the VA was confirmed both by nuclear magnetic resonance and by mass spectroscopy. Signals were amplified 1000× (USB-IDAC System; Synctech, Hilversum, The Netherlands) and fed into a computer via a 16-bit analog-digital converter and analyzed off-line with AUTOSPIKE software (USB-IDAC System; Synctech). Low cutoff filtering set at 200 Hz, and high pass set at 5 kHz. Action potentials were recorded using a glass electrode in the base of a sensillum. Data analysis was performed according to de Bruyne et al. (2001). Signals were recorded for 20 or 30 s, starting 10 s before VA stimulation. Action potentials were counted 1 s before VA stimulation and for 1 s after VA stimulation. All recordings were performed from separate sensilla with a maximum of two sensilla recorded from any single fly.
RT-PCR. RT–PCRs for Or gene products were performed using Trizol for RNA purification as described by the manufacturer (Invitrogen, Carlsbad, CA). The first strand of cDNA was synthesized from 1 μg of total RNA using reverse transcriptase (Ambion, Austin, TX) at 37°C for 1 h. Amplification was performed by PCR using Or67d specific primers, 5'-TTGTCACTTAATACTCACGGCTG-3' and 5'-CGCAAAGTTGTGGAAGAATTGAAACG-3'. Or83b was amplified as a control for RNA for 40 cycles using specific primer, 5'-GCCCAACAAAATCAAAGGATG-3' and 5'-GAAGCCAAATAATCCAGGGAGAC-3'. RT-PCR products were separated on vertical gels on an agarose gel and ethidium bromide staining. Identical results were obtained in three independent experiments. Primer sequences and expected products for the complete set of Or genes we tested are presented in supplemental Table 1 (available at www.jneurosci.org as supplemental material).
Scanning electron microscopic analysis. Wild-type, *tot*¹ and *tod*¹ mutants were prepared for scanning electron microscopic analysis according to (Shanhagh et al., 1999). Briefly, heads of *w¹¹¹B*, *tod*¹, and *tot*¹ flies were removed with a razor blade, and unfixed specimens were quickly coated with 20 nm gold in a sputter coater. Specimens were viewed with JSM-840A model (JEOL, Tokyo, Japan) for scanning electron microscope (10 kV). Photographs of the anterior surface of several antennas from each genotype were used to quantify the numbers of sensilla.
RNA in situ hybridization. Expression of Or67d in control, *tod*¹ and *tot*¹ mutants were investigated as described previously (Smith et al., 1998), with modifications for fluorescent probes as described by Couto et al. (2005). Antisense and sense riboprobes were transcribed from Or67d and Or83b cDNAs subcloned into PCR2.1-cloning vector (Invitrogen) using T7 RNA polymerase (Ambion). Or83b and Or67d antisense probes were incorporated with digoxigenin or fluorescein and detected with anti-DIG-POD (Roche, Indianapolis, IN) and anti-fluorescein-POD (Roche). Signals were amplified with the TSA-Plus Cyanine 5 system (PerkinElmer, Wellesley, MA) for Or83b or the TSA-Plus Fluorescence system (PerkinElmer) for Or67d (Fishelovich and Vossahl, 2005).
Misexpression of Or67d. A cDNA encoding Or67d was obtained by reverse transcription, PCR amplification of RNA isolated from antenna of *Drosophila w¹¹¹B*, a strain known to be responsive to VA pheromone (our unpublished observation) (see Figs. 1, 4). This strain has four amino acid polymorphisms compared with the predicted Or67d gene product in the genome sequence (Adams et al., 2000), specifically S98C, D238E, W252F, and S268P. These polymorphisms were confirmed as true genomic polymorphisms by sequencing clones from independent RT-PCRs. The cDNA was cloned into pUAST (Brand and Perrimon, 1993), and transgenic animals were generated using standard techniques. Or67d was misexpressed in non-T1 neurons by crossing the UAS Or67d transgenic flies to flies expressing Gal4 under control of the neuron-specific promoter for the embryonic lethal abnormal vision (ELAV) gene (Koushika et al., 1996).
Results
*tod*¹ and *tot*¹ mutants lack T1 sensilla
With the goal of identifying all genetic loci required for VA pheromone detection, we undertook a screen to recover mutants with abnormal electrophysiological responses to VA pheromone (see Materials and Methods). We identified two mutants out of 1200 lines that lack functional T1 sensilla. *tod*¹ and *tot*¹ have normal basiconic and non-T1 sensilla, but no T1 sensilla. *tod*¹ and *tot*¹ are both recessive and fail to complement one another, revealing these mutants lack T1 sensilla as a result of lesions in independent genes. Figure 1A shows examples of single-unit recordings from the trichoid zone from *tod*¹ mutants, *tot*¹ mutants, and wild-type controls. In normal flies, there is a mixture of T1 and non-T1 subtypes in the trichoid zone, but the proximal part of this zone is enriched in T1 sensilla (Clyne et al., 1997; Xu et al., 2005). Morphologically, all trichoid sensilla are indistinguishable. However, T1 and non-T1 sensilla are clearly distinguishable by electrophysiology (Clyne et al., 1997; Xu et al., 2005). In a survey of over 2000 animals, recordings from random trichoid sensilla in the proxinormal zone identify VA-sensitive T1 sensilla 89% of the time and non-T1 11% of the time (Fig. 1B) based on spontaneous activity rate and sensitivity to VA. VA could evoke activity in T1 neurons from 0.35 ± 0.14 spikes per second before stimulation to 36.89 ± 3.43 after stimulation. VA did not induce activity in non-T1 neurons (48.42 ± 3.93 before to 49.33 ± 4.13 after stimulation). Recordings from either tod\(^d\) mutants or tot\(^l\) mutants from the T1 zone always identified non-T1 sensilla. These sensilla have the classic characteristics of the non-T1 type, including lack of response to VA, more than one neuron present in the sensillum, and a high rate of spontaneous activity. We surveyed trichoid and large basiconic sensilla from across the antenna in tod\(^d\) mutants and tot\(^l\) mutants and could identify no VA-responsive neurons (supplemental Fig. 1, available at www.jneurosci.org as supplemental material). Therefore, there does not appear to be a simple mislocalization of T1 sensilla to a different part of the antenna, but a complete loss of the T1 functional type.
tod\(^d\) mutants and tot\(^l\) mutants could lack T1 sensilla because the T1 sensilla are transformed into non-T1 sensilla during development. Alternatively, the T1 sensilla may simply no longer be present, perhaps because of death of T1 precursors. If the latter is true, there should be a reduction in the total number of trichoid sensilla in these mutants correlating with the number of T1 sensilla. Therefore, we performed scanning electron microscopic analysis of wild-type, tod\(^d\), and tot\(^l\) mutants to determine whether there are fewer trichoid sensilla compared with the wild-type controls. Figure 2 shows that tod\(^d\) mutants have ~30% fewer (40.8 ± 2.1) trichoid sensilla compared with controls (62 ± 1.7), whereas tot\(^l\) mutants (58.4 ± 1.9) have essentially the normal number of trichoids (Fig. 2D). One possibility is that T1 precursors fail to develop T1 sensilla in tod\(^d\) mutants, resulting in a reduction in the total number of trichoid sensilla. In tot\(^l\), in contrast, there is an overall increase in the non-T1 sensilla class at the expense of T1 class, whereas the total number of trichoid sensilla is equivalent to that of wild-type controls. This is consistent with a transformation of T1 into non-T1 sensilla instead of loss of T1 sensilla. The number of large basiconic sensilla is not different in any of the three genotypes (Fig. 2E). A survey of large basiconic sensilla revealed no functional abnormalities in tod\(^d\) or tot\(^l\) mutants (supplemental Fig. 1, available at www.jneurosci.org as supplemental material). Additional characterization of these mutants will be reported elsewhere (S. Mistry, T. S. Ha, and D. P. Smith, manuscript in preparation).
**tod\(^d\) and tot\(^l\) mutants are both defective for expression of one member of the odorant receptor family**
tod\(^d\) and tot\(^l\) mutants lack functional T1 sensilla. Therefore, T1-neuron specific gene products should be absent in these mutants. We reasoned that a neuronal receptor mediating VA responses might be a member of the odorant receptor family expressed specifically by T1 neurons. Indeed, Ors have been shown to specify odor specificity to olfactory neurons in a number of systems, including *Drosophila* (Sengupta et al., 1996; Malnic et al., 1999; Dobritsa et al., 2003; Hallem et al., 2004). Therefore, we screened candidate members of the *Drosophila* Or gene family for reduced expression in tod\(^d\) and tot\(^l\) mutants.
PCR primers were designed to all members of the Or gene family (Robertson et al., 2003) whose function or odor specificity had not been established previously (Stortkuhl, 2001; Dobritsa et al., 2003; Elmore et al., 2003; Hallem et al., 2004). In addition, at least one gustatory receptor (Gr) is expressed in the antenna (Scott et al., 2001), and several others including Gr10a, Gr32a, and Gr63a may also be expressed (K. Scott, personal communication). We generated primers to assay expression of these orphan receptors by RT-PCR (supplemental Table 1, available at www.jneurosci.org as supplemental material). Each primer pair spanned an intron to allow us to distinguish cDNA products from potential genomic DNA contamination. We found that a single receptor gene, Or67d, was absent or drastically reduced in tod\(^d\) and tot\(^l\) mutants compared with wild-type controls. Figure 3 shows RT-PCR analysis of Or67d from wild-type, tod\(^d\), and tot\(^l\) mutant antenna. An Or67d spliced transcript is clearly present in wild-type antennas, but is reduced or absent in tod\(^d\) and tot\(^l\) mutants, even after 40 cycles of amplification (Fig. 3B). Or83b (Vosshall et al., 1999), expressed in most olfactory receptor neurons (Vosshall et al., 1999; Elmore et al., 2003; Larsson et al., 2004) was present in all three samples, as were all other Or genes tested (data not shown). These results suggest Or67d expression is specifically reduced or eliminated in tod\(^d\) and tot\(^l\) mutants, and correlates with the loss of the T1 functional class in these genetically distinct mutants.
Having identified a candidate receptor correlating with the presence of T1 neurons, we set out to establish whether the expression pattern of Or67d in the antenna was consistent with the known T1 neuron distribution. We performed *in situ* hybridization using fluorescently labeled antisense RNA probes to Or67d to characterize expression of this putative receptor. Figure 3C
shows that antisense probes to Or67d specifically label cells on the ventral–lateral surface of the third antennal segment. Serial sections reveal the labeled cells are concentrated in the proximal T1 zone (our unpublished observation). These probes failed to identify similar positive cells in antenna *tod* or *tot* (3C) consistent with the functional loss of T1 sensilla. Therefore, Or67d expression correlates well with the known distribution of T1 sensilla in wild-type antenna and the absence of T1 sensilla in the mutants.
**Or67d confers VA sensitivity to non-T1 neurons**
Expression of Or67d in the T1 zone and its absence in *tod* and *tot* mutants is consistent with Or67d being the T1 VA receptor, but does not prove this receptor is responsible for VA sensitivity. For example, Or67d may have some functional role specific to T1 neurons that is unrelated to VA sensitivity. Alternatively, a subset of non-T1 class olfactory neurons may also be absent in *tod* and *tot* that specifically express Or67d. Therefore, to definitively prove Or67d mediates VA sensitivity, we misexpressed Or67d in olfactory neurons that normally do not express this receptor and are VA insensitive. Previous work has shown that coexpression of an extra odorant receptor in a *Drosophila* olfactory neuron results in an odor sensitivity profile that is the combination of the sensitivity of the individual receptors (Goldman et al., 2005). Therefore, we misexpressed Or67d in all neurons by driving Or67d expression with the pan-neuron promoter, ELAV. ELAV is a neuron-specific splicing factor expressed in all *Drosophila* neurons (Campos et al., 1985; Koushika et al., 1996). We confirmed that flies expressing Or67d under control of the ELAV promoter misexpress the Or67d transgene in olfactory neurons in the antenna (Fig. 3C, bottom panel).
We compared the VA sensitivity of wild-type animals and those misexpressing Or67d in non-T1 sensilla. Neurons in wild-type non-T1 sensilla are insensitive to VA (Fig. 4, top left panel). However, animals misexpressing Or67d in all neurons have non-T1 neurons that are highly responsive to VA (Fig. 4, top right panel). Indeed, dose-response analysis reveals these neurons are nearly as sensitive to VA as wild-type T1 neurons (Fig. 4, graph). By all other criteria, these neurons are non-T1 and not T1 neurons. They display high spontaneous activity and contain multiple neurons, and their distribution is typical of the non-T1 functional class. The only difference we can observe in these neurons compared with wild-type controls is VA sensitivity. Conferring VA sensitivity on non-T1 neurons by expressing Or67d receptors demonstrates that this receptor is both necessary and sufficient to confer VA sensitivity on non-T1 neurons.
**LUSH is also required for non-T1 neurons misexpressing Or67d to respond to VA**
LUSH protein is required in the T1 sensillum lymph for T1 neurons to be sensitive to VA (Xu et al., 2005). Non-T1 sensilla also express LUSH protein in the sensillum lymph (Kim et al., 1998; Shanbhag et al., 2001, 2005). Is LUSH also required for sensitivity of non-T1 neurons misexpressing Or67d? We crossed the *lush* mutant into the stock misexpressing Or67d in all neurons. Figure 4 shows that LUSH protein is critical for non-T1 neurons to respond to VA as well, because when the *lush* mutation is crossed into the misexpressing flies, VA sensitivity is lost in non-T1 neurons (Fig. 4, bottom right panel). This clearly demonstrates that LUSH is required in the extracellular space in order for non-T1 neurons misexpressing Or67d to be responsive to VA. Therefore, both the receptor Or67d and a specific extracellular binding protein, LUSH, are required for VA sensitivity.
---
**Figure 3.** Expression of Or67d is defective in *tod* and *tot* mutants. **A**, Schematic diagrams of *Or83b* and *Or67d* gene fragments and the relative location of the PCR primers. Primers were chosen to span an intron to discriminate genomic contamination from cDNA products. The thick line denotes the exon sequences, and the thin line denotes the intron region of each gene fragment. The expected cDNA size of the RT-PCR products was 296 bp for *Or67d* and 269 bp for *Or83b*. The expected genomic DNA size of the RT-PCR products was 368 bp for *Or67d* and 630 bp for *Or83b*. The arrows indicate priming sites for each specific primer sets. **B**, *Or67d* in *tod* and *tot* mutant flies is absent or dramatically reduced (long arrow). *Or83b* was used as a positive control for RNA integrity and RT quality (short arrow). **C**, RNA *in situ* hybridization with sense probes to *Or83b* (top panels; red colors) and *Or67d* (right panels; green colors) in wild-type, *tod*, and *tot* mutants. The bottom panel shows antisense labeling in antenna misexpressing *Or67d* under control of the ELAV promoter. *Or83* and *Or67d* signals were amplified with TSA-Plus Cy5 (red) or TSA-Plus Fluorescence systems (green).
Discussion
Pheromones drive innate behaviors in insects. VA pheromone functions to attract other individuals to a location, most likely at food sources (Vander Meer et al., 1986). We previously showed the extracellular protein LUSH is required for VA pheromone sensitivity, both for T1 neuron responses and for behavioral responses to pheromone (Xu et al., 2005). In this paper, we identified an odorant receptor expressed by trichoid neurons that mediates VA pheromone sensitivity. Or67d expression is defective in two independent mutants that lack functional T1 sensilla, and this receptor is necessary and sufficient to confer VA sensitivity on non-T1 neurons that are normally insensitive to this pheromone. Together, these data provide strong proof that Or67d is the receptor, or a component of the receptor, that mediates VA sensitivity in olfactory neurons in T1 sensilla.
Although there are no Or67d mutants available to show directly that Or67d mediates VA behavior, this is almost certainly true. LUSH OBP is expressed exclusively in trichoid sensilla (Kim et al., 1998; Shanbhag et al., 2001, 2005), and *lush*<sup>h</sup> mutants are completely defective for behavioral responses to VA pheromone (Xu et al., 2005). Therefore, VA-induced behavior is mediated through trichoid sensilla. Because T1 neurons are the only trichoid neurons that respond to VA (Clyne et al., 1997; Xu et al., 2005), and Or67d mediates VA sensitivity in these trichoid neurons, it is reasonable to deduce that the behavioral responses to VA pheromone are mediated by Or67d receptors. The responses of *tod<sup>o</sup>* or *tor<sup>o</sup>* mutants to VA should also be defective, because they both lack T1 sensilla. Unfortunately, these mutants are heavily mutagenized, and loss of VA-induced behavior is masked by the general locomotor defects of these animals.
What are the neuronal circuits that mediate VA-induced behaviors? Our identification of Or67d as a component of the neuronal VA receptor is consistent with expression studies identifying Or67d receptor expression in one class of trichoid sensillum (Couto et al., 2005). A class of trichoid sensilla was identified that expressed Or67d and contained a single neuron (Couto et al., 2005). Or67d-expressing neurons have been shown to innervate two glomeruli in the antennal lobes, DAI and VA6 (Couto et al., 2005; Fishilevich and Vosshall, 2005). We speculate, therefore, that higher brain functions are alerted to of the presence of VA pheromone through activity in these glomeruli. Using genetically encoded fluorescent monitors of neuronal activation (Nagai et al., 2001; Polgruto et al., 2004), it should now be possible to elucidate the neuronal circuits in higher brain centers that are triggered by VA pheromone.
Why does VA pheromone detection require both a specific receptor and a binding protein? One possible explanation is specificity. Most odorant receptors in *Drosophila* appear to be broadly tuned (Clyne et al., 1999; Dobritsa et al., 2003; Hallem et al., 2004). Broad tuning of receptors presumably allows *Drosophila* to detect a wide range of biologically relevant chemicals in the environment with a limited repertoire of 62 different receptor proteins. In contrast, pheromone detection should be highly specific so that inappropriate cues are not misconstrued as pheromones. Perhaps Or67d is specifically tuned to VA but requires LUSH to transfer VA through the aqueous lymph. Alternatively, Or67d may be more broadly tuned, and LUSH OBP restricts the diversity of ligands that are presented to the receptor by only interacting with VA. A third possibility is that LUSH protein undergoes a unique conformational change after VA binding and this conformation of LUSH triggers Or67d activation. Consistent with this last model, folded, but not unfolded LUSH protein alone appears to be a partial...
agonist of T1 neurons (Xu et al., 2005). Additionally, x-ray crystal structures show unique conformational changes in LUSH after binding alcohols (Kruse et al., 2003) and VA (J. D. Laughlin, T. S. Ha, D. P. Smith, and D. N. M. Jones, manuscript in preparation).
Now that these components have been identified, future work will focus on defining the biochemical relationship between LUSH, VA, and Or67d.
This work extends the evidence that extracellular LUSH protein is critical for VA detection. Non-T1 neurons misexpressing Or67d are only sensitive to VA when LUSH protein is present. Therefore, LUSH is required for VA detection by Or67d-expressing neurons. Detection of an unknown contact pheromone involved in courtship behavior in *Drosophila* is mediated by taste receptor Gr68a (Bray and Amrein, 2003). It will be of interest to determine whether a binding protein mediates this behavior as well. Artificial stress results in release of CO$_2$ from adult fruit flies and may act like a pheromone (Suh et al., 2004). Recent work in the moth *Bombyx mori* has uncovered several putative sex pheromone receptors for the female sex pheromone bombykol (Krieger et al., 2005; Nakagawa et al., 2005). *B. mori* Or1 (BmOR1) and BmOR3 are expressed preferentially in male antenna, in neurons known to respond to female pheromone (Krieger et al., 2005). Heterologous expression of BmOR1 in *Xenopus laevis* oocytes confers sensitivity to bombykol at high pheromone concentrations (Nakagawa et al., 2005). The poor sensitivity of moth pheromone receptors expressed in oocytes may result from relatively poor expression or from missing factors that contribute to sensitivity (like extracellular pheromone binding proteins). Misexpression of *Drosophila* Ors in “empty” olfactory receptor neurons (lacking endogenous receptors) has been shown to confer odor response profiles that are very similar to the endogenous neurons expressing those receptors, indicating this is a more physiologic approach (Hallez et al., 2004). Using a similar approach, we conferred VA sensitivity on non-T1 neurons at pheromone concentrations that are close to the threshold levels that activate T1 neurons. This supports the idea that Or67d in combination with LUSH protein confers sensitivity to physiological relevant concentrations of VA *in vivo*.
Defining the molecular basis for VA pheromone perception in *Drosophila* provides an important step in understanding the molecular basis of pheromone-induced behavior in an animal model system amenable to genetic analysis. If pheromone detection mechanisms in *Drosophila* prove similar to those in other insects, this information may have practical application to control of insect pests and disease vectors in the future.
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OUR WESTERN DRY KILN CLUBS, PAST, PRESENT AND FUTURE
By Edwin Knight
Our Western dry kiln clubs meet jointly today for the 17th time to discuss the techniques of lumber seasoning, to renew old friendships and to make new ones. The formal part of our programs are very valuable to us, as there we get the help of specialists who give us the latest information in research and development in the field of lumber seasoning. Equally valuable are those informal discussions among old friends and new, where we often get the answers to problems that have been troublesome.
Regrettably, in the last year or two some of our clubs seem to be in deep trouble trying to keep going. This situation must be rectified, but in the meantime, it has brought up the question from some of our management people, why have a kiln club? There are several reasons for belonging to a kiln club, but the most important reason seems to me is the fact that here we work cooperatively instead of alone in the secrecy that once marked kiln drying as an art to be shared with no one. In the kiln club, we are no longer held back by our own narrow views, but share the knowledge that is available world-wide to those who seek it. Obviously, it is through our kiln clubs that we have the opportunity to learn of the advances that are so necessary if lumber is to survive competitively with other building products.
The first Western kiln club to be established was organized in 1934, not the first kiln club in the United States, but one of the very early ones. A group of Klamath Falls, Oregon, kiln men met locally, at first as the Klamath Kiln Operators Club. When the organization enlarged to cover a much wider area the name was changed to the Southern Oregon-Northern California Dry Kiln Club. The late Albert Hermann of the former Western Pine Association was so interested in this group that he attended as many of their early meetings as he had time to spare from his other duties. Many good lumbermen have belonged to this club, far too many to be mentioned here. But an example of their caliber can be found in our good friend Heber Radcliffe, with the McCloud River Lumber Company when he retired, who has been so helpful to the kiln club movement through the years.
The next club to organize in the Western area was the West Coast Dry Kiln Club founded in 1940. Three people, Arthur Motett, D.F. Hill and L.A. "Shorty" Nelson were largely responsible for its organization. From a charter membership of 15, this club has now grown to 104 members. Several of the original charter members are still active in the club. As you know, this is our host club this year, as they have been several times in the past. A top-notch group, this club has been most active since its inception.
The year 1943 marked the start of the Redwood Seasoning Committee, formed to study the kiln and air drying problems of the California Redwood Region. The minutes of their first meeting lists 15 people present, only one of whom, Mr. Dwight Felt, of the Simpson Lumber, Co., Arcata, California,
is still actively engaged in the seasoning of Redwood lumber. This club has done an outstanding job in their area and in taking part in the joint activities of our western dry kiln clubs.
The next club to be organized got their start when three kiln foremen, Phil Reimnuth, Lyle Williams and George Stillwell from different Potlatch Forests plants, visited a Southern Oregon-Northern California Club meeting in Klamath Falls. Enthused by what they learned, they organized a Washington-Idaho and Montana Dry Kiln Club. The first meeting was held in Spokane, Washington, in November 1947 with six charter members. From this meager beginning, the club has grown to about 65 members.
Northern California members were handy to the Klamath Falls area where many were affiliated with this group. Central California, considerably further away, had a large number of people interested in seasoning but lacked the benefit of a local club. The idea of a club there took hold when several kiln men from the area attended a kiln course in San Francisco in 1947 conducted by the U.S. Forest Products Laboratory. The following year they organized under the name of the Central California Dry Kiln Club. This club got off to a good start and has maintained a good level of activity since. Carl Rasmussen, formerly with the Western Pine Association, gave considerable assistance to this club in its infancy. Harvey Smith of the California Forest Range and Experiment Station became their secretary in their second year and held that post continuously for the next 12 years, an outstanding record of service.
Eastern Oregon-Southern Idaho Dry Kiln Club was organized in that area in the early 1950's. Many of their members came from the fringes of two adjoining clubs in order to attend meetings closer to home. An active spark plug in this group, as long as his health permitted, was Lee Kincaid of the Boise-Payette Co., now Boise Cascade Corporation. From management in that company a strong early booster was the late Irving Lysted, who though not directly involved in seasoning, nevertheless, saw the value of this type of group effort.
In 1951 hardwood importers in the Los Angeles area met informally to discuss the seasoning problems of these species. The late George Beckman, impressed with the value of the dry kiln clubs, asked Harvey Smith to come to Los Angeles and help them get a club started. Bob Inglis became their secretary the second year and held that job efficiently for many years until he moved to Spokane. Bob tells me that the group had the help of many fine people, among whom was Arthur Koehler, formerly of the U.S. Forest Products Laboratory and later a consultant in the Los Angeles area. You may recall that it was Arthur Koehler who helped solve the Lindbergh kidnapping case by matching parts of the pieces of wood from the ladder used by the kidnapper. This group was strongly represented by management who realized that competitors can be really "good guys" when working for a common cause.
Further away geographically from our coastal lumber seasoning activities are kiln men from the states of Arizona, New Mexico, Colorado and Utah. An interesting sidelight about the organization of this group as a kiln club was told to me recently. Jim Pinneo, kiln foreman at Southwest Forest Industries at McNary, attended a kiln course soon after Lyle Winkel of the Western Pine Association conducted a one-day seasoning course in Winslow, Arizona. This planted the seed. But the idea didn't really sprout until Herb Dennis, a strong kiln member from Oregon, moved into the area and worked on the people there to take some action in forming a club in the year 1954.
I have no information on our kiln clubs to the north of us in Canada. We do appreciate it though when they have attended our joint meetings. Representatives from the Canadian area have generously participated several times on our program and for this we are grateful.
This brings me to the point of mentioning the activities of our Western kiln clubs in their joint meetings each year. We are not formally organized as are the individual clubs. At each joint meeting the president of the host club generally acts as chairman at an annual officer's breakfast. At these breakfast meetings the club officers have formulated plans for the coming joint activities of the group.
and a bid or bids are made by club representatives for the next joint meetings.
Our first joint meeting was held in 1949. This was a three club affair with the Moore Dry Kiln Company as host. In 1951, a six club, no-host meeting was held in Corvallis, Oregon, but each year since one of the clubs has been selected to be the next year's host. It has been the policy to hold meetings alternately in a northern and a southern city of the area as far as is practically possible. On the whole, the joint meetings have been very successful and the quality of the programs is consistently good. A glance at this year's program will show you what I mean.
What about the present state of our Western dry kiln clubs? As might be expected there is both weakness and strength. This year weakness seems to be the rule. Several clubs have been relatively inactive the past year to two. Southern California Lumber Seasoning Association disbanded two years ago because of reduced membership. The remaining members meet informally on occasion but not as a club. The same is true of the Southwest Dry Kiln Club. I am told that the Redwood Seasoning Committee has been almost dormant the last two years, also true of the Eastern-Oregon-Southern Idaho group. The Southern Oregon-Northern California Club has done very well until this year when activity has seemed to reach a low ebb. Perhaps one way to start the ball rolling again would be to hold meetings annually for awhile instead of quarterly. This is being contemplated by the Redwood Seasoning Committee.
We can expect a change in drive at times, especially when no pressing kiln club problems are calling for attention. But I cannot believe that we have begun to perfect our kiln drying processes to the point where we can disband these useful meetings. There are many new methods calling for analysis. I know of no better way to separate the true from the phony than through the combined experience of our working kiln operators. We can rely on research organizations to set up basic studies, but the final analysis must come from you on the job.
One way to build up interest in the kiln club would be to work up better meetings. Give each meeting the benefit of better planning with more practical programs geared to the needs of the club members. Give these meetings better publicity by well written advance notices. Send each member and his manager a meeting notice well ahead of the meeting date.
This will take more than casual planning. It seems to me that our most successful clubs have often had the help of professionally trained people from other organizations. Much as we might wish that all kiln club officers would come from the ranks of our kiln operators, we may as well face the truth that we should seek outside guidance when available. A look at our most active clubs will demonstrate the value of this type of assistance.
Your host club has Charlie Kozlik of the Oregon State University-Forest Products Laboratory as secretary. He is the program chairman of this year's meeting and has done an equally fine job for his club during the years that he has served. In past years, Harvey Smith of the southwest Forest Range and Experiment Station was a great help to the Central California Dry Kiln Club. This year they have Dr. Helmuth Resch of the California Forest Laboratory as secretary. These men have been a real help and the clubs are grateful to them for it.
A recent development that may give our clubs a boost is the offer of the Western Wood Products Association to assist the clubs in this Western region with the printing of their kiln club notices and similar papers. Thus, a secretary can be chosen for a club on his merits regardless of his access to facilities to get this printing and mailing job done.
I hesitate to forecast the future of our Western kiln clubs. So much depends on so many things which can make or break them. The good work that has been done and is being done by our clubs is legion. The potential is there, certainly, but may never be developed without a concerted effort. I feel certain that given a helping hand and a will to improve, our kiln clubs will meet the need as it arises. A small extra effort from each one of you may be all that is needed to turn the tide. The future is in your hands. |
BE IT REMEMBERED that on this day, the Commissioners Court of Kaufman County, Texas met in a Regular Meeting in the Kaufman County Annex 2nd Floor Conference room with the following members present to wit: **Bruce Wood**, County Judge; **Mike Hunt**, Commissioner Precinct No. 1; **Skeet Phillips**, Commissioner Precinct No. 2; **Terry Barber**, Commissioner Precinct No. 3: Absent; **Jakie Allen**, Commissioner Precinct No. 4; **Laura Hughes**, County Clerk.
**INVOCATION;**
**PLEDGE OF ALLEGIANCE TO THE AMERICAN FLAG;**
**PLEDGE OF ALLEGIANCE TO THE TEXAS FLAG;**
**REMARKS FROM VISITORS;**
**ITEM 1.**
**ROUTINE CORRESPONDENCE**
**ITEM 2.**
**MOTION TO APPROVE CONSENT AGENDA**
There came on to be considered a motion to approve the Consent Agenda.
A. Approve Ordinance No. 17-2017 for annexation of Malloy Bridge Road by the City of Seagoville. *See Attachment.*
B. Accept Workshop Minutes for August 10, 2017, Special Emergency Meeting Minutes for August 17, 2017, and Special Meeting Minutes for August 17, 2017 and August 19, 2017. *See Attachments.*
C. Accept letter from Secretary of State regarding Kaufman County’s participation in the Countywide Precinct Polling Place Program. *See Attachment.*
A motion was made by Commissioner Skeet Phillips and seconded by Commissioner Mike Hunt.
Whereupon said motion was put to a vote and motion carried.
**AND IT IS SO ORDERED.**
**ITEM 3.**
**MOTION TO RATIFY PROPERTY TAX RATE**
There came on to a considered a motion to ratify the Property Tax increase reflected in the Fiscal Year 2017-2018 Budget. *See Attachment.*
A motion was made by County Judge Bruce Wood and seconded by Commissioner Skeet Phillips.
Whereupon said motion was put to a vote with all Commissioners and County Judge Bruce Wood voting ‘aye’. Motion carried.
**AND IT IS SO ORDERED.**
**ITEM 4.**
**MOTION TO APPROVE SETTING TAX RATE**
There came on to be considered a motion to approve setting 2017 Debt Service Tax Rate as 0.0565.
A motion was made by Commissioner Jakie Allen and seconded by Commissioner Mike Hunt.
Whereupon said motion was put to a vote with all Commissioners and County Judge Bruce Wood voting ‘aye’. Motion carried.
**AND IT IS SO ORDERED.**
**ITEM 5.**
**MOTION TO APPROVE SETTING TAX RATE**
There came on to be considered a motion to approve setting 2017 Maintenance and Operations Tax Rate as 0.4322 and Road and Bridge tax rate as 0.1000.
A motion was made by Commissioner Skeet Phillips and seconded by Commissioner Jakie Allen.
Whereupon said motion was put to a vote with all Commissioners and County Judge Bruce Wood voting ‘aye’. Motion carried.
**AND IT IS SO ORDERED.**
ITEM 6. **MOTION TO APPROVE ADOPTION OF TAX RATE**
There came on to be considered a motion to approve that property taxes be increased by the adoption of a Tax Rate of 0.5887. Which is effectively a 2.65 percent (2.65 %) increase in the Tax Rate. This Tax Rate will raise more taxes for Maintenance and Operations than last year’s Tax Rate and the Tax Rate will raise taxes for Maintenance and Operations on a $100,000 home by approximately $0.
A motion was made by County Judge Bruce Wood and seconded by Commissioner Mike Hunt.
Whereupon said motion was put to a vote with all Commissioners and County Judge Bruce Wood voting ‘aye’. Motion carried.
**AND IT IS SO ORDERED.**
ITEM 7. **MOTION TO APPROVE PRELIMINARY PLAT**
There came on to be considered a motion to approve Preliminary Plat for Berari Subdivision, Precinct 1. *See Attachment.*
A motion was made by Commissioner Mike Hunt and seconded by Commissioner Skeet Phillips.
Whereupon said motion was put to a vote and motion carried.
**AND IT IS SO ORDERED.**
ITEM 8. **MOTION TO APPROVE ELECTRICAL POLE STAKE**
There came on to be considered a motion to approve Trinity Valley Electric Company Easement and Right of Way for Pole Stake on the Poor Farm, Precinct 1. *See Attachment.*
A motion was made by Commissioner Mike Hunt and seconded by Commissioner Skeet Phillips.
Whereupon said motion was put to a vote and motion carried.
**AND IT IS SO ORDERED.**
ITEM 9. **MOTION TO APPROVE PURCHASE**
There came on to be considered a motion to approve purchase of a 2017 Etnyre K model Chip Spreader for Precinct 1 Road and Bridge from RB Everett & Company, in the amount of $172,905.00, utilizing BuyBoard Contract #515-16. *See Attachment.*
A motion was made by Commissioner Mike Hunt and seconded by Commissioner Jakie Allen.
Whereupon said motion was put to a vote and motion carried.
**AND IT IS SO ORDERED.**
ITEM 10. **MOTION TO TABLE PURCHASE**
There came on to be considered a motion to table purchase of a K9 dog for Constable Precinct 4.
A motion was made by Commissioner Jakie Allen and seconded by Commissioner Skeet Phillips.
Whereupon said motion was put to a vote and motion carried.
**AND IT IS SO ORDERED.**
ITEM 11. **MOTION TO APPROVE AWARDING OF RFP**
There came on to be considered a motion to approve awarding Request for Proposal (RFP) #06-17 Depository Services to American National Bank of Texas. *See Attachment.*
A motion was made by Commissioner Jakie Allen and seconded by Commissioner Skeet Phillips.
Whereupon said motion was put to a vote and motion carried.
**AND IT IS SO ORDERED.**
ITEM 12.
MOTION TO ACCEPT DONATION
There came on to be considered a motion to accept donation of funds in the amount of $40,740 from the Wynchase Addition Homeowners Association for the repair of the roads in Wynchase, Precinct 4.
A motion was made by Commissioner Jakie Allen and seconded by Commissioner Skeet Phillips.
Whereupon said motion was put to a vote and motion carried.
AND IT IS SO ORDERED.
ITEM 13.
MOTION TO APPROVE AWARDING OF BID
There came on to be considered a motion to approve awarding of Request for Proposal (RFP) #07-17 to Terrell Alarm for a Closed Circuit TV Camera System for Kaufman County Law Enforcement Center in the amount of $182,694.00.
A motion was made by Commissioner Jakie Allen and seconded by Commissioner Skeet Phillips.
Whereupon said motion was put to a vote with Commissioner Mike Hunt abstaining from voting. Motion carried.
AND IT IS SO ORDERED.
ITEM 14.
MOTION TO APPROVE AGREEMENT
There came on to be considered a motion to approve an Interlocal Agreement with the North Texas Municipal Water District for road repairs. See Attachment.
A motion was made by Commissioner Jakie Allen and seconded by Commissioner Mike Hunt.
Whereupon said motion was put to a vote and motion carried.
AND IT IS SO ORDERED.
ITEM 15.
MOTION TO APPROVE ORDER
There came on to be considered a motion to approve an Order designating the Commissioners Court Regular Meeting days for the FY 2017-2018 term will be the second and fourth Mondays; first and third Wednesdays; and fifth Wednesdays, when applicable. See Attachment.
A motion was made by County Judge Bruce Wood and seconded by Commissioner Skeet Phillips.
Whereupon said motion was put to a vote and motion carried.
AND IT IS SO ORDERED.
ITEM 16.
MOTION TO APPROVE COUNTY HOLIDAYS
There came on to be considered a motion to approve the official holidays for Kaufman County Employees for 2018. See Attachment.
A motion was made by Commissioner Skeet Phillips and seconded by Commissioner Jakie Allen.
Whereupon said motion was put to a vote and motion carried.
AND IT IS SO ORDERED.
ITEM 17.
MOTION TO TABLE EXITING REGULAR MEETING AND ENTERING INTO EXECUTIVE SESSION
There came on to be considered a motion to table exiting the Regular Meeting and entering into Executive Session.
A motion was made by Commissioner Jakie Allen and seconded by Commissioner Skeet Phillips.
Whereupon said motion was put to a vote and motion carried.
AND IT IS SO ORDERED.
Addendum Item 1.
MOTION TO APPROVE LEASE AGREEMENT
There came on to be considered a motion to approve a Lease Agreement with Tanger Management, L.L.C. and Kaufman County for the Kaufman County Annual Emergency Preparedness Expo to be held September 30, 2017. See Attachment.
A motion was made by Commissioner Jakie Allen and seconded by Commissioner Mike Hunt.
Whereupon said motion was put to a vote and motion carried.
AND IT IS SO ORDERED.
Addendum Item 2.
MOTION TO APPROVE DISBURSEMENT
There came on to be considered a motion to approve disbursement of Diversion Funds, pursuant to Texas Code of Criminal Procedure §102.0121, for the following attorney training expenses: $6,542.41 for hotel and lodging, $4,835.95 per diem and mileage reimbursement, and $1,040.00 for conference registration.
A motion was made by Commissioner Jakie Allen and seconded by Commissioner Skeet Phillips.
Whereupon said motion was put to a vote and motion carried.
AND IT IS SO ORDERED.
ITEM 17.
MOTION TO APPROVE EXITING REGULAR MEETING
AND ENTER INTO EXECUTIVE SESSION
There came on to be considered a motion to approve exiting the Regular Meeting and enter into Executive Session, pursuant to Government Code §551.071: Consultation with Attorney; Regarding pending or contemplated litigation and/or settlement offers between Kaufman County and Post Oak Bend regarding Seaway Pipeline and road repair invoices.
A motion was made by Commissioner Mike Hunt and seconded by Commissioner Jakie Allen.
Whereupon said motion was put to a vote and motion carried.
AND IT IS SO ORDERED.
ITEM 18.
EXECUTIVE SESSION
An Executive Session was held. County Judge has certified agenda.
ITEM 19.
MOTION TO APPROVE EXITING EXECUTIVE SESSION
AND ENTER INTO REGULAR MEETING
There came on to be considered a motion to approve exiting Executive Session and enter into the Regular Meeting.
A motion was made by Commissioner Skeet Phillips and seconded by Commissioner Mike Hunt.
Whereupon said motion was put to a vote and motion carried.
AND IT IS SO ORDERED.
ITEM 20.
MOTION TO APPROVE AGREEMENT
There came on to be considered a motion to approve Settlement Agreement with Post Oak Bend regarding Seaway litigation expenses and roadway damages.
A motion was made by Commissioner Mike Hunt and seconded by Commissioner Skeet Phillips.
Whereupon said motion was put to a vote and motion carried.
AND IT IS SO ORDERED.
ITEM 21.
MOTION TO APPROVE LINE ITEM TRANSFERS
There came on to be considered a motion to approve Line Item Transfers. See Attachment.
A motion was made by Commissioner Skeet Phillips and seconded by Commissioner Jakie Allen.
Whereupon said motion was put to a vote and motion carried.
AND IT IS SO ORDERED.
ITEM 22.
MOTION TO APPROVE CLAIMS FOR PAYMENT
There came on to be considered a motion to approve Claims for Payment for $1,398,927.36.
A motion was made by Commissioner Jakie Allen and seconded by Commissioner Skeet Phillips.
Whereupon said motion was put to a vote and motion carried.
AND IT IS SO ORDERED.
ITEM 23.
MOTION TO ADJOURN
There came on to be considered a motion to adjourn Regular Meeting.
A motion was made by Commissioner Skeet Phillips and seconded by Commissioner Mike Hunt.
Whereupon said motion was put to a vote and motion carried.
AND IT IS SO ORDERED.
I, Laura Hughes, County Clerk of Kaufman County, Texas, do hereby certify that the above Commissioner Court Minutes are a true and correct record of the proceedings from the Commissioners Court Meeting.
ATTEST:
Laura Hughes, County Clerk |
Computation of Stress Intensity Factors Using Wavelet ...
RAPID CALCULATION OF STRESS INTENSITY FACTORS
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Determination of Stress Intensity Factors (Chapter 5 ...
Stress intensity factor - Wikipedia
Computation of Stress intensity Factor in Functionally ...
Computation Of Stress Intensity Factor
Basic fracture mechanics [2v10 Stress intensity factor related to fracture toughness with an example fracture toughness example problem Fracture Toughness
Evaluation of SIF for Various Geometries Fracture Toughness - Stress Intensity Modification Factor - Example 1
Calculating stress intensity factor in Abaqus using feature crack Stress Intensity Factor calculation from displacement fields Aerospace Structures and Materials—6.2—Stress Strain, Fatigue, Damage-Tolerance Stress Intensity Factors Computation by ABAQUS and FRANC3D Fracture Mechanics - Part I Fracture Mechanics Fracture Mechanics Concepts: Micro→Macro Cracks; Tip Blunting; Toughness, Ductility Yield Strength Low-Cycle Fatigue Crack-Growth Simulation + ABAQUS Stress-concentration explained without math equations Introduction to Fracture and the Stress-Concentration Factor
Abaqus tutorials for beginners-Crack analysis in Abaqus for 2D plate fatigue-crack growth Understanding Fatigue Failure and S-N Curves Topic 6: Fracture Mechanisms Lecture 4 #Compact_Tension #Specimen-part 1 : XFEM #Crack Growth crack growth and cyclic fatigue failure example problem Fracture Toughness Example: Allowable Pressure in Cracked Titanium Tube; Optimizing Yield Strength Stress intensity factor Solids:- Lesson-17—Stress Concentration Factor Problem ABAQUS tutorial | Explicit | Part 1- Stress-Intensity-Factor for Two Specimens (CT specimen) The Keys To Aging Well Ghoniem Design Fatigue:6.2 Stress Intensity Factor Westergaard Solution of Stress Field for Mode-I Analytical calculation of stress intensity factors for ... Computation of stress intensity factors Stress Intensity Factor - Fracture Mechanics Stress Intensity Factor - Engineering Library Computation of the stress intensity factor KI for external ... Computation of the weight function from a stress intensity ... Calculation of stress intensity factor using displacement ... NOVEL PRINCIPLE FOR THE COMPUTATION OF STRESS INTENSITY ... Computation of mixed mode stress intensity factors in a ...
A contour integral computation of mixed-mode stress ...
Simulation+ABAQUS
Stress concentration explained without math equations Introduction to Fracture and the Stress Concentration Factor
Abaqus tutorials for beginners-Crack analysis in Abaqus for 2D plate fatigue-crack growth Understanding Fatigue Failure and S-N Curves Topic 6: Fracture Mechanisms Lecture 4 #Compact_Tension #Specimen part 1-#XFEM #Crack Growth crack growth and cyclic fatigue failure example problem Fracture Toughness Example: Allowable Pressure in Cracked Titanium Tube; Optimizing Yield Strength Stress intensity factor Solids: Lesson 17—Stress-Concentration Factor Problem ABAQUS tutorial | Explicit | Part 1. Stress-Intensity-Factor-for Two Specimens (CT specimen) The Keys To Aging Well Ghoniem Design Fatigue: 6.2 Stress Intensity Factor Westergaard Solution of Stress Field for Mode-I Computation Of Stress Intensity Factor For a slanted crack of length in a biaxial stress field with stress in the -direction and in the -direction, the stress intensity factors are $K_I = \sigma \pi a (\cos 2\beta + \alpha \sin 2\beta)$ $K_{II} = \sigma \pi a (1 - \alpha) \sin \beta \cos \beta$ $\begin{aligned} K_{(I)} &= \sigma \sqrt{\pi a} \left(\cos^2 \beta + \alpha \sin^2 \beta \right) \\ K_{(II)} &= \sigma \sqrt{\pi a} \left(1 - \alpha \right) \sin \beta \cos \beta \end{aligned}$ Stress intensity factor - Wikipedia 7.4.1. In this section the contour integral method for the computation of the Mode I stress intensity factor in planar elasticity is outlined. The Airy stress function corresponding to the symmetric part of the asymptotic expansion is given by Equation (6.38). The extraction Computation of stress intensity factors A new approach for the analysis of stress intensity factors (SIFs) for cracked plane plate is proposed based on the wavelet finite element method using the scaling functions of B-spline wavelet on the interval (BSWI). Computation of Stress Intensity Factors Using Wavelet ... One of the techniques of fracture mechanics is
displacement exploration technique will be adopting for stress intensity factor (SIF) calculation. This technique uses the generalized finite element software, ANSYS. The values that are obtained may compare with that of theoretical values and observe that they are in order. Computation of Stress Intensity Factor and Critical crack ... The stress intensity factor is given in Table 2.3.
Fig. 2.16 A finite centre cracked plate. Solution From Table 2.3 the stress intensity factor is $K = \sqrt{\sec(\pi a / W)} - \sigma \sqrt{\pi a}$ Since $G = \frac{P^2}{2} \left\{ \frac{C}{A} \right\} = \frac{P^2}{4B} \left\{ \frac{C}{da} \right\}$ for centre cracked plate and $G = \frac{k^2}{E}$
Stress Intensity Factor | Engineering Library/Home; View Articles; Volumes 51 - 60; Volume 57 (2011) Issue 7-8; Computation of Stress Intensity Factor in Functionally Graded Plates under Thermal Shock Computation of Stress Intensity Factor in Functionally ... A new conformal mapping is proposed in order to solve stress intensity factor (SIF) problem in an infinite plane containing a traction-free square hole with two unequal cracks, analytically. To this end, Schwartzs-Christoffel integral is expanded as sum of finite term series through Newton’s binomial formula to approximate the square hole to a rounded corner square one, which is called quasi-square. Analytical calculation of stress intensity factors for ... and useful parameters in all of fracture mechanics. The stress intensity factor describes the stress state at a crack tip, is related to the rate of crack growth, and is used to establish failure criteria due to fracture. Irwin arrived at the definition of $K$ as a Stress Intensity Factor - Fracture Mechanics It is shown that the stress intensity factor $K$ at a root of a notch can be represented in the form of a weighted average of the tractions, and that the weight functions involved can be derived from the boundary displacements of two special stress fields, each of which is characterized by a "fundamental singularity" at the root and by the absence of externally impressed forces. NOVEL PRINCIPLE FOR THE COMPUTATION OF STRESS INTENSITY ... RAPID CALCULATION OF STRESS INTENSITY FACTORS. A method for computing stress intensity factors for cracks embedded in structural details is described. It consists of adding to accepted solutions for cracks in finite plates and bodies of uniform contour a geometry correction factor which accounts for the stress gradient produced by the geometric discontinuity of the detail. RAPID CALCULATION OF STRESS INTENSITY FACTORS Computation of the stress intensity factor $K_I$ for external longitudinal semi-elliptic cracks in the pipelines by FEM and XFEM methods Abstract. Evaluation of structural integrity of a cracked structure has become an important matter in the industrial... Introduction. In the field of oil industry, ... Computation of the stress intensity factor $K_I$ for external ... (7) $K_I = 6 (S-S *) Q W 2 n t a F I a W$, (8) $K_{II} = n Q W 1 / 2 a W 3 / 2 1-a = W 1 / 2 F II a W$, where $S *$, $n$ are correction factors corresponding to the effect of the distance of the load on mode I stress intensity factor and of the crack location on mode II stress intensity factors, respectively. Computation of mixed mode stress intensity factors in a
Stress intensity factors for cracked rings with uniform crack-face pressure; $a = \text{crack length}$. 0 0.2 0.4 0.6 . 0.8 1.0 $\sigma/(R_0 - R_j)$ Fig. 6.
Stress intensity factors for cracked rings under external tension; $a = \text{crack length}$. Computation of the weight function from a stress intensity factor in the insert in Fig. 6. Computation of the weight function from a stress intensity ...where $K_{II}$ is the Mode II stress intensity factor. Moreover, the displacement expression for a crack tip under Mode III loading (Figure 4c) can be expressed as: $\sqrt{\frac{K_{III}}{6 \sin \theta}}$ (10) where $K_{III}$ is the Mode III stress intensity factor. Hence, the actual displacements around the crack tip area for linear CALCULATION OF STRESS INTENSITY FACTOR USING DISPLACEMENT ...
The stress intensity factor (SIF) plays the most pivotal role in the application of linear elastic fracture mechanics (LEFM) principles to practice. It is useful in the assessment of safety or reliability of a machine or structural component with a crack. Determination of Stress Intensity Factors (Chapter 5 ...A path independent contour integral formula for the distinct calculation of combined mode stress intensity factors in linear plane elasticity problems is presented. The method is based on a Somigliana type singular integral representation and is easily appended to existing finite element computer codes. A contour integral computation of mixed-mode stress ...This shows that coupled Displacement Extrapolation Method and Peridynamic Theory approach can be an alternative method to calculate stress intensity factors. AB - This paper introduces a new approach to calculate stress intensity factors based on a combination of Displacement Extrapolation Method and Peridynamic Theory. Calculation of stress intensity factor using displacement ...Thus, the stress intensity factor $K$ is commonly expressed in terms of the applied stresses at and. For example, for a through crack in an infinite plate under uniform tension, the stress intensity factor is where $a$ is one half of the width of the through crack. The dimension of $K$ is
RAPID CALCULATION OF STRESS INTENSITY FACTORS
This shows that coupled Displacement Extrapolation Method and Peridynamic Theory approach can be an alternative method to calculate stress intensity factors. AB - This paper introduces a new approach to calculate stress intensity factors based on a combination of Displacement Extrapolation Method and Peridynamic Theory. Computation of Stress Intensity Factor and Critical Crack ...
A new conformal mapping is proposed in order to solve stress intensity factor (SIF) problem in an infinite plane containing a traction-free square hole with two unequal cracks, analytically. To this end, Schwartz-Christoffel integral is expanded as sum of finite term series through Newton’s binomial formula to approximate the square
hole to a rounded corner square one, which is called quasi-square.
**CALCULATION OF STRESS INTENSITY FACTOR USING DISPLACEMENT...**
One of the techniques of fracture mechanics is displacement exploration technique will be adopting for stress intensity factor (SIF) calculation. This technique uses the generalized finite element software, ANSYS. The values that are obtained may compare with that of theoretical values and observe that they are in order.
**Determination of Stress Intensity Factors (Chapter 5)...**
Home; View Articles; Volumes 51 - 60; Volume 57 (2011) Issue 7-8; Computation of Stress Intensity Factor in Functionally Graded Plates under Thermal Shock
**Stress intensity factor - Wikipedia**
It is shown that the stress intensity factor $K$ at a root of a notch can be represented in the form of a weighted average of the tractions, and that the weight functions involved can be derived from the boundary displacements of two special stress fields, each of which is characterized by a "fundamental singularity" at the root and by the absence of externally impressed forces.
**Computation of Stress Intensity Factor in Functionally...**
A path independent contour integral formula for the distinct calculation of combined mode stress intensity factors in linear plane elasticity problems is presented. The method is based on a Somigliana type singular integral representation and is easily appended to existing finite element computer codes.
**Computation Of Stress Intensity Factor**
RAPID CALCULATION OF STRESS INTENSITY FACTORS. A method for computing stress intensity factors for cracks embedded in structural details is described. It consists of adding to accepted solutions for cracks in finite plates and bodies of uniform contour a geometry correction factor which accounts for the stress gradient produced by the geometric discontinuity of the detail.
**Basic fracture mechanics**
$J2v10$ Stress intensity factor related to fracture toughness with an example fracture toughness example problem Fracture
**Toughness Evaluation of SIF for Various Geometries Fracture Toughness - Stress Intensity Modification Factor - Example 1**
Calculating stress intensity factor in Abaqus using feature crack Stress Intensity Factor calculation from displacement fields
**Aerospace Structures and Materials – 6.2 – Stress \u0026 Strain, Fatigue, Damage Tolerance Stress Intensity Factors Computation by ABAQUS and FRANC3D Fracture Mechanics - Part 1**
Fracture Mechanics Fracture Mechanics Concepts: Micro→Macro Cracks: Tip Blunting; Toughness, Ductility \u0026 Yield Strength Low Cycle Fatigue Crack Growth Simulation+ABAQUS Stress concentration explained without math equations Introduction to Fracture and the Stress Concentration Factor
**Abaqus tutorials for beginners-Crack analysis in Abaqus for 2D plate fatigue crack growth Understanding-Fatigue Failure and S-N Curves Topic 6: Fracture Mechanisms Lecture 4 #Compact_Tension**
Fracture Toughness Example: Allowable Pressure in Cracked Titanium Tube; Optimizing Yield Strength Stress intensity factor Solids: Lesson 17- Stress Concentration Factor Problem ABAQUS tutorial | Explicit | Part 1. Stress Intensity Factor for Two Specimens (CT specimen) The Keys To Aging Well Ghoniem Design Fatigue:6.2 Stress Intensity Factor Westergaard Solution of Stress Field for Mode-I
The stress intensity factor is given in Table 2.3.
Fig. 2.16 A finite centre cracked plate. Solution From Table 2.3 the stress intensity factor is $K = \sqrt{\sec(\pi a/W)} - \sigma \sqrt{\pi a}$
Since $G = \frac{P^2}{4B} \left\{ \frac{\partial C}{\partial A} \right\} = \frac{P^2}{4B} \left\{ \frac{\partial C}{\partial a} \right\}$ for centre cracked plate and $G = K^2/E$
Analytical calculation of stress intensity factors for ...
For a slanted crack of length in a biaxial stress field with stress in the $\sigma$ direction and in the $\beta$ direction, the stress intensity factors are $K_I = \sigma \cos(2\beta + \alpha \sin 2\beta)$
$K_{II} = \sigma \cos(1 - \alpha) \sin \beta \cos \beta$
$\begin{aligned}
K_{I} &= \sigma \sqrt{\pi a} \left( \cos \beta + \alpha \sin^2 \beta \right) \\
K_{II} &= \sigma \sqrt{\pi a} \left( 1 - \alpha \right) \sin \beta \cos \beta
\end{aligned}$
Calculating stress intensity factor in Abaqus using feature crack Stress Intensity Factor calculation from displacement fields
Aerospace Structures and Materials – 6.2 – Stress, Strain, Fatigue, Damage-Tolerance Stress Intensity Factors Computation by ABAQUS and FRANC3D Fracture Mechanics - Part 1
Fracture Mechanics Concepts: Micro→Macro Cracks; Tip Blunting; Toughness, Ductility Yield Strength Low Cycle Fatigue Crack Growth Simulation+ABAQUS Stress-concentration explained without math equations Introduction to Fracture and the Stress Concentration Factor
Abaqus tutorials for beginners-Crack analysis in Abaqus for 2D plate fatigue crack growth Understanding Fatigue
Failure and S-N Curves
**Topic 6: Fracture Mechanisms Lecture 4**
#Compact_Tension #Specimen_part_1- #XFEM #Crack_Growth crack growth and cyclic fatigue failure example problem
**Fracture Toughness Example: Allowable Pressure in Cracked Titanium Tube; Optimizing Yield Strength Stress intensity factor** Solids: Lesson 17--Stress Concentration Factor Problem ABAQUS tutorial | Explicit | Part 1, Stress-Intensity-Factor-for Two-Specimens-(CT specimen) The Keys To Aging Well Ghoniem
**Design Fatigue:6.2 Stress Intensity Factor**
**Westergaard Solution of Stress Field for Mode-I**
Computation of the stress intensity factor $K_I$ for external ...
Computation of the weight function from a stress intensity ...
(7) $K_I = 6 (S \cdot S \ast) Q W 2 \pi a F I a W$, (8) $K_{II} = \eta Q W 1/2 a W 3/2 1-a W 1/2 F II a W$, where $S \ast$, $\eta$ are correction factors corresponding to the effect of the distance of the load on mode I stress intensity factor and of the crack location on mode II stress intensity factors, respectively.
**Calculation of stress intensity factor using displacement ...**
where $K_{II}$ is the Mode II stress intensity factor. Moreover, the displacement expression for a crack tip under Mode III loading (Figure 4c) can be expressed as:
$$\Delta \theta = \frac{1}{2} \sin \theta$$
where $K_{III}$ is the Mode III stress intensity factor. Hence, the actual displacements around the crack tip area for linear NOVEL PRINCIPLE FOR THE COMPUTATION OF STRESS INTENSITY ...
Computation of the stress intensity factor $K_I$ for external longitudinal semi-elliptic cracks in the pipelines by FEM and XFEM methods Abstract. Evaluation of structural integrity of a cracked structure has become an important matter in the industrial... Introduction. In the field of oil industry,
...
**Computation of mixed mode stress intensity factors in a ...**
The stress intensity factor (SIF) plays the most pivotal role in the application of linear elastic fracture mechanics (LEFM) principles to practice. It is useful in the assessment of safety or reliability of a machine or structural component with a crack.
**A contour integral computation of mixed-mode stress ...**
A new approach for the analysis of stress intensity factors (SIFs) for cracked plane plate is proposed based on the wavelet finite element method using the scaling functions of B-spline wavelet on the interval (BSWI).
and useful parameters in all of fracture mechanics. The stress intensity factor describes the stress state at a crack tip, is related to the rate of crack growth, and is used to establish failure criteria due to fracture. Irwin arrived at the definition of $(K)$ as a |
Article
The Judicial Role in New Democracies: A Strategic Account of Comparative Citation
Johanna Kalb†
I. INTRODUCTION ........................................................................................................... 424
II. THE JUDICIAL ROLE IN TRANSITION ..................................................................... 430
A. Diagonal Accountability ......................................................................................... 430
B. Institutional Empowerment .................................................................................... 433
III. COMMUNICATING THROUGH FOREIGN CITATION .............................................. 437
A. Constitutional Frameworks .................................................................................... 438
B. Judicial Decisionmaking .......................................................................................... 439
C. Public Relations ....................................................................................................... 441
D. Institution Building .................................................................................................. 442
IV. CREATING DIAGONAL ACCOUNTABILITY THROUGH FOREIGN CITATION .......... 444
A. Establishing Judicial Legitimacy and Independence .............................................. 445
B. Legitimating Domestic Institutions .......................................................................... 448
1. Foreign Citation as Acceptance ........................................................................... 449
2. Foreign Citation as Resistance ............................................................................ 451
3. Foreign Citation: Mediating Acceptance and Resistance .................................. 452
4. Foreign Citation: Co-option ............................................................................... 452
V. LESSONS FOR THE DEBATE ..................................................................................... 453
A. Reconsidering the Antidemocratic Critique ............................................................ 454
B. Reconsidering the Methodological Critiques .......................................................... 454
C. Beyond Transition: Comparative Citation Continued ........................................... 459
VI. CONCLUSION ............................................................................................................. 463
† Associate Professor of Law, Loyola University New Orleans College of Law. This Article has benefited tremendously from conversations with Andrea Armstrong, Denny Curtis, Claire Dickerson, David Fosfoma, Robert Gaventa, Tom Ginsburg, Peter Hufschtel, David Law, David Landau, John Lovett, Shira Paritz, Rachel Rechovitch, Judith Resnik, Nicholas Robinson, Jessica Roberts, Craig Senn, Reuben Teague, Robert Verchick, and Keith Werhan, and from the feedback given during presentations at the Law & Society and SEALS annual meetings, at Tulane University Law School, at the University of Connecticut Law School, and at the American University Washington College of Law 2011 Judges and Judging Workshop. I am very grateful for the editorial assistance of the staff of the Yale Journal of International Law. Aaron Hurd, Emily Posner, Krystal Norton, and Patrick Reagin provided diligent research assistance, and Ethelena Scoggins offered invaluable help in collecting research materials. Thanks finally to Deans Brian Bromberger, Kathryn Venturatos Lorio, and María Pabón López of Loyola University New Orleans College of Law for their financial support during this project.
I. INTRODUCTION
Courts in countries as diverse as Uganda, India, South Africa, and Japan have regularly cited foreign and international law in their decisions, particularly when in the early stages of democratic transition. Other courts, in countries such as Taiwan and Hungary, also rely consistently on comparative sources, but are less likely to identify them explicitly in decisions, in part because of the way in which opinions are drafted. Nevertheless, their adoption of key foreign concepts means that “the impact of foreign constitutional courts is easy to detect in many decisions.”
Part of the explanation for the prevalence of this comparative practice in the democracies formed following World War II is clearly structural—their new constitutions often explicitly incorporated international standards or foreign-rights models into their constitutional commitments. Additionally, many such foreign and comparative references are likely utilitarian; new courts lacking legitimate indigenous jurisprudence may need to borrow early on to
1. Emily Posner, Uganda Constitutional Court Research (Sept. 22, 2011) (unpublished manuscript) (on file with author). In 2011, we reviewed the ninety-eight electronically available decisions of the Ugandan Constitutional Court, which serves as the intermediate court of appeals for nonconstitutional matters and as the court of original jurisdiction for constitutional matters. See Tina Kizza, *Court of Appeals of the Judiciary of the Republic of Uganda* (Dec. 20, 2011), http://www.judicature.org.ug/index.php?option=com_content&task=view&id=57&Itemid=101. The court’s decisions are subject to review by the Supreme Court of Uganda. Just under half of these decisions referenced either comparative or international law. While this measure is limited by the sample, it is clear that the Constitutional Court regularly references these sources.
2. Approximately one quarter of all Indian Supreme Court judgments rely on foreign or international law, although that percentage has varied dramatically over time. In the early days of the Court, approximately sixty-five percent of its decisions relied on foreign law, while by the 1990s, approximately ten percent did so. Adam M. Smith, *Making Itself at Home—Understanding Foreign Law in Domestic Jurisprudence: The Indian Case*, 24 BERKELEY J. INT’L L. 218, 240 (2006).
3. In its first three years of existence, the South African Constitutional Court cited foreign law in more than seventy-three percent of its cases. Jacob Foster, *The Use of Foreign Law in Constitutional Interpretation: Lessons from South Africa*, 45 U.S.F. L. REV. 79, 90 (2010). That percentage then declined and has not exceeded six percent since 1997. Nevertheless, foreign law is still cited in almost half of the Court’s most recent cases. Id.
4. See LAWRENCE W. BEER & HIROSHI ITOH, THE CONSTITUTIONAL CASE LAW OF JAPAN, 1970 THROUGH 1990, at 19 (1996) (“[T]he study and use of precedent, including foreign judicial decisions (especially of U.S. and German courts) has become a common feature of judicial life”); see also Yasuo Hasebe, *Constitutional Borrowing and Political Theory*, 1 INT’L J. CONST. L. 224, 235-36 (2003) (describing the process by which “[t]he Japanese Supreme Court gradually accepted . . . American doctrines” dealing with the protection of individual rights, “with some modifications”).
5. See LÁSZLÓ SÓLYOM & GEORG BRUNNER, CONSTITUTIONAL JUDICIARY IN A NEW DEMOCRACY: THE HUNGARIAN CONSTITUTIONAL COURT 5 (2000) (providing examples of comparative citations in Hungary); David S. Law & Wen-Chen Chang, *The Limits of Global Judicial Dialogue*, 86 WASH. L. REV. 523, 557-62 (2011) (discussing comparative citation in Taiwan). This is true even in some well-established national jurisdictions. See, e.g., Basil Markleis & Jörg Fedtke, *The Judge as Comparatist*, 80 TUL. L. REV. 11, 28-29 (2005) (explaining that the avocats généraux who advise France’s Cour de cassation “are nowadays expected to consult foreign law when preparing their recommendations” even though these sources do not, for historical reasons, appear in French judicial opinions).
6. SÓLYOM & BRUNNER, supra note 5, at 4-5; see also Law & Chang, supra note 5, at 559 (observing the same with Taiwanese constitutional jurisprudence).
7. See Tom Ginsburg, *Locking in Democracy: Constitutions, Commitment, and International Law*, 38 N.Y.U. J. INT’L L. & POL. 707 (2006).
speed up the decisionmaking process.\textsuperscript{8} Constitutional commitment, however, is only a partial explanation, for in many of these countries the rate of use of foreign and international law references does not seem to track directly with constitutional requirements. In other words, engagement with foreign and international law does not seem to vary measurably between nations based on differences between their specific constitutional commitments. For example, South Africa’s Constitutional Court is among the courts most active in considering the experience of other countries, even though its Constitution does not require it to do so.\textsuperscript{9} Similarly, the Ugandan Constitutional Court regularly cites both foreign and international law and practice\textsuperscript{10} despite the absence of any explicit constitutional directive.\textsuperscript{11} Despite the constitutional directive to consider international law as part of domestic law, the Namibian Supreme and High Courts consider comparative law more frequently than international law in some areas of their jurisprudence.\textsuperscript{12}
Further undermining a purely structural explanation for the level of citation practice is the fact that courts are frequently unclear as to how they are considering the comparative sources.\textsuperscript{13} They often do not distinguish between the level of authority accorded to ratified treaties and unratified or hortatory instruments, for instance. Rather, courts tend to draw on a wide variety of nonbinding foreign and international law sources that include formal international legal instruments, the opinions of other courts, and descriptions of the practices of other nations to support their reasoning.
The debate about the wisdom and legitimacy of this posture towards considering foreign authority has been most heated in the United States,\textsuperscript{14}
\begin{itemize}
\item[8.] The South African Court was quite explicit about this in its early decisionmaking, noting that “[c]omparative “bill of rights” jurisprudence will no doubt be of importance, particularly in the early stages of the transition when there is no developed indigenous jurisprudence in this branch of the law on which to draw.” \textit{State v. Makwanyane} 1995 (3) SA 391 (CC) at 414 E, ¶ 37 (S. Afr.). In other courts, no explanation is given for the borrowing, but the court’s jurisprudence shows obvious signs of this utilitarian focus. In 2011, we reviewed all electronically available cases from the Malawi Supreme Court of Appeal. The Court cites foreign or international law for persuasive effect in the majority of its electronically available cases; however, these references are commonly to the judicial process of British and other Commonwealth courts. The Court may not consider such citation of law from the historic colonial power as drawing upon “foreign” authority. See Johanna Kalb, Malawi Supreme Court of Appeal (Fall 2011) (unpublished manuscript) (on file with author).
\item[9.] The South African Constitution requires consideration, though not adoption, of international law and permits consideration of foreign law in interpreting the Bill of Rights. S. AFR. CONST., 1996, § 39(1)(b–c).
\item[10.] Posner, \textit{supra} note 1.
\item[11.] CONST. OF UGANDA, 1995, § 137.
\item[12.] Dunia P. Zongwe, \textit{Equality Has No Mothers but Sisters: The Preference for Comparative Law over International Law in the Equality Jurisprudence in Namibia}, in \textit{INTERNATIONAL LAW AND DOMESTIC HUMAN RIGHTS LITIGATION IN AFRICA} 123-24 (Magnus Killander ed., 2010).
\item[13.] For an account of this phenomenon in the jurisprudence of the U.S. Supreme Court, see Karen Knop, \textit{Here and There: International Law in Domestic Contexts}, 32 N.Y.U. J. INT’L L. & POL. 501, 522-24 (2000).
\item[14.] For a discussion of some of the political responses to cases considering foreign authority, see Mark Tushnet, “\textit{The Constitution Restoration Act}” and Judicial Independence: Some Observations, 56 CASE W. RES. L. REV. 1071 (2006). None of the proposed legislative initiatives went anywhere in Congress, nor did a proposed constitutional amendment pass. See generally Nicholas Quinn Rosenkranz, \textit{An American Amendment}, 32 HARV. J.L. & PUB. POL’Y 475, 479-82 (2009) (arguing in favor of a
\end{itemize}
responding to the U.S. Supreme Court’s recent use of these sources in resolving a number of hotly contested decisions relating to the death penalty, gay rights, affirmative action, and federalism. The primary substantive critique of the practice has been that its use by the Court is antidemocratic, as these decisions appear to be privileging the views of the “international community,” or some subset thereof, over the preferences of this country’s citizenry as expressed through the legislative actions of their elected representatives. There are a few different variations on the antidemocratic critique, depending on what type of international or foreign law is under study. One is that the process by which international law is made is itself antidemocratic. Another is that reliance on international law to resolve constitutional ambiguities “could effectively result in the subordination of all domestic law” to international standards, which could (perhaps counterintuitively) weaken domestic constitutional guarantees. The crux of the concern appears to be, however, that “[t]he ability of courts to step outside of the ‘four corners’ of the text and to fill an existing normative cast with contents derived from international law sources liberates judges from the obligation to abide by the original intent of the norm’s drafters . . . [and] amplifies their law-creating role . . . .” In this way, the debate over the uses of foreign authority has reinvigorated American constitutional theory’s long-standing preoccupation with the “counter-
15. See Roper v. Simmons, 543 U.S. 551, 575–78 (2005); Atkins v. Virginia, 536 U.S. 304, 316 n.21 (2002).
16. See, e.g., Lawrence v. Texas, 539 U.S. 558, 573 (2003); see also Bowers v. Hardwick, 478 U.S. 186, 196-97 (Burger, C.J., concurring), overruled by Lawrence, 539 U.S. 558; Perry v. Brown, 671 F.3d 1052 (9th Cir. 2012), cert. granted, 133 S. Ct. 786 (2012); In re Marriage Cases, 43 Cal. 4th 757, 762 n.70 (Sup. Ct. Cal. 2008).
17. See Grutter v. Bollinger, 539 U.S. 306, 344 (2003) (Ginsburg, J., concurring).
18. See Printz v. United States, 521 U.S. 898, 977-78 (1997) (Breyer, J., dissenting).
19. See, e.g., John O. McGinnis & Ilya Somin, Democracy and International Human Rights Law, 84 NOTRE DAME L. REV. 1739 (2009). There is also a related methodological critique, which I discuss in more detail below. See infra note 156 and accompanying text.
20. See John O. McGinnis & Ilya Somin, Should International Law Be Part of Our Law?, 59 STAN. L. REV. 1175, 1204 (2007) (discussing the process through which customary international law norms are identified and the difficulties inherent in changing them); Jed Rubenfeld, Unilateralism and Constitutionalism, 79 N.Y.U. L. REV. 1971, 2012 (2004) (discussing the politics of treaty-drafting).
21. Melissa A. Waters, Creeping Monism: The Judicial Trend Toward Interpretive Incorporation of Human Rights Treaties, 107 COLUM. L. REV. 628, 686 (2007).
22. See Roger P. Alford, Misusing International Sources To Interpret the Constitution, 98 AM. J. INT’L L. 57, 58 (2004).
23. Yuval Shany, How Supreme Is the Supreme Law of the Land? Comparative Analysis of the Influence of International Human Rights Treaties upon the Interpretation of Constitutional Texts by Domestic Courts, 31 BROOK. J. INT’L L. 341, 378 (2006).
majoritarian difficulty” of judicial review, and has stoked the fires of the national political conversation over the appropriateness of “judicial activism.”
Nonetheless, as the conversation has expanded beyond our borders to include the experience of other countries’ courts, the presumption as to the antidemocratic nature of the practice has continued to frame the discussion. Even supporters of the practice often frame their justifications in terms of the counter-majoritarian critique and offer solutions for resolving the democracy deficit of foreign citation. As a result, the most important comparative discussion of foreign citation has been primarily methodological.
24. Alexander Bickel popularized the notion that judicial review poses a “counter-majoritarian difficulty.” ALEXANDER M. BICKEL, THE LEAST DANGEROUS BRANCH: THE SUPREME COURT AT THE BAR OF POLITICS 17 (2d ed. 1986). He argued that when striking down the acts of elected officials as unconstitutional, the Supreme Court “exercises control, not on behalf of the prevailing majority, but against it.” Id.
25. See Gerald L. Neuman, The Uses of International Law in Constitutional Interpretation, 98 AM. J. INT’L L. 82, 82 (2004) (“The arguments for categorical ignorance of international law in constitutional adjudication play on exaggerated fears: fear of foreign domination, fear of judicial activism, fear of the unknown.”); Austin L. Parrish, Storm in a Teacup: The U.S. Supreme Court’s Use of Foreign Law, 2007 U. ILL. L. REV. 637, 647 (“Citation to foreign law sources has become synonymous with judicial activism, sometimes eliciting shrill claims of an out-of-control Court.”); see also Judicial Reliance on Foreign Law: Hearing Before the Subcomm. on the Constitution of the H. Comm. on the Judiciary, 112th Cong. 5 (2011) (statement of Rep. Lamar Smith, Chairman, H. Comm. on the Judiciary) (“Reliance on foreign law exacerbates judicial activism and empowers judges to impose their own policy preferences from the bench.”). The Heritage Foundation’s Rule of Law Initiative includes cases that cite foreign law in its database of “Cases of Judicial Activism.” See Cases of Judicial Activism, HERITAGE FOUND., http://www.heritage.org/initiatives/rule-of-law/judicial-activism (last visited Apr. 15, 2013).
26. See, e.g., ROBERT H. BORK, COERCING VIRTUE: THE WORLDWIDE RULE OF JUDGES 11, 13 (2003) (describing the Supreme Court of Israel as “the most activist, antidemocratic court in the world” as demonstrated in part by its reliance on international and foreign sources); JENNIFER A. WIDNER, BUILDING THE RULE OF LAW 184 (2001) (describing a trend towards international law citation in the late 1980s in eastern and southern African courts and noting the potentially antidemocratic impact of this interpretative strategy); Carlos F. Rosenkranz, Against Borrowings and Other Nonauthoritative Uses of Foreign Law, 1 INT’L J. CONST. L. 269 (2003) (arguing against persuasive citation of foreign authority as antidemocratic both generally and in the Argentine context).
27. Exceptional in this regard is Melissa Waters’s comprehensive comparative study of the nonbinding use of the International Covenant on Civil and Political Rights (ICCPR) by the high courts of Australia, Canada, New Zealand, the United States, and the British Privy Council in the Commonwealth of the Caribbean. See generally Waters, supra note 21, at 695 (arguing that courts should evaluate “the legitimacy . . . of a given interpretive technique . . . taking into account various factors that are unique to their nations’ experience with the treaty in question and their domestic context generally”). Based on these courts’ jurisprudence, Waters diagnoses a trend of “creeping monism” among judges and Justices in common law jurisdictions. As part of this trend, judges are “util[ing] treaties in their work despite the absence of implementing legislation giving formal domestic legal effect to the treaties.” Id. at 636. She challenges this practice across countries on the grounds that it undermines democratic legitimacy, explaining that it is from domestic constitutions and more-favoured notions of a ‘global judicial community’ that domestic courts obtain their legitimacy. Thus, it is to these domestic political sources, and not to international human rights treaties, that they owe their final allegiance.” Id. at 701. Waters concludes by suggesting that this criticism is not fatal to the practice, but rather that common law courts may continue to draw upon unincorporated treaties, assigning them weight based upon their domestic value, as demonstrated by external indicators of the legislative and executive intent. Id. at 701-02. In other words, she contends that the practice requires an additional check from the elected branches to ensure democratic legitimacy.
28. See, e.g., Ursula Bentele, Mining for Gold: The Constitutional Court of South Africa’s Experience with Comparative Constitutional Law, 37 GA. J. INT’L & COMP. L. 219 (2009); Sujit Choudhry, Globalization in Search of Justification: Toward a Theory of Comparative Constitutional Interpretation, 74 IND. L.J. 819 (1999); David Fontana, Refined Comparativism in Constitutional Law,
The problem is that outside of the United States (and, perhaps, other well-established and wealthy constitutional democracies), the institutional assumptions that underlie the counter-majoritarian critique are absent. Its core idea—that the role of the U.S. judiciary should be limited because these are tasks more appropriate for the legislature—does not hold in many countries because it relies upon basic presumptions about the relative strengths, responsibilities, and competences of different political institutions that are simply inapplicable.\textsuperscript{29} Thus, the theoretical underpinning of the antidemocratic critique of foreign citation does not translate well to the regimes in which its use is most common.\textsuperscript{30} Given the prevalence of comparative citation in new democracies, particularly among some of the most successful transitional judiciaries, a full understanding of the meaning of the practice must take into account the context in which it is adopted.
This Article reframes the question about the purpose and effect of foreign citation as one in which meaning and methodology are intertwined within a particular institutional context. It situates the debate about foreign citation within the larger conversation surrounding the judicial role in democratic transition and consolidation. Modern democratic transitions are characterized by a tremendous degree of international influence and pressure, which continues beyond the formal establishment of a democratic government and can threaten the representativeness and accountability of new political institutions. I explain the prevalence of comparative citation among the courts in transitional democracies as in part the result of strategic behavior that aims to legitimize the judiciary and other national institutions and to protect the domestic spaces where democratic processes occur. As such, it may be a tool not just of judicial autonomy and independence, but also, in some cases, of “democracy,” both in the basic sense of enabling political bodies to reflect majoritarian preferences\textsuperscript{31}
\textsuperscript{29} UCLA L. REV. 539 (2001); Vicki C. Jackson, Constitutional Comparisons: Convergence, Resistance, Engagement, 119 HARV. L. REV. 109 (2005).
\textsuperscript{30} See David Landau, Political Institutions and Judicial Role in Comparative Constitutional Law, 51 HARV. INT’L L.J. 319, 323-32 (2010) (articulating the institutional differences that undermine the counter-majoritarian critique in developing countries).
\textsuperscript{31} Although the citation practice of all courts has not yet been empirically studied, the existing evidence suggests that it is more common in new and weak democracies. However, the Supreme Court of Canada has been regularly identified as one of the courts most actively engaged in comparative judicial dialogue. See Law & Chang, supra note 5, at 532. In a study of the 402 Charter cases the Court decided between 1998 and 2003, foreign or international law was cited in thirty-four. See Bijon Roy, An Empirical Survey of Foreign Jurisprudence and International Instruments in Charter Litigation, 62 U. TORONTO FAC. L. REV. 99, 123-24 (2004). Thus, even this very active court seems to reference foreign and international law at a relatively low rate (approximately eight percent of cases decided).
and also in the structural sense of protecting and preserving democratic institutions.\textsuperscript{32}
Parts II and III provide a theoretical framework to explain both the role that the judiciary may play in advancing a democratic transition and the ways in which comparative citation can support these efforts. I begin in Part I by considering the challenges facing the prototypical judiciary in transition and describing how, in new and fragile democracies, courts have an important role to play in developing the mechanisms of “horizontal accountability”\textsuperscript{33} as between governmental institutions, and “vertical accountability,”\textsuperscript{34} as between the population and the national government. In other words, for the democratic transition to be effective, courts must work to maintain the newly created division of authority between the branches of the government while simultaneously defining and preserving the individual rights that ensure the accountability of that government to its people. Moreover, in many cases, the judiciary must manage these complicated domestic relationships under the watchful eye of the international community of foreign donors, nongovernmental organizations (NGOs), and other powerful international actors, who may be asserting their own pressures on domestic actors. Mediating these multidimensional relationships creates the opportunity for courts to engage in “diagonal accountability.”\textsuperscript{35} The network of domestic and international relationships that often give rise to the democratic transition in the first instance\textsuperscript{36} then allows the judiciary to depart from formal, hierarchical accountability paths to mobilize arguments along one axis of accountability in support of promoting accountability along the other.
Of course, whether judges are willing and able to act as agents of diagonal accountability depends on both their internal motivations and their external constraints. But there is reason to believe that diagonal accountability is of real concern to judges. Judges, like other political actors, may be personally and professionally invested in the nation-building project. Even in the absence of this kind of commitment, however, a strategic judge might respond to an unstable political environment by seeking out bases of support beyond the regime in power in order to ensure her own survival after the transition. The strategic judge might thus be seeking ways to communicate her value to both domestic and international audiences.
\textsuperscript{32}. \textit{See, e.g., Robert A. Dahl, On Democracy 38, 85 (1998)} (explaining that “[d]emocracy provides opportunities for: 1. effective participation, 2. equality in voting, 3. gaining enlightened understanding, 4. exercising final control over the agenda, [and] 5. inclusion of adults;” and that the political institutions that are necessary to pursue these goals are “1. elected officials, 2. free, fair and frequent elections, 3. freedom of expression, 4. alternative sources of information, 5. associational autonomy, [and] 6. inclusive citizenship”); S.M. Lipset, Political Man: The Social Bases of Politics 45 (1960) (defining democracy “as a political system which supplies regular constitutional opportunities for changing the governing officials, and a social mechanism which permits the largest possible part of the population to influence major decisions by choosing among contenders for political office”).
\textsuperscript{33}. \textit{See infra} notes 42-43 and accompanying text.
\textsuperscript{34}. \textit{See infra} note 44 and accompanying text.
\textsuperscript{35}. \textit{See infra} note 49 and accompanying text.
\textsuperscript{36}. \textit{See infra} notes 45-47 and accompanying text.
As Part III explains, foreign citation offers courts a powerful tool for signaling their fidelity to good governance to both domestic and international actors. By limiting their own discretion and adopting widely acknowledged international norms or foreign best practices, courts can draw attention and lend authority to their own decisionmaking. The impact of this strategy extends beyond simply promoting acceptance of the outcomes in particular cases. Rather, as Part IV illustrates through a series of national examples, the strategic and consistent use of foreign citation can work to promote the institutional goals of diagonal accountability by allowing courts to enhance their own legitimacy and autonomy and protect the authority of the elected branches in the face of challenging domestic and international pressures. From a democratic theory perspective, the use of comparative citation is thus acceptable in that it draws on “transnational checks and balances”\textsuperscript{37} to help create and maintain space for the democratic deliberation necessary to validate the authority of the new governmental structure and its institutions.
Finally, Part V concludes with reflections on how this strategic account fits into the broader debate on both the appropriateness of foreign citation and its proper application. Long after democracy is established, institutional failures and international pressures may threaten the legitimacy of representative institutions, particularly in countries at earlier stages of economic development.
II. THE JUDICIAL ROLE IN TRANSITION
The role of the judiciary in transitional regimes has received increasing attention in the last few decades based largely on two historical developments. First, constitutionalism and judicial review have become increasingly pervasive attributes of late twentieth-century political transitions, which has increased the predominance of the judicial role in most new democratic regimes. Second, a growing number of countries that once held democratic elections have regressed into authoritarian or semi-authoritarian rule\textsuperscript{38} or have simply failed to move beyond the thin electoral definition of democracy.\textsuperscript{39} In this historical context, scholars have turned their focus to the role that courts can play in helping to consolidate or solidify the post-election transition to a democratic order.
A. Diagonal Accountability
According to Juan J. Linz and Alfred Stepan, democratic consolidation is complete when a government comes to power that is the direct result of a free and popular vote, when this government \textit{de facto} has the authority to generate new policies, and
\begin{itemize}
\item[37.] Eyal Benvenisti, \textit{Reclaiming Democracy: The Strategic Uses of Foreign and International Law By National Courts}, 102 AM. J. INT’L L. 241, 269 (2008).
\item[38.] See generally Guillermo O’Donnell, \textit{Delegative Democracy}, 5 J. DEMOCRACY 55 (1994) (analyzing various countries that replaced authoritarian regimes with democratic governments and discussing the transition from a democracy in name alone to a truly representative democracy).
\item[39.] \textit{Id}.
\end{itemize}
when the executive, legislative, and judicial power generated by the new democracy does not have to share power with other bodies *de jure*.
As is now widely acknowledged, the project of democratic consolidation is inhibited by accountability failures in political institutions. In other words, democracy stalls or collapses because institutional weaknesses undermine the processes by which governmental actors are held responsible for performing their appropriate functions. Courts can aid in democratic consolidation by reinforcing constitutional structures of accountability across a number of different planes.
First, a credible and autonomous judiciary may serve as an important mechanism of horizontal accountability. “In institutionalized democracies, accountability runs . . . horizontally across a network of relatively autonomous powers (i.e. other institutions) that can call into question, and eventually punish, improper ways of discharging the responsibility of a given official.” Given the primacy of judicial review in most new regimes, courts are well positioned to ensure that other governmental actors are subject to the constraints of the law. An effective judiciary may thus be a key institutional actor in preventing the reconsolidation of power in the executive that has characterized so many nations in transition.
Courts also play a role in vertical accountability, which can be understood to characterize the relationship between the citizenry and the national government. In introducing this concept, Guillermo O’Donnell focuses on the methods by which nonstate actors in media and civil society can continue to hold state actors to account through regular election, social mobilization, and media oversight. An effective judiciary can protect and enable these processes of vertical accountability by ensuring governmental respect for the individual rights that underlie them—for example, by ensuring access to the voting booth and protecting freedom of speech and association.
40. JUAN J. LINZ & ALFRED STEPAN, PROBLEMS OF DEMOCRATIC TRANSITION AND CONSOLIDATION: SOUTHERN EUROPE, SOUTH AMERICA, AND POST-COMMUNIST EUROPE 3 (1996). More simply, consolidation occurs when democracy is “the only game in town.” *Id.* at 5. Robert Dahl’s “polyarchy” also requires not only democratic electoral conditions, but also the political institutions of modern representative democracy. See ROBERT A. DAHL, DEMOCRACY AND ITS CRITICS 218 (1989). These notions deepen the concept of democracy from earlier definitions that focused entirely on the existence of free and fair elections as the marker of democracy.
41. A number of scholars have recognized that democracies may persist without reaching consolidation. *See, e.g.,* O’Donnell, *supra* note 38, at 56, 61-62 (defining delegative democracy as those governments where ultra-presidentialism blocks the rule of law and other democratic institutions).
42. *Id.* at 61-62.
43. *See* MARINA OTTAWAY, DEMOCRACY CHALLENGED: THE RISE OF SEMI-AUTHORITARIANISM 3-4 (2003) (describing the emergence of semi-authoritarian regimes in the Soviet successor states, North and Sub-Saharan Africa, Latin America, and Asia); *see also* MICHAEL BRATTON & NICHOLAS VAN DE WALLE, DEMOCRATIC EXPERIMENTS IN AFRICA: REGIME TRANSITIONS IN COMPARATIVE PERSPECTIVE 235 (1997) (highlighting the importance of political institutions, including the judiciary, in enabling democratic consolidation).
44. O’Donnell, *supra* note 38, at 55-69; *see also* GUILLERMO O’DONNELL, DEMOCRACY, LAW, AND COMPARATIVE POLITICS: STUDIES IN COMPARATIVE INTERNATIONAL DEVELOPMENT 1, 7-36 (2001) (exploring the concept of agency as it is expressed in the legal systems of existing democracies); Guillermo O’Donnell, Horizontal Accountability in New Democracies, in THE SELF-RESTRAINING STATE: POWER AND ACCOUNTABILITY IN NEW DEMOCRACIES 29, 29-30 (Andreas Schedler et al. eds., 1999) (examining how media and a professionalized judiciary promote horizontal accountability).
While O’Donnell’s vertical axis ended with the national government, in the democracies of the last fifty years, the notion of vertical accountability arguably extends further to characterize the relationship between the domestic population, the national government, and the international community, which includes international courts, the governments of other nations, and international NGOs. Most recent democratic transitions were in fact driven by pressures from both internal and external constituencies, sometimes in concert.\textsuperscript{45} For example, “[f]ew would question the central role played by occupation forces in fostering democratic government in Germany and Japan after World War II,” while “the American security umbrella played a similar facilitating function for democracy in South Korea, and Taiwan.”\textsuperscript{46} In recent decades, international sanctions have helped to force internal political change (perhaps most notably in South Africa), while “the export of election monitoring technologies such as parallel vote tabulation and exit polls played a crucial role in bringing down Augusto Pinochet in Chile in 1988, unseating Slobodan Milošević in Serbia in 2000, and sparking the Orange Revolution in 2004.”\textsuperscript{47} In each of these cases, donor funding has helped to generate and preserve a global web of civil society groups, which has helped to inspire and operationalize the indispensable efforts of domestic advocates during transitions.\textsuperscript{48} Moreover, even long after the formal democratic transition has occurred, new governments, particularly in the economically underdeveloped countries of the Global South, continue to confront pressures from the international community to maintain systems of democratic governance, to protect and promote human rights, and to facilitate economic integration.
Thus, governmental actions during the transitional period and beyond are under increased levels of scrutiny from both vertical and horizontal audiences, which can mobilize each other in support of accountability at the national level. The judiciary can also play a role in mediating these relationships by protecting the domestic rights that enable these transnational connections—by protecting access to the Internet and to international travel, for example. The ongoing activity along both of the axes creates the opportunity for the judiciary to engage in what we may describe as “diagonal accountability.”\textsuperscript{49} In modern
\textsuperscript{45} See generally Laurence Whitehead, \textit{The International Dimensions of Democratization: Europe and the Americas} (1996) (discussing the role of international relations in the democratic development of states in the Americas); Kristian Skrede Gleditsch & Michael D. Ward, \textit{Diffusion and the International Context of Democratization}, 60 INT’L ORG. 911 (2006) (arguing that international context influences democratic transition); Jon Pevehouse, \textit{Democracy from the Outside-In? International Organizations and Democratization}, 56 INT’L ORG. 515 (2002) (theorizing the influence of regional international organizations on successful democratic transitions).
\textsuperscript{46} Michael McFaul, Amichai Magen & Kathryn Stoner-Weiss, \textit{Evaluating International Influences on Democratic Transitions} 5 (Stanford Ctr. on Democracy, Dev. & the Rule of L. Working Paper, 2007), http://iis-db.stanford.edu/res/2278/Evaluating_International_Influences_-_Transitions_-_Concept_Paper.pdf.
\textsuperscript{47} Id. at 5.
\textsuperscript{48} Id. at 5-6.
\textsuperscript{49} Anne Marie Goetz and Rob Jenkins introduced this term to describe the potential role that nonstate actors, such as NGOs, could play in promoting horizontal and vertical accountability. See Anne Marie Goetz & Rob Jenkins, \textit{Hybrid Forms of Accountability: Citizenship Engagement in Institutions of Public-Sector Oversight in India}, 3 PUB. MGMT. REV. 363, 368 (2001). They describe, as an example,
regimes in transition, the judiciary must be responsive to activities on both the vertical and horizontal axes. The challenge is in satisfying these different audiences that are sometimes in harmony and sometimes in conflict. The courts, given their responsibility for preserving the possible channels of horizontal and vertical accountability, are uniquely positioned to manage this overlap and can mobilize one axis “diagonally” in support of promoting accountability along the other. Courts may draw on international support “vertically” to protect against encroachment from the other branches “horizontally”—for example, by reaching out to influential international institutions to put pressure on the president to comply with judicial orders limiting executive authority. Alternatively, courts may be well positioned to safeguard the authority of other domestic institutions along the horizontal axis by acting as a site of resistance against coercive international pressures—for example, by striking down as unconstitutional domestically unpopular legislation forced on the elected branches by international actors.
My use of the notion of “diagonalism” thus recognizes the multidimensional channels of accountability that are available to judges in these transitional regimes. Because the formalized mechanisms of individual rights and separation of powers are not well established in these countries, alternative and informal channels of communication and leverage between domestic and international audiences may be much more effective in promoting accountability. This Article explains how courts can use comparative citation to engage these channels of diagonal accountability. Before turning to this discussion, however, the next Section considers why judges might choose to take on this role.
B. Institutional Empowerment
Whether a judiciary is able and willing to be an effective agent of diagonal accountability depends on both internal motivation and external constraints. As the judiciary’s role in democratic transition has become more prominent, scholars have begun to examine the behavior of judges in these regimes in order to identify the conditions most conducive to the emergence of independent judicial institutions. This project initially drew from the U.S. literature exploring strategic models of judicial behavior. The strategic models
the role of public interest litigation in India to demonstrate the way in which citizens can “enter into legal-constitutional accountability institutions to become active demanders of answerability in a forum that carries the weight of enforceability.” *Id.* This term has since been expanded to encompass entities like citizen-led institutions that operate from outside the state to promote horizontal accountability. *See* Mitchell O’Brien, *Social Accountability—Citizens, Civil Society, and the Media Working with Parliament to Prevent Conflict and Reduce Poverty*, in *WORLD BANK, PARLIAMENTS AS PEACEBUILDERS IN CONFLICT-AFFECTED COUNTRIES* 111 (Mitchell O’Brien et al. eds., 2008) (“[D]iagonal accountability . . . breaks down the strict division between vertical and horizontal accountability and augments the limited effectiveness of civil society’s watchdog function by breaking the state monopoly for executive oversight . . . .”). Alternatively, it has been used to describe administrative accountability mechanisms like ombudsmen and inspectorates that stand in no “hierarchical relationship to public organisations and have few powers to enforce their compliance.” Marc Bovens, *Analysing and Assessing Public Accountability: A Conceptual Framework*, 13 EUR. L.J. 447, 460 (2007).
find that judicial decisionmaking is based significantly on the anticipated reactions to those decisions by other institutional and political actors.\textsuperscript{50} The early studies, which focused on the U.S. Supreme Court, supported the strategic account by demonstrating that the Justices are more likely to tailor their decisions to avoid reversals by Congress\textsuperscript{51} or to align their decisionmaking with the preferences of the executive administration.
This account of judicial behavior has been challenged by Segal and Spaeth, who adopt the “attitudinalist” approach to judicial behavior. They argue that “institutional protections for judges and high costs in reversing judicial decisions [mean that] judges do not need to fear the reactions of other branches. The institutional structures of the American government effectively enable judges to follow their ‘sincere’ policy preferences.”\textsuperscript{52} Even if Segal and Spaeth are correct that the presence of these institutional structures undermines the strategic theory in the U.S. context,\textsuperscript{53} their critique would make it more relevant to countries in transition. The robust protections that allow U.S. judges to decide cases without real fear are not well-established in transitional regimes: “Protections for security of tenure are untested, extra-institutional threats to judges’ safety abound, and expectations that political actors will actually follow judicial orders are uncertain.”\textsuperscript{54} Thus, attention to how other actors will behave is pressing for judges in these societies. While all judiciaries lack the power of the sword or the purse,\textsuperscript{55} for courts in transitional democracies, this problem is more than theoretical.
Recognizing these differences, scholars have begun to develop models of judicial independence specifically for nondemocratic\textsuperscript{56} regimes. Given the lack of real institutional protections and the potentially high cost of noncompliance,\textsuperscript{57} courts in these countries could reasonably be expected to
\textsuperscript{50} Lee Epstein & Jack Knight, \textit{The Choices Justices Make} (1998); Lee Epstein & Jack Knight, \textit{Toward a Strategic Revolution in Judicial Politics: A Look Back, A Look Ahead}, 53 POL. RES. Q. 625, 628 (2000).
\textsuperscript{51} See Pablo T. Spiller & Rafael Gely, \textit{Congressional Control or Judicial Independence: The Determinants of United States Supreme Court Labor-Relations Decisions, 1949-1988}, 23 RAND J. ECON. 463 (1992).
\textsuperscript{52} Peter VonDoepp, \textit{Politics and Judicial Assertiveness in Emerging Democracies: High Court Behavior in Malawi and Zambia}, 59 POL. RES. Q. 389, 390 (2006) (citing Jeffrey A. Segal, \textit{Separation of Powers Games in the Positive Theory of Congress and Courts}, 91 AM. POL. SCI. REV. 28 (1997)).
\textsuperscript{53} There is considerable dispute as to whether even the U.S. Justices are so immune to external pressures. See, e.g., Frank B. Cross, \textit{Political Science and the New Legal Realism: A Case of Unfortunate Interdisciplinary Ignorance}, 92 NW. U. L. REV. 251 (1997) (summarizing and critiquing the attitudinal model).
\textsuperscript{54} VonDoepp, \textit{supra} note 52, at 390.
\textsuperscript{55} \textit{THE FEDERALIST} No. 78, at 300 (Alexander Hamilton) (John Spencer Bassett ed., 1921).
\textsuperscript{56} Nondemocratic or “hybrid” governments are “regimes [that combine] both democratic and authoritarian elements.” Larry Diamond, \textit{Thinking About Hybrid Regimes}, 13 J. DEMOCRACY 21, 23 (2002).
\textsuperscript{57} See, e.g., \textit{Further Attacks upon the Judiciary in Zimbabwe Lead to Resignation of Judge}, INT’L BAR ASS’N HUM. RTS. INST., http://www.ibanet.org/Human_Rights_Institute/About_the_HRI/HRI_Activities/HRI_Media/HRI_Interventions/archive/000501_Zimbabwe.aspx (last visited Jan. 17, 2013) (describing a Zimbabwean judge’s resignation in response to public threat to attack him in his home); \textit{International Bar Association Condemns Attacks on Judiciary}, COLOMBO TELEGRAPH (Oct. 31, 2012), http://www.colombotelegraph.com/index.php/international-bar-association-condemns-attacks-on-judiciary
align their decisionmaking with the preferences of power-holders.\textsuperscript{58} Nonetheless, the reality on the ground is far more complex, with judiciaries in nondemocratic systems often acting in ways that limit the power of the governing regime. A growing literature attempts to account for these unexpectedly independent courts by identifying the incentive structures in these regimes that would reward independent behavior.\textsuperscript{59} Most of the work in this area has focused on the concerns that would motivate political actors to delegate power to the courts.\textsuperscript{60} For example, even nondemocratic regimes may value the public legitimacy that legal approval of their actions bestows.\textsuperscript{61} For the validation of the courts to be meaningful, however, “judicial institutions must enjoy some degree of real autonomy from the executive, and they must, at least on occasion, strike against the expressed will of the regime.”\textsuperscript{62} External pressures may also push nondemocratic regimes to allocate power to courts. The establishment of independent courts may be necessary to attracting much-needed foreign direct investment or development aid.\textsuperscript{63} These structural accounts have significant explanatory power, but they tend to center the narrative of judicial independence on the desires of other political actors, reflecting an underlying assumption that “courts operate in an environment of national political constraints that compromise their own institutional legitimacy and decisional efficacy.”\textsuperscript{64}
A small but growing body of work focuses more directly on the actions of the judges themselves. Jennifer Widner argues that the incentives that political actors have to delegate power during a constitutional transition may not ensure their continued respect for judicial independence, particularly once it has
\textsuperscript{58} See Tom Ginsburg & Tamir Moustafa, Introduction: The Functions of Courts in Authoritarian Politics, in RULE BY LAW: THE POLITICS OF COURTS IN AUTHORITARIAN REGIMES 1, 14-18 (Tom Ginsburg & Tamir Moustafa eds., 2008).
\textsuperscript{59} Id.
\textsuperscript{60} Id.
\textsuperscript{61} Id.
\textsuperscript{62} Id. at 6.
\textsuperscript{63} For some transitional regimes in the least developed countries (LDCs), donor support is critical to the government’s operations and thus to its survival. In Uganda, for example, foreign aid has made up as much as thirty percent of the government budget in recent years. Homaie Masoum, Uganda: Donors Cut Budget Support, ALLAFRICA: INDEPENDENT (Kampala) (Aug. 9, 2010), http://allafrica.com/stories/201008101266.html. This level of support is not uncommon among LDCs. See Rousbeh Legatis, Translating Southern Successes into Helping Least Developed Countries: An Interview with Josephine Ojiamo, Kenya’s Ambassador to the U.N. and President of the General Assembly’s High-Level Committee on South-South Co-operation, GUARDIAN (London), May 6, 2011, http://www.guardian.co.uk/global-development/2011/may/06/southern-successes-ldcs-josephine-ojiamo (discussing the role of donors within African LDCs and how offering advancement and stability is important to maintaining the forty percent of the FDI that is from foreign donors).
\textsuperscript{64} Nancy Maveety & Anke Grosskopf, “Constrained” Constitutional Courts as Conduits for Democratic Consolidation, 38 LAW & SOC’Y REV. 463, 463 (2004).
actually been asserted.\textsuperscript{65} She therefore proposes an important role for the judges in “lock[ing] in” their own independence.\textsuperscript{66} In the African cases that she discusses, judicial reformers worked to professionalize their court systems to make their operations more accessible and more transparent to users and to the judges themselves. This reflected the recognition, in the words of Tanzania’s Chief Justice Nyalali, that “[t]he ultimate safeguard [of judicial independence] is really public opinion.”\textsuperscript{67}
Widner’s account also begins to explain why a judge would be motivated to engage in independent behavior even after it becomes clear that the regime will no longer protect (and may even punish) insubordination. If judicial actors are led to believe, either through historical experience or perhaps through signals from the electoral process,\textsuperscript{68} that the dominant party’s control is tenuous, they may seek to broaden their base of support in order to ensure their own survival when and if the regime changes. In other words, in a climate (or in a culture) of political instability, judges may believe that it makes sense not to put all their “eggs in the basket” of the existing government. Instead, in times of uncertainty, judges may be able to build a more reliable base of support external to the government by demonstrating their own neutrality and commitment to good governance.\textsuperscript{69} Rather than trying to pick a winner, judges may “opt for a form of behavior labeled ‘strategic neutrality.’ These judges have incentives to conceal their preferences and render decisions based on legal considerations in political cases, so that they can avoid being labeled as either pro- or antigovernment.”\textsuperscript{70}
While “strategic neutrality” was proposed as a response to political instability, even a regime-friendly judge might adopt this strategy as a way of perpetuating the existing power structure in which he holds a privileged position. As others have explained, the ruling government often benefits from the continued participation of the opposition in electoral politics.\textsuperscript{71} If the opposition believes that there is nothing to be gained through participating in the political process (because both elections and judicial procedures will always be resolved in favor of the regime), it is more likely to resort to force. Moreover, external observers of the political process, both domestically and
\textsuperscript{65} Jennifer A. Widner, \textit{Building the Rule of Law: Francis Nyalai and the Road to Judicial Independence in Africa} 34-35 (2001).
\textsuperscript{66} \textit{Id.} at 35.
\textsuperscript{67} \textit{Id.} at 36 (citing Interview by Jennifer A. Widner with Francis L. Nyalali, Chief Justice, Tanzania High Court, in Washington, D.C. (May 1995)); see also \textit{id.} at 107 (“In the final analysis, [Georges] wrote, the only real safeguard is an alert public opinion, quick to show its resentment when restrictive measures are proposed which are not reasonably justified in a democratic society.” (quoting Philip Telford Georges, \textit{Traditionalism and Professionalism}, in \textit{LAW AND ITS ADMINISTRATION IN A ONE PARTY STATE: SELECTED SPEECHES OF TELFORD GEORGES} 49 (R.W. James & F.M. Kassam eds., 1973))).
\textsuperscript{68} See generally Jill I. Goldenzeil, \textit{Veiled Political Questions: Islamic Dress, Constitutionalism, and the Ascendance of Courts}, 61 AM. J. COMP. L. 1, 11-12 (2013) (arguing that when courts see opposition groups gain/lose power in elections, they begin to “strike bargains between competing political interests and attempt to further their own institutional goals”).
\textsuperscript{69} VonDoepp, \textit{supra} note 52, at 397 (citation omitted).
\textsuperscript{70} \textit{Id.} at 397.
\textsuperscript{71} See Goldenzeil, \textit{supra} note 68, at 1.
internationally, may be watching the court’s behavior for indications as to whether the democratic process is functional (and therefore whether the regime in power is worthy of support). Exercising judicial power entirely in support of the existing regime might actually hasten its dissolution. Thus, a regime-friendly judge might engage in strategic neutrality in order to preserve the opposition’s continued participation in the constitutional system of governance, and to assure court observers that the process is working properly.
For strategic neutrality to work, however, the judiciary must have an audience for its “good governance” behaviors. The challenge faced by the judiciary in many transitional democracies (particularly those that are economically underdeveloped) is that the domestic constituency for judicial independence is often limited or nonexistent and very difficult to build, given weak social, legal, and technical infrastructure. Judges may be rendering fair and well-reasoned decisions, but if the population isn’t aware of or does not understand them, they will do little to mobilize public support for the courts. In these circumstances, judges may find it easier to communicate with and demonstrate their value to an international audience. Furthermore, powerful international actors like foreign donors may also be able to offer more concrete and immediate protection from retaliation or regime change.
To summarize, this Part has presented a frame through which to understand the challenges facing judiciaries in transition. First, in order for the democratic transition to succeed (or at least not fail), the judiciary must perform its accounting and legitimating functions at the intersection of the horizontal and vertical axes because the relevant political community for their decisionmaking extends beyond national borders. Moreover, the judges themselves are internally motivated to engage with these foreign and domestic audiences, as a way of separating their personal or institutional futures from the success of the regime in power. Thus, a strategic account of judging in this environment suggests that these courts will be looking for tools to navigate their domestic responsibilities in a way that helps protect their own institutional reputation and autonomy.
Through this institutional lens, the practice of comparative citation must be reexamined. The next Part considers the use of comparative citation not in terms of the substantive outcomes that it allows in particular cases, but rather as a possible tool of diagonal accountability in a new regime.
III. COMMUNICATING THROUGH FOREIGN CITATION
I have suggested that judges in new and weak democracies may adopt judicial independence as a response to political uncertainty, and that they will be looking for ways to communicate this commitment to a variety of internal and external actors. This Part contends that references to international and foreign law in a court’s decisions can perform an important communicative
72. As others have noted, the debate over this practice has generally been characterized by definitional imprecision. Commentators tend “to conflate foreign and international legal sources and to treat both kinds of sources as part of a broad, vaguely defined category known as ‘foreign authority.’”
function about the court’s fidelity to rule of law principles. In recent decades, constitution drafters have recognized the potency of making these commitments, and have thus incorporated international and foreign legal norms into the constitutive documents of new regimes. This Part explores the ways in which courts’ continued references to these norms may help to legitimate the legal order beyond the drafting period.
A. Constitutional Frameworks
As Tom Ginsburg has demonstrated, new constitutional regimes incorporate international law norms to show internal and external pre-commitments to the rule of law.\textsuperscript{73} “Constitutions [therefore] represent self-binding acts, whereby drafters restrict the actions available to future politicians.”\textsuperscript{74} Codifying specific international norms within the constitutional document or adopting a receptive procedural posture towards international and foreign law within the constitutional framework demonstrates to the external audience that the government is serious about building a legal system that adheres to widely accepted standards for legitimate behavior. These foreign and international law commitments serve an expressive purpose for nations emerging from oppressive or dictatorial regimes and eager to reinvent themselves on the international stage. For example, “Argentina borrowed in order to manifest its adherence to the same restrictions on governmental power that characterized the foreign and international law it adopted.”\textsuperscript{75} Several of the post-Communist countries did so to differentiate the new order from the past regime.\textsuperscript{76} Finally, South Africa adopted its provision on foreign and international law to rejoin the world community from which it had been excluded during the apartheid regime.\textsuperscript{77}
\textsuperscript{73} Tom Ginsburg, \textit{Locking in Democracy: Constitutions, Commitment, and International Law}, 38 N.Y.U.J. INT’L L. & POL. 707 (2006).
\textsuperscript{74} Id. at 710 (citing Jon Elster, \textit{Ulysses and the Sirens: Studies in Rationality and Irrationality} 26–111 (1979); Stephen Holmes, \textit{Passion and Constraint: On the Theory of Liberal Democracy} 134–77 (1995); Stephen Holmes, \textit{Precommitment and the Paradox of Democracy, in Constitutionalism and Democracy} 195 (John Elster & Rune Stagsæd eds., 1988)).
\textsuperscript{75} Rosenkrantz, \textit{supra} note 26.
\textsuperscript{76} See Wictor Osiatynski, \textit{Paradoxes of Constitutional Borrowing}, 1 INT’L J. CONST. L. 244, 249 (2003).
\textsuperscript{77} The Preamble to the South African Constitution makes this point explicitly, stating that the Constitution is adopted to “[b]uild a united and democratic South Africa able to take its rightful place as a sovereign state in the family of nations.” S. AFR. CONST., 1996, pmb.; see also John Dugard, \textit{International Law and the South African Constitution}, 1 EUR. J. INT’L L. 77 (1997) (discussing the international legal foundations of the Constitution and their role in allowing South Africa to rejoin the international community).
Additionally, external pressures may require conformity with particular constitutional templates.\textsuperscript{78} In modern transitions, the inclusion of particular constitutional ideas has been a necessary condition of independence,\textsuperscript{79} foreign aid,\textsuperscript{80} or peace.\textsuperscript{81} This account of the role of international and foreign law in the drafting process recognizes that “constitution-making is framed not only by domestic ‘upstream’ and ‘downstream’ constraints, but also by constraints of acceptability among and anticipated reaction by other nations.”\textsuperscript{82}
These constitutional precommitments also speak to domestic constituencies. Ginsburg suggests that these constitutional provisions operate in three ways: by committing to subject future performance to international monitoring; by committing to pay costs for future noncompliance with constitutional commitments; and by delegating decisionmaking authority on particular issues to international actors.\textsuperscript{83} Each of these mechanisms permits constitutional negotiators to delegate some control over constitutional compliance to outsiders. Placing such “international law commitments in the constitution may help to ‘lock in’ democracy domestically by giving important interest groups more confidence in the regime.”\textsuperscript{84} And, because ordinary domestic politics have been so discredited in these countries, insiders are more willing to trust in the validity and integrity of international processes to protect their own interests after the moment of constitutional commitment.
B. Judicial Decisionmaking
Given the powerful commitment function that references to international and comparative law serve at the drafting period, it makes sense that comparative citation continues to be invoked as a tool by transitional judiciaries even beyond what is necessitated by newer constitutional structures. Citation of foreign authority provides these transitional judiciaries with a common language for mediating between national and international audiences to legitimate the new institutions of the transitioning nation in ways that loosely follow some of its functions at the drafting stage.
\textsuperscript{78} See David Law & Mila Versteeg, \textit{The Evolution and Ideology of Global Constitutionalism}, 99 CALIF. L. REV. 1163, 1178 (2011).
\textsuperscript{79} See CHARLES PARKINSON, \textit{BILLS OF RIGHTS AND DECOLONIZATION: THE EMERGENCE OF DOMESTIC HUMAN RIGHTS INSTRUMENTS IN BRITAIN’S OVERSEAS TERRITORIES} 1-19 (2007) (discussing Britain’s insistence on the inclusion of a bill of rights modeled after the European Court of Human Rights in the post-independence constitutions of its African and Caribbean colonies).
\textsuperscript{80} See, e.g., CAROL LANCASTER, \textit{FOREIGN AID: DIPLOMACY, DEVELOPMENT, DOMESTIC POLITICS} 17, 47 (2007) (explaining that during the “third wave” of democracy, aid was provided “both as an incentive for governments to implement political reforms and a source of financing for activities related to democratization”).
\textsuperscript{81} See Noah Feldman, \textit{Imposed Constitutionalism}, 37 CONN. L. REV. 857, 857-59 (2005) (describing the conditions surrounding constitutional development in the former Yugoslavia, East Timor, Afghanistan, Iraq, post-war Germany, and post-war Japan).
\textsuperscript{82} See VICKI JACKSON, \textit{CONSTITUTIONAL ENGAGEMENT IN A TRANSNATIONAL ERA} 85 (2010) (footnotes omitted).
\textsuperscript{83} See Tom Ginsburg, \textit{Locking in Democracy: Constitutions, Commitment, and International Law}, 38 N.Y.U. J. INT’L L. & POL. 707 (2006).
\textsuperscript{84} Id. at 712.
First, paralleling its function of constitutional precommitment, comparative citation may demonstrate to both internal and external audiences the judges’ willingness to commit to reasoned, legal decisionmaking. For court systems with a reputation for corruption and abuse, reference to widely adopted international standards may communicate that judges are willing to cabin their discretion to outcomes that fall within broadly accepted standards of behavior. Of course, the extent of these limitations “depends on the degree of determinacy provided by the international body of law.” Open-ended international standards may do little, as a practical matter, to define boundaries on judicial decisionmaking. Nonetheless, their use can still communicate a posture of self-restraint and fidelity to international “best practices” that make other actors internally and externally more willing to accept the court’s judgments.
Related to the courts’ commitment to bounded discretion and rationality is their ability persuasively to articulate the foundations of their decisionmaking. For courts beginning the process of building a constitutional framework, as well as constructing the legal process in which it is embedded, beginning the persuasive narrative presents a challenge. “Legal process” scholars would suggest that a requirement for establishing the “[r]ule of [I]aw” is “reasoned elaboration of the connection between recognized, pre-existing sources of legal authority and the determination of rights and responsibilities in particular cases.” For transitional regimes, the “recognized, pre-existing sources of legal authority” may, out of necessity, be foreign and international law. Beyond adopting an “originalist” approach—an orientation that may or may not be favored in countries in transition—there is often little indigenous jurisprudence upon which to draw for justification.
Finally, citing to parallel reasoning by more established courts may allow for a borrowing of their perceived legitimacy by a court lacking in its own. Like constitution drafters, courts may build confidence in the regime by delegating some authority over decisional outcomes to external decisionmakers. Demonstrating that a conclusion is widely adopted law in successful democratic regimes can provide authority for reaching a similar conclusion at home. For well-established courts in nations like South Africa,
85. JACKSON, supra note 82, at 48. (“While international human rights law may have fairly determinate application on some issues—for example, the prohibition on torture—given the breadth of human rights provisions and the absence of hierarchically final decision-makers to resolve the meaning of those provisions there is considerable room for national discretion in the interpretation of these rights and thus a need for domestic courts to develop their own jurisprudence.”)
86. Richard H. Fallon, Jr., “The Rule of Law” as a Concept in Constitutional Discourse, 97 COLUM. L. REV. 1, 18 (1997).
87. Most leading South African jurists have, for example, explicitly rejected originalism as an interpretive basis for their country’s constitutional commitments. See Jamal Greene, On the Origins of Originalism, 88 TEX. L. REV. 1, 3 (2009). In fact, as Greene has argued, despite its enthusiastic reception in the United States, the appeal of originalism appears to have limited international reach. See id. at 2-4.
88. In these cases, “[t]he information value of an international legal norm is not simply the norm and reasons for it but that it is enforced as law in other countries; in other words, its ‘status’ as law is relevant to the ‘information’ the source provides.” JACKSON, supra note 82, at 148 (footnote omitted).
Israel, and Taiwan whose political histories have isolated them from the international community, judicial reference to international and comparative law principles can help demonstrate a posture of acceptance and engagement. David Law and Wen-Chen Chang report, based on interviews with members of the Constitutional Court of the Republic of China in Taiwan, that the Justices are well aware of the role they play in helping “Taiwan... generate badly needed support and acceptance among the international community by following in the footsteps of powerful and prestigious countries.” For courts in economically developing countries, citing international and foreign law principles may work to demonstrate competence and relevance. Moreover, even if a court diverges from some or all of the cited international or foreign authorities, the practice of developing and challenging domestic jurisprudence against the framework of international law or practice creates a frame of reference for articulating both what the new constitution is and what it is not.
C. Public Relations
Beyond its direct impact on the development of the legal regime, the practice of comparative citation may raise the prominence of the court and the nation on the international stage. Decisions that would have been interesting based solely on their outcomes take on increasing significance because of their connection to international trends. Citing foreign and international law (or adopting parallel concepts from other jurisdictions) may draw attention to decisions in ways that make them more likely to be of interest to foreign judges and scholars. And there are international institutions dedicated to measuring
89. Law & Chang, supra note 5, at 570.
90. See Vicki C. Jackson, Narratives of Federalism: Of Continuities and Comparative Constitutional Experience, 51 DUKE L.J. 223, 260-61 (2001) (“Even if the reasoning of a foreign court ultimately is rejected, explaining why it is inapplicable or wrong could improve the quality of the [U.S. Supreme] Court’s reasoning, making its choices more clear to the audience of lawyers, lower courts, legislators, and citizens.”).
91. The format of judicial opinions means that they can be more persuasive and comprehensive than legislation, a phenomenon the recognition of which generated controversy in the early history of the United States. See JOHN PHILLIP REID, LEGISLATING THE COURTS: JUDICIAL DEPENDENCE IN EARLY NATIONAL NEW HAMPSHIRE 8-9 (2009) (noting that legislators opposed case publication on the grounds that it privileged the pronouncements of judges over legislators).
92. As Vicki Jackson explains:
References to transnational sources may relate not only to the place of the court’s nation in the community of nations, but also to the status and relationship of courts to each other in the development of law, thus fostering an autonomous professionalism of independent courts (to which end the display of knowledge alone may have some perceived value) and/or the autonomous content of law under the interpretive control of judges.
Vicki C. Jackson, Transnational Discourse, Relational Authority and the U.S. Court: Gender Equality, 37 LOY. L.A. L. REV. 271, 283 (2004). Scholars have noted that the jurisprudence of the Indian, South African, and Colombian courts should and do receive increased attention and discussion due to their extensive and innovative consideration of foreign and international law. See Bentele, supra note 28, at 265 (noting that the South African Constitutional Court’s studied use of foreign law has resulted in increasing attention to that court’s decisionmaking by other foreign courts); Martha F. Davis, Public Rights, Global Perspectives, and Common Law, 36 FORDHAM URB. L.J. 653, 682 (2009) (suggesting that the opinions of the South African and Colombian Constitutional Courts might be useful sources for comparative consideration “given their leadership in adjudication involving human rights norms”); Cesar Rodriguez-Garavito, Beyond the Courtroom: The Impact of Judicial Activism on Socioeconomic Rights in Latin America, 89 TEX. L. REV. 1669, 1671-72 (2011) (“The South African Constitutional
progress on international human rights issues, which collect and publicize court decisions if they discuss human rights treaty instruments.\textsuperscript{93} These references can thus operate as a sort of marketing tool to promote developments on the ground in terms that make the judgments that incorporate them more likely to resonate internationally. Particularly for courts in countries that, for geographic, geopolitical, or financial reasons, may have limited opportunities to interact personally with key international constituencies, comparative citation is a way to speak to these audiences and increases the likelihood that they will be heard.
D. Institution Building
To this point, I have suggested reasons why foreign citation may build confidence in a court’s decisionmaking, both internally and externally, by linking it to well-established international norms and practices. Comparative citation may, however, also be alienating in particular cases, particularly when its use supports outcomes that run counter to widespread domestic practices. For instance, in the African context, “with high levels of legal pluralism and a limited rights culture,”\textsuperscript{94} reliance on international law norms may cause the court to be viewed as out of step with the general population, if not with internationally educated elites. The sensitivity may be heightened, in some instances, by the historical experience of Western colonialism.\textsuperscript{95} Some transitional courts seem to respond to concerns about the legitimacy of comparative citation by borrowing international and foreign law concepts, without specifically attributing these ideas to their origins.\textsuperscript{96} In so doing, they
\textsuperscript{93} Additionally, a number of NGOs maintain databases of the human rights decisions of national courts. \textit{See Mission and Governance}, INT’L NETWORK FOR ECON., SOC. & CULTURAL RTS., http://www.escr-net.org/cat/1/1372 (last visited Mar. 7, 2013) (collecting decisions of national courts related to economic, social, and cultural rights); \textit{Search INTERIGHTS Website and the Commonwealth and International Human Rights Case Law Database}, INT’L CTR. FOR THE LEGAL PROT. OF HUM. RTS., http://www.interights.org/search/index.html (last visited Mar. 7, 2013) (collecting human rights decisions of national courts in Commonwealth countries); \textit{ICRC Databases on International Humanitarian Law}, INT’L COMM. OF THE RED CROSS, http://www.icrc.org/en/resources/intl-databases/index.jsp (last visited Mar. 7, 2013) (cataloging decisions of domestic courts implementing international humanitarian law). Additionally, through the human rights reporting processes connected to the major United Nations treaties and the Universal Periodic Review, which provides for a holistic human rights review of every U.N. member state, governments can highlight the judicial decisions of domestic courts on human rights issues for national and international scrutiny.
\textsuperscript{94} Jennifer Widner, \textit{Building Judicial Independence in Common Law Africa}, in \textit{THE SELF-RESTRAINING STATE}, 177, 189-90 (Andreas Schedler et al. eds., 1999).
\textsuperscript{95} \textit{See Thiruvenagadam, supra} note 92, at 71 (2008) (“In respect of colonies, the historic reasons favouring trans-judicial influence have been counteracted by the pressure to cast off the imperialist past to establish strong foundations of indigenous constitutionalism.”).
\textsuperscript{96} This sentiment was expressed by a Justice of the Taiwanese Constitutional Court, who stated that “it is ‘harder to justify mentioning foreign law in opinions,’ when ‘we feel we are writing for the country.’” \textit{Law & Chang, supra} note 5, at 559 (quoting Interview with Justice G., Justice of the
may mask what they are doing domestically, while continuing to communicate with their audiences internationally (assuming that legal experts in the nation of origin recognize the appearance of their own legal concepts).
But even in these controversial cases, where courts act in ways that are counter-majoritarian, comparative citation may work to legitimate the judicial system and thus contribute to the process of democratic consolidation. As David Law has posited: “[T]he more often that a court renders unpopular (or unpersuasive, or unenforceable) decisions, that are nevertheless obeyed, the greater the court’s power . . . may become.”97 This observation seems like it would be particularly true in countries in which law has historically been subordinate to power. Observing executive or legislative compliance with adverse court decisions is likely to do substantially more than a well-reasoned court decision to demonstrate the power and influence of the judiciary. Of course, courts may also undermine their legitimacy by “render[ing] decisions that are visibly the subject of disobedience.”98 The use of comparative citation thus plays into a strategic choice that all courts face about which uses of power reinforce and which undermine their own authority. Courts in fragile democracies may, however, have more difficulty assessing these outcomes. Moreover, the diagonal account suggests an additional complexity to this narrative, in that courts may also have to take into account how external audiences view their outcomes and authority and balance these perceptions with those of domestic observers. And to the extent that jurists are unable to make good guesses, following the path of comparative citation to an unpopular outcome is a risky proposition.99
This account also suggests that there may be an interactive dynamic between domestic courts and international and comparative law that is more complex than in the examples previously discussed.100 Thus far, I have argued that international and foreign citation may lend support to domestic institutions. In fact, the relationship may be more nuanced. Citing foreign and international law to support “popular” outcomes may build support for the court and respect for its authority. The court can then draw upon its own institutional legitimacy when engaged in comparative citation in support of unpopular outcomes.
Constitutional Court of the Republic of China, in Taipei, Taiwan, Dec. 27, 2010). Additionally, the stylistic norms of the Court disfavor lengthy opinions or footnotes. Id. at 558-59.
97. David S. Law, A Theory of Judicial Power and Judicial Review, 97 GEO. L.J. 723, 780 (2009); see also John Hart Ely, Democracy and Distrust: A Theory of Judicial Review 48 (1980) (“[O]ne of the greatest threats to legislative power is to assert it.”).
98. Law, supra note 97, at 781.
99. Even adopting domestically popular outcomes may be dangerous. The new Hungarian Constitution explicitly limits the powers of the constitutional court on budget and tax matters, in part in response to the Court’s decisions referenced in Subsection III.B.2., infra. See also Judy Dempsey, Hungarian Parliament Approves New Constitution, N.Y. TIMES, Apr. 18, 2011, http://www.nytimes.com/2011/04/19/world/europe/19hrt-hungary19.html (explaining that curbing the Constitutional Court’s power is “[o]ne of the most disputed provisions” of the new Constitution).
100. Expanding the sample beyond new and fragile democracies further complicates the story. While my account frames the diagonal relationship as mediating pressures from the international community on the national regime, in other contexts, the trajectory may be reversed in countries whose powerful national courts can influence international norms.
without serious fear of popular reprisal.\textsuperscript{101} The strategic citation of comparative authority may thus be self-reinforcing and self-sustaining, building support not only for domestic courts and institutions, but also for the international norms themselves once the court’s authority as a decisionmaker is recognized.
Law’s account of judicial legitimacy points to another challenge in the practice of foreign citation. His theory of the efficacy of judicial review depends on the court’s ability to provide clear signals as to the legitimacy of governmental behavior. One of the criticisms that has been lodged against the practice of comparative citation is that it renders court decisions lengthier and more difficult to comprehend due to its reliance on borrowed concepts and norms.\textsuperscript{102} If true, this could potentially diminish a court’s “coordinating” power by limiting its ability “to send clear and unambiguous signals.”\textsuperscript{103} In some cases, there may be a tension between using comparative and international law accurately and persuasively, and preserving the communicative force of court opinions, particularly when the court views its audience as extending beyond the educated elites.
While potentially legitimating, therefore, comparative citation practice is certainly not unambiguously positive. Nevertheless, the challenges posed by its use are also not unique. Rather, they raise the same questions about the sources of legitimacy and power that are posed by the broader project of judicial review. The strategic account views judges as political actors, who quite self-consciously navigate these complicated decisions, sometimes in the interests of their own credibility and autonomy, and sometimes to further the national governance project.
In sum, comparative citation practice offers courts a potent tool for communicating with both domestic and international audiences about the qualities of the court and the other institutions of the new regime. The next Part examines the role of comparative citation as a mechanism through which the judiciary may develop and promote the channels of diagonal accountability.
IV. CREATING DIAGONAL ACCOUNTABILITY THROUGH FOREIGN CITATION
Because of its signaling value, comparative citation can be exercised as a tool of diagonal accountability to build internal and external support for new domestic institutions in ways that protect their autonomy and ability to operate despite the pressures of the domestic transition and globalization. Comparative citation can thus operate on two fronts: it can legitimate the outcomes of the particular decisions within which it appears, while communicating certain characteristics of the new regime in ways that can help to build institutional autonomy.
This Part examines ways in which the judiciary can invoke comparative citation in service of diagonal accountability. Because this institutional use of
\textsuperscript{101} See infra note 190 and accompanying text.
\textsuperscript{102} See Rosencrantz, supra note 26, at 292-93.
\textsuperscript{103} See Law, supra note 97, at 777.
comparative citation operates outside the substantive outcomes in particular cases, the connections are difficult to draw based on the reasoning in individual cases. Moreover, as others have noted, measuring international influence by counting citations misses the more complete picture of the ways in which international and foreign laws are transmitted between courts.\footnote{104} My purpose here is, therefore, not to offer an institutional explanation for comparative citation as either exclusive or causal, but rather to articulate the paths through which diagonal accountability may be operating to protect the autonomy of challenged domestic institutions in transition.
A. Establishing Judicial Legitimacy and Independence
Judges are perhaps the most immediate beneficiaries of the comparative citation practice. Referencing foreign and international law norms, as demonstrated in the reasoning of other courts or the practice of other nations, can help establish the credibility of the judges to both their internal and external audiences. This is a challenge faced at some level by most new judiciaries. In some situations, as in South Africa, members of the founding generation are shifting from being political advocates to judicial decisionmakers. To do this successfully, they must convince the parties in conflict that they are “independent” and can be neutral arbiters of the cases before them.\footnote{105} In other situations, there is more long-term consistency in the composition of the bench.\footnote{106} This presents its own challenge when the prior legal (or even constitutional) regime has been discredited and the judges and Justices are asked to legitimate themselves within a new legal framework. Relying on comparative and foreign citation may demonstrate the neutrality of the decisionmaking process by showing that reasoning or outcomes are consistent with either international norms or the practice of other established democracies, rather than with political pressures.
Creating a reputation for neutrality is only part of that process of building judicial credibility, however. As previously discussed, judges also need to have a base of support to protect themselves against the fallout of unpopular decisions and to ensure that their orders are observed. Supporting its decisionmaking with comparative citation could help a court avoid being labeled as either pro- or antigovernment—or as aligned with a particular faction or interests—which might help it survive fluctuations in power. Additionally,
\footnote{104}{See Law \& Chang, \textit{supra} note 5, at 533 n.33.}
\footnote{105}{Heinz Klug has explained that in the early years of the South African Constitutional Court, the central challenge faced by its judges was to demonstrate its ability to mediate political conflict that might threaten violence in the absence of an established domestic jurisprudence. See Heinz Klug, \textit{Constituting Democracy: Law, Globalism and South Africa’s Political Reconstruction} 157-59 (2000).}
\footnote{106}{In Uganda, for example, the current Chief Justice of the Supreme Court was first appointed to a position in the judiciary while the country was under the rule of Idi Amin. He was elevated to the Supreme Court in 1986 shortly after Milton Obote was deposed and the National Resistance Movement took power. In 1989, he was asked to chair the Uganda Constitutional Commission. He returned to the Court in 1993. \textit{See, e.g.,} Benjamin J. Odoki, \textit{The Search for a National Consensus: The Making of the 1995 Uganda Constitution}, at v-vi (2005).}
by demonstrating a commitment to the rule of law (again with reference to international norms), judges can build a base of support domestically—but also (along the vertical axis) with international allies, which could include judges on other national courts, other governments, or international organizations. The latter is a powerful constituency, which may help the court survive attacks from the other branches.
Although the complexities of the interactions make it difficult to prove causality, the experience of the Ugandan courts offers an example of how courts can draw upon mechanisms of diagonal accountability to protect their autonomy in the face of internal challenges to their independence. By presenting themselves as committed to the rule of law, evidenced, at least in part, through the regular citation of international and comparative law in their decisionmaking,\textsuperscript{107} the Ugandan courts have effectively mobilized domestic, regional, and international NGOs, as well as donors, on their own behalf.
Perhaps the most significant recent threat to the independence of Uganda’s judiciary came in the government’s response to a series of judicial decisions rebuffing the politically motivated attempts to prosecute a key opposition leader, Kizza Besigye, and his supporters for treason, and Besigye himself for rape.\textsuperscript{108} The Attorney General and the military attempted to remove the defendants from the jurisdiction of the civilian courts by drawing on the newly passed Antiterrorism Act for the authority to try them in a military court martial.\textsuperscript{109} The case brought the executive branch and the judiciary into direct conflict. The defendants’ first bail hearing was interrupted by the arrival of thirty armed commandos who tried to force their way into the holding cells, resulting in an evacuation of the judges by court security.\textsuperscript{110} When reports of the behavior of the “Black Mambas” reached the press, the government banned media discussion of the treason, claiming that the \textit{sub judice} rule precluded public discussion of any case before the court. President Yoweri Museveni publicly criticized the courts, accusing them of playing partisan politics by supporting Besigye.
Despite these attacks, the Ugandan courts continued to defend their independence with the support of both domestic and international constituencies. Some of the judges and Justices spoke out publicly against the attacks on the judiciary. Domestically, “[t]he Uganda Law Society (the bar association) and the Ugandan Human Rights Commission both issued statements critical of the government throughout the episode, publicized the issues externally, and got people in the streets to demonstrate.”\textsuperscript{111} Despite governmental bans, several newspapers continued to write critical editorials. A long list of international actors also weighed in.
\begin{itemize}
\item[107.] See Posner, \textit{supra} note 1.
\item[108.] This account is drawn primarily from Jennifer Widner & Daniel Scher, \textit{Building Judicial Independence in Semi-Democracies: Uganda and Zimbabwe}, in \textit{RULE BY LAW: THE POLITICS OF COURTS IN AUTHORITARIAN REGIMES} 235, 238-48 (Tom Ginsburg & Tamir Moustafa eds., 2008).
\item[109.] \textit{Id.} at 240-42.
\item[110.] \textit{Id.} at 241.
\item[111.] \textit{Id.} at 246-47.
\end{itemize}
A group of foreign envoys paid a visit to the court on the day of the first bail hearing. They were prevented from reaching the containment cell by the Black Mambas, but their presence sent a clear signal to the crowd. The Danish ambassador, chief of Uganda’s development partners, tried to attend the court martial but was ordered out by the generals. The human rights groups issued reports and monitored events closely. The International Commission on Jurists sent representatives to monitor the trials, creating reputational pressure for the judges and lawyers. By mid-December, the governments of Sweden, the Netherlands, Norway, Ireland, and Britain had cut their bilateral aid programs in protest. Tony Blair spoke publicly against the actions at the opening of the Commonwealth Conference. The EU demanded a fair trial and expressed concern about the charges. The U.S. State Department issued a statement expressing concern about events.
These protests were somewhat effective. Besigye was allowed to stand for the election and lost, although by a smaller margin than in 2001. Following the election, the government announced that it would comply with the Constitutional Court’s ruling that only the civilian courts could hear the case against Besigye. The rape case was tried before Justice John Katutsi, who ultimately acquitted Besigye and criticized the government in his judgment for abuse of process. The treason charges continued in civilian court before a new judge, Vincent Kagaba, who stayed the trial to permit the defense to challenge the constitutionality of some aspects of the trial.
In October 2010, the Constitutional Court unanimously dismissed the treason cases against Besigye and his supporters, holding that in light of the governmental attacks on the petitioners’ human rights, no subsequent prosecution could meet the constitutional standard for a fair trial. In enjoining the continued prosecution, the Court relied on language from the courts of Kenya and the United Kingdom to bolster its authority:
These authorities are not binding on Uganda courts but they are highly persuasive. The situation their Lordsships were dealing with in Kenya and in Britain is very [similar] to the situation we are dealing with in this petition. We cannot stand by and watch prosecutions mounted and conducted in the midst of such flagrant, egregious and mala fide[sic] violations of the Constitution and must act to protect the constitutional rights of the petitioners in particular and the citizens of Uganda in general as well as the Rule of Law in Uganda by ordering all the tainted proceedings against the petitioners to stop forthwith . . .
112. Id. at 247.
113. Besigye challenged the fairness of the election in a suit against the election commission. In a decision characterized by Widner and Seher as “slightly reminiscent of Marbury,” the Supreme Court acknowledged widespread problems with the election, but concluded that no remedy was necessary because the irregularities had not affected the electoral result. Id. at 245. Besigye responded to the court’s decision with a veiled threat that candidates in future elections might resort to bush struggle if the electoral processes were not to be trusted. Id. at 245–46.
114. Anne Mugisa & Hillary Nsambu, Uganda: Col. Besigye Treason Case Dismissed, ALLAFRICA: NEW VISION (Oct. 12, 2010), www.allafrica.com/stories/201010130033.html.
115. Besigye v. Att’y Gen., [2010] U.G.C.C. 6 (Uganda) at pt. 7 (citing Mwasia Mutua v. Republic, (2006) Criminal Appeal No. 120 of 2004 (Kenya), http://kenyalaw.org/Downloads_FreeCases/Albanus%20%20%20%2020.04.pdf; Republic v. Karuga Karatu (Kenya), High Court Criminal Case No. 12 of 2006, http://kenyalaw.org/Downloads_FreeCases/violation_of_rights_pdf.pdf; Regina v. Horseferry Rd. Magis. Ct., [1994] 1 A.C. (H.L.) 42), available at http://www.ulii.org/ug/judgment/constitutional-court/2010/6.
Besigye has since been rearrested on other charges and the struggles for accountability in Uganda continue.\textsuperscript{116} Nonetheless, the judiciary in Uganda continues to maintain its respected position as a reasonably neutral arbiter of constitutional conflicts. Its regular reliance on international and foreign law allows it to draw “diagonally” on sources of legitimacy and authority that extend beyond national borders and call attention to its attempts to constrain the overreaching acts of the executive, even in the face of threats to their personal and institutional security. Moreover, the perceived independence of the judiciary and the high levels of political support it enjoys internationally likely explain why Besigye continues to challenge Museveni through the political process,\textsuperscript{117} rather than by the forceful means that have characterized Uganda’s previous political transitions.\textsuperscript{118}
B. Legitimating Domestic Institutions
While judges are perhaps the most direct beneficiaries of the legitimating effects of comparative citation, courts may also use the practice strategically to mediate the democratic effects of external pressures on the elected branches. Transitional regimes, particularly those in the developing world, face significant international pressures to adopt legal reforms that enable economic globalization and to enforce internationally recognized human rights standards. These pressures may conflict with domestic norms and even with domestic constitutional protections.\textsuperscript{119} For newly established governments, dependent on donor support and eager to generate economic development, these global pressures are difficult to resist.
Additionally, the increasing prevalence of supranational courts puts harmonization pressure on domestic courts.\textsuperscript{120} If transnational regimes provide greater legal protections than domestic regimes, the domestic regime becomes
\textsuperscript{116} See Uganda’s Kizza Besigye ‘Put Under House Arrest,’ BBC News, May 19, 2011, http://www.bbc.co.uk/news/world-africa-13452143.
\textsuperscript{117} See supra note 113.
\textsuperscript{118} The experience of the Ugandan courts in drawing on diagonal accountability is not unique. Peter VonDoepp describes similar incidents at the domestic level both in Zambia and Malawi, two other judiciaries that have established relatively good reputations for independence in the face of political pressure. See PETER VONDOEPP, JUDICIAL POLITICS IN NEW DEMOCRACIES: CASES FROM SOUTHERN AFRICA 41-113 (2009). Freedom House assessments of judicial independence score Zambia at 4.15 and Malawi at 4.13 in the “rule of law” category. To give some perspective on what this means, Freedom House groups countries in the same category as many more economically developed nations like South Africa (4.28), Argentina (4.18), and Brazil (4.06). Jake Sherman et al., Countries in the Crossroads 2010: An Analysis of Democratic Governance, FREEDOM HOUSE (2010), http://www.freedomhouse.org/report/countries-crossroads/countries-crossroads-2010. While neither court is particularly innovative in its use of foreign and comparative law, their decisions are usually permeated with citations to other Commonwealth countries. Only rarely are these decisions described as foreign.
\textsuperscript{119} For example:
In Colombia, the Philippines, and Mexico constitutional provisions for the protection of national resources and control over resources have come under challenge when they are seen to obstruct economic globalization. Courts in some of these countries have relied on particular provisions of national constitutions to resist certain foreign investment, privatization, or foreign or transnational standards of compensation that differ from the domestic rule.
JACKSON, supra note 82, at 36.
\textsuperscript{120} David S. Law, Generic Constitutional Law, 89 MINN. L. REV. 652, 715 (2005).
irrelevant.\textsuperscript{121} This observation applies with even greater force to the legal regimes of new democracies, which generally lack a presumption of relevance to begin with. Providing protections lower than could be achieved through international adjudication undermines investment in the new legal regime for insiders and outsiders. It can also set the country up for embarrassing or costly losses in international or regional human rights courts, or in international investment disputes (for example, if property protection regimes do not match international standards for expropriation).
On the flip-side, adopting unpopular legislation to meet the demands of international harmonization pressures can undermine the credibility of these new, elected institutions with the voters. The elected branches thus face something of a “Catch-22,” in that the actions they must take to satisfy powerful international constituencies may directly threaten their domestic political survival. The judiciary can help mediate these conflicts through the language of comparative citation.
1. \textit{Foreign Citation as Acceptance}
By relying on foreign citation in constitutional interpretation, courts may give politically challenging legislative acts a stamp of domestic legitimacy by demonstrating that international principles are constitutionally embedded. Lending its constitutional approval to “controversial, national legislation made under conditions of international influence, the constitutional court [can] settle[] political conflict over legislative policy in a national way.”\textsuperscript{122} In other words, by making the explicit connection between international norms and domestic constitutional principles, the courts can provide cover for the political branches engaged in internationally defined democratic reforms.
This observation builds on the work of Nancy Maveety and Anke Grosskopf, who proposed this theory of the judicial role in the context of deeply disputed minority-language protections in Estonia. The 1992 Estonian Constitution guarantees protection for minority rights and separately grants noncitizens the right to vote in municipal elections. Nonetheless, in the mid-1990s, the Estonian parliament passed the Language Act, which designated Estonian as the national language and required facility in it for public and private employment, and the Local Councils Election Act, which, inter alia, made proficiency in Estonian a voting qualification. These national decisions restricting minority rights placed Estonia in conflict with international organizations like the Organization for Security and Cooperation in Europe and the European Union, which exerted pressure on the nation to revise its domestic legislation.
Maveety and Grosskopf credit the Supreme Court with breaking the impasse on minority language rights. In 1998, the Court issued two cautious rulings on minority rights, relying on “technical rather than value-based
\textsuperscript{121} \textit{Id.}
\textsuperscript{122} Maveety & Grosskopf, \textit{supra} note 64, at 464.
arguments in deciding the cases.”\textsuperscript{123} However, the decisions also contained carefully worded hints as to the potential constitutional implications of the measures, invoking significant principles from European jurisprudence. Thus, while the Court returned the challenged legislation to the parliament purely on procedural grounds, it provided substantive guidance that ultimately was adopted, although reluctantly, as the acts were revised. The Court’s “recasting of international constraints—and national, nationalistic constraints—into a debate about constitutional power reconstituted the choice context of the legislature in such a way as to present obeisance to international standards as nationally acceptable.”\textsuperscript{124}
Comparative citation aids in the process Maveety and Grosskopf describe. By referencing the practice of other nations following similar international norms, courts can give meaning to domestic constitutional principles in ways that help legitimate unpopular outcomes. Moreover, even speaking in terms that outside observers understand, as the Estonian Supreme Court did in referencing the European concepts of proportionality and relevance, may help to buy time for domestic deliberation by signaling to the international community that its concerns are registering domestically.
While the Estonian language restrictions appear to have had majoritarian support domestically, in other cases a small but influential minority may make harmonization politically challenging. Through drawing national and international parallels, courts can provide additional justification for controversial legislative initiatives in ways that diffuse these political pressures. An example, again from the Ugandan context, might be the recent outlawing of the practice of female genital mutilation (FGM). After the constitutionality of the practice was challenged in court, the Parliament of Uganda criminalized the practice, despite concerns among some members that this action would provoke a backlash among village elders deeply committed to its continuation.\textsuperscript{125} The Constitutional Court thereafter declared FGM unconstitutional, finding that the practice violates Uganda’s constitutional commitments under international law. In reaching this holding, the Court relied most heavily on a nonbinding U.N. statement on the elimination of FGM as persuasive evidence both of the medical problems with the practice and of the international consensus against its continued use in light of “well-established human rights principles.”\textsuperscript{126} Thus, the Court’s reliance on foreign practice helped to provide cover for a controversial domestic legislative initiative.\textsuperscript{127}
\begin{itemize}
\item \textsuperscript{123} \textit{Id.} at 477.
\item \textsuperscript{124} \textit{Id.} at 476
\item \textsuperscript{125} Wambi Michael, \textit{Female Circumcisions Still a Vote Winner}, \textsc{Inter Press Serv.} (Oct. 19, 2009), http://ipsnews.net/news.asp?idnews=48915 (discussing the political challenge posed by enacting national legislation banning female genital mutilation).
\item \textsuperscript{126} The court’s reliance on international human rights principles was reported as a basis for its decision in the Ugandan press. \textit{See Court Outlaws Female Genital Mutilation}, \textsc{AllAfrica: New Vision} (July 29, 2010), http://allAfrica.com/stories/201007290467.html.
\item \textsuperscript{127} While the practice of FGM has not ended in Uganda, there has been no reported backlash against the Parliament for its action. International agencies have praised Uganda for its initiative and are now working on educational programs to maximize the impact of the legislation. \textit{See} Brenda Asimwe,
\end{itemize}
Both of these examples demonstrate ways in which the judiciary can translate international norms into domestic law in ways that are more palatable to domestic audiences. At some point, however, international pressures may require policy changes so counter to domestic desires—or so politically impossible to implement—that adopting them fundamentally undermines the authority and credibility of domestic power structures. In these cases, courts may offer a way of resisting internationally imposed demands by relying on the language of other broadly accepted international norms.
2. Foreign Citation as Resistance
Because of their relative insulation, courts may be better positioned to legitimate a posture of resistance than the elected branches. The international norm acknowledging the importance of judicial independence means that these actors are unlikely to be the subjects of direct international coercion in the way that the elected branches are. Moreover, the judiciary may draw on the practice of comparative citation as a way of challenging international actors on their own terms. Through carefully drafted opinions, jurists may express the conflict not only as national versus international, but also as between international legal commitments.
For example, some courts have drawn on international human rights principles—either directly or as expressed in the jurisprudence of other national courts—to reject pressures toward economic harmonization. The Hungarian Constitutional Court rejected as unconstitutional some of the austerity measures imposed by the elected branches in response to pressure from the International Monetary Fund (IMF). It legitimated these decisions, in part, by drawing on the jurisprudence of other European constitutional courts. The Supreme Court of India has also relied extensively on international law norms to develop a robust constitutional protection against environmental degradation—a protection that can now be invoked to resist claims based on trade law or treaties. In these cases, domestic courts may be raising broad international human rights principles to resist the pressures of globalization in a way that draws in other international actors (like environmental advocates) as allies, and
---
128. Kim Scheppele, A Realpolitik Defense of Social Rights, 82 TEX. L. REV. 1921, 1941-42 (2004).
129. László Sőlyom, Introduction to the Decisions of the Constitutional Court of the Republic of Hungary, in CONSTITUTIONAL JUDICIARY IN A NEW DEMOCRACY: THE HUNGARIAN CONSTITUTIONAL COURT 1, 37. (László Sőlyom & Georg Brunner eds., 2000).
130. Benvenisti points to the decision of the High Court of Madras in Novartis AG v. Union of India, 2007 A.I.R. 24759 (Madras H.C.), in which it refused to adjudicate the company’s claims that India’s revised patent laws violated the nation’s obligations under the TRIPS Agreement “as a possible harbinger of this trend.” Benvenisti, supra note 37, at 268. The court’s “seemingly technical reasoning” in dismissing the suit based on venue, “did hint at the underlying concern, the constitutional right to health: at stake was the patentability of Gleevec, a life-saving drug for leukemia patients, and the continued supply of the much cheaper generic version by Indian companies to patients in India and other developing countries.” Id.
which the broader international community must publicly address and negotiate.
3. Foreign Citation: Mediating Acceptance and Resistance
More frequently, perhaps, the domestic path will be one both of acceptance and resistance. Because it is generally not the institution responsible for actual implementation, the judiciary is well situated to mediate these pressures in ways that maintain the credibility of the domestic regime for both internal and external audiences. The South African Constitutional Court's decision in *Government of the Republic of South Africa v. Grootboom* offers an example of this kind of balancing.\(^{131}\) The case involved a constitutional challenge brought by a homeless community to their local municipality's refusal to provide them with temporary shelter. Amici curiae in the case argued that the Court should adopt the substantive standard of review provided by the International Covenant on Economic, Social and Cultural Rights, an instrument South Africa has not yet ratified.\(^{132}\) The Court acknowledged the position of the United Nations Committee on Economic, Social and Cultural Rights, which interprets the Covenant to require state parties to devote all resources at their disposal, first, to satisfy the "minimum core content" of the right to adequate housing.\(^{133}\) The Court suggested, however, that it was institutionally ill-positioned to define the "minimum core content" of the right in the South African context.\(^{134}\) It concluded instead that the measures taken by the State must be "reasonable," and that in this situation, they were not.\(^{135}\)
The *Grootboom* decision thus represents a careful balance between broadly accepted international human rights standards and domestic political realities. While engaging with and acknowledging the international norm, the Court ultimately deferred to the political branches in the first instance to set the priorities of the national housing program. In so doing, the Court communicated the national commitment to meeting internationally recognized socioeconomic standards, but also validated the primacy of the domestic democratic process in making policy determinations for the nation.\(^{136}\)
4. Foreign Citation: Co-option
The efficacy of foreign citation as a tool of diagonal accountability depends on the norms that its audiences are willing to reinforce. These last examples demonstrate how foreign citation may help courts mobilize support in ways that protect judicial independence, democratic accountability, and legitimacy. In some countries and moments, however, the norms that
\(^{131}\) *South Africa v. Grootboom* 2001 (1) SA 46 (CC) (S. Afr.).
\(^{132}\) Brief for Human Rights Commission of South Africa and Community Law Centre as Amici Curiae, *South Africa v. Grootboom* 2001 (1) SA 46 (CC), ¶¶ 16-29 (S. Afr.).
\(^{133}\) *Grootboom* 2001 (1) SA 46 (CC), ¶¶ 29-33.
\(^{134}\) Id. ¶¶ 32-33.
\(^{135}\) Id. ¶¶ 54, 67-69.
\(^{136}\) Id. ¶¶ 41-43.
international audiences are willing to reinforce may run counter to domestic preferences. Tamir Moustafa argues that in Egypt the regime created independent courts as a way of demonstrating to foreign investors that private property rights would be respected, even against claims made by the State.\textsuperscript{137} Moustafa explains that the Supreme Constitutional Court then used this space to create protections for domestic civil and political rights.\textsuperscript{138} It is at least possible, however, to envision a scenario in which judges would choose to protect their personal and institutional interests by aligning entirely with powerful foreign investors. This could translate into court decisions limiting the government’s ability to regulate private economic activity, thus preventing the elected branches from responding to domestic demands for labor or environmental protections. While this particular threat seems somewhat unlikely to materialize given recent trends in international investment law,\textsuperscript{139} the example illustrates the risk that a particular international interest might be able to “capture” the judiciary and undermine domestic democratic processes.
While theoretically possible, the strategic account suggests that this outcome is relatively unlikely. As the preceding discussion demonstrates,\textsuperscript{140} power dynamics in new and hybrid democracies are characterized, first and foremost, by uncertainty. Shifting interests and allegiances, both domestically and internationally, mean that it will rarely be in the best interests of the judiciary to be transparently and fully aligned with a single international constituency—no matter how powerful. Rather, judicial self-interest is better served by maintaining support amongst a broad coalition of domestic and international actors.
In sum, this Part has argued that comparative citation can aid in diagonal accountability because it allows for courts to mediate conflicts between domestic and international audiences in ways that build the credibility of new democratic institutions. And, for courts acting strategically to preserve their own autonomy and legitimacy, comparative citation represents a unique and effective tool.
V. LESSONS FOR THE DEBATE
This institutional account of the practice of comparative citation sheds a very different light on the study and critique of the practice. This Part examines
\textsuperscript{137} See generally: Tamir Moustafa, \textit{Law and Resistance in Authoritarian States: The Judicialization of Politics in Egypt}, in \textit{RULE BY LAW: THE POLITICS OF COURTS IN AUTHORITARIAN REGIMES} 132 (Tom Ginsburg & Tamir Moustafa eds., 2008).
\textsuperscript{138} \textit{Id.} at 149 (describing Supreme Constitutional Court rulings reforming the electoral system and protecting the freedom of the press).
\textsuperscript{139} Charles N. Brower & Stephan W. Schill, \textit{Is Arbitration a Threat or a Boon to the Legitimacy of International Investment Law?}, 9 CHI. J. INT’L L. 471, 472 (2009) (“[I]nvestment treaties have proliferated to an unprecedented degree, having surged from less than 400 in 1989 to well over 2,500 bilateral, regional, and sectoral treaties today.”); Joshua B. Simmons, \textit{Valuation in Investor-State Arbitration: Toward a More Exact Science}, 30 BERKELEY J. INT’L L. 196, 200 (2012) (“The past decade has witnessed a well-documented growth spurt of international investment arbitration.”). The growing availability of private investment arbitration is likely to further weaken investor interest in the jurisprudence of domestic courts since more of these disputes will be resolved outside of them.
\textsuperscript{140} See \textit{supra} Section I.B.
what the strategic account has to offer in the way of understanding the current debate, both as to nations in transition and to the United States.
A. Reconsidering the Antidemocratic Critique
Viewed in this political and institutional context, the antidemocratic critique that has permeated much of the existing literature on foreign citation becomes problematic for three reasons. First, the appropriate role for the judiciary is much less understood in countries where the legitimacy and efficacy of the elected branches is questionable. Second, these countries have a much different relationship with international and foreign law, both because of their constitutional commitments, and, more meaningfully, because of their tenuous position on the international stage and their more pressing need for international support. Finally, judges in these countries lack the institutional protections available to judiciaries in more established regimes, and thus must rely on different strategies to create and protect themselves and their institution. Thus, the relationship between accountability and independence in these courts is different than the one assumed in the U.S. context. Rather than viewing them in tension, or as different sides of the same coin,\textsuperscript{141} in transitional regimes, accountability and independence may be reinforcing, as courts try to protect themselves from horizontal attacks by building a base of popular support.\textsuperscript{142}
The problem in these transitional democracies is therefore not one of overly independent federal judges and Justices, stepping outside of their constitutionally delegated roles to override the more accountable branches in order to impose their own preferences in individual cases. Rather, this is a story of judges under tremendous internal and external pressures mediating a very complicated system of transnational checks and balances through “the language of foreign and international law,”\textsuperscript{143} with the goal of protecting and preserving the new institutions of democracy. The strategic explanation of foreign citation, thus, turns the antidemocratic critique on its head. Foreign citation may be enabling judges and Justices in transitional democracies to play a crucial role in building and maintaining the pathways of diagonal accountability among new governmental institutions. To the extent these efforts are successful, the practice is actually contributing to democratic consolidation (or at least, as the Ugandan example suggests, in democratic preservation).
B. Reconsidering the Methodological Critiques
This account also problematizes the study of foreign citation within the context of individual case outcomes. While most comprehensive comparative studies tend to look at how courts use foreign and comparative citation in
\textsuperscript{141} Stephen B. Burbank & Barry Friedman, \textit{Reconsidering Judicial Independence}, in \textit{JUDICIAL INDEPENDENCE AT THE CROSSROADS: AN INTERDISCIPLINARY APPROACH} 9, 14-15 (Stephen B. Burbank & Barry Friedman eds., 2002).
\textsuperscript{142} Interestingly, this may mean that the problem is one of majoritarianism by the courts, rather than the reverse.
\textsuperscript{143} See Benvenisti, \textit{supra} note 37, at 271.
individual cases and interpret their usage in light of these outcomes, this study suggests that this kind of parsing may miss important big-picture conclusions about the practice.
This is not to suggest that methodology is irrelevant; rather, these critiques should be considered in light of the systemic function of the practice. For example, one of the major criticisms in the U.S. context has been that the Court is engaged in “cherry-picking” or “nose-counting.” The cherry-picking charge suggests that the Court is not truly considering the collective wisdom of the world experience in its comparative scan, but rather is selectively picking those jurisdictions that support its desired outcome. A variation on this critique accuses the Court of “nose-counting.” Ernest Young suggests that decisions like *Roper v. Simmons* cite foreign law not for their reasoning, but rather to increase the “denominator” of jurisdictions that reject a certain practice (like the juvenile death penalty) in order to make clear that the challenged U.S. practice is an outlier.
If the strategic account is accurate, then these concerns may be less applicable in countries in transition because the purpose of the citations is at least as much about signaling as it is about outcomes. The selection of comparators indicates to both domestic and international audiences that the court is joining a particular community of respected or similar actors. And it may simultaneously suggest to those national or international courts a commitment to their core principles.
These decisions may be both pragmatic and political. Jörg Fedtke has described this calculus in the context of the Iraqi constitution-drafting process:
> [P]urely political reasons did *not* make the American model (despite its undisputable qualities) ‘an ideal’ choice in the search for inspiration. The German and South African variations did, on the other hand, offer intriguing and (more importantly) *politically acceptable* possibilities to an emerging nation desperately trying to come to grips with a model of federalism and human rights protection which best suits its troubled realities.
While his account focuses on the concerns surrounding the constitutional commitment, these same factors likely inform the process of judicial borrowing as well.
144. See, e.g., Foster, *supra* note 3, at 126-30.
145. See Christopher McCrudden, *A Common Law of Human Rights? Transnational Judicial Conversations on Constitutional Rights*, 20 OXFORD J. LEGAL STUD. 499, 507 (2000).
146. Ernest A. Young, *Foreign Law and the Denominator Problem*, 119 HARV. L. REV. 148, 153 (2005).
147. In other words, as Aharon Barak said in response to the cherry-picking critique: “What’s wrong with looking out over a crowd and picking out friends? Should I look out over the crowd and pick out my enemies?” Aharon Barak, President, Israeli Supreme Court, Address to Students at Yale Law School (Sept. 20, 2007) (quoted in Harold Hongju Koh & William Michael Treanor, *Keynote Address: A Community of Reason and Rights*, 77 FORDHAM L. REV. 583, 586 (2008)). The African cases that I have studied, for example, generally tend to draw upon the jurisprudence of the established liberal democracies of the United States, Canada, and Western Europe, together with the jurisprudence of other respected African courts.
148. See Basil Markesinis & Jörg Fedtke, *Judicial Recourse to Foreign Law: A New Source of Inspiration?* 171 (2006).
The selection of comparators may also reflect a deeper cultural or linguistic bond with a particular set of nations and, therefore, a greater familiarity with their jurisprudence. Law and Chang’s study of the Taiwanese Constitutional Court suggests that “the most proximate cause of foreign law usage . . . is the educational and professional background of the [j]ustices.”\textsuperscript{149} Likewise, Markesinis and Fedtke’s analysis of the German influence on the South African Constitutional Court emphasizes the close linguistic relationship between Afrikaans and Germans (and the resulting professional opportunities for South African academics) as a bridge facilitating the consideration of German constitutional law.\textsuperscript{150} These examples suggest that a court’s choice of sources can have significant contextual meaning that goes far beyond the holding of a particular case. Furthermore, if the citation is viewed as more about communicating legitimacy and less about determining outcomes, the choice of appropriate references must be subject to a different set of evaluative criteria. “Cherry-picking,” therefore, may be a valid communicative strategy rather than a cause for concern.
There may also be methodological concerns that are unique or more relevant to the use of comparative citation in the transitional context. There is the question of whether the strategic use of foreign citation detaches its function from the outcome in particular cases in ways that are problematic. While citation to “best practices” may have positive systemic effects, this may come at the expense of individual cases and the parties that bring them.
Alternatively, the citation of foreign and international law may be rights-reducing, particularly in cases where new democracies’ aspirational constitutions seek to provide protections that exceed generally accepted international practice. Jacob Foster has characterized the early decision of the South Africa Constitutional Court in \textit{Du Plessis v. DeKlerk} in these terms.\textsuperscript{151} In this case, the Court was asked to consider the “horizontal” application of the interim Constitution to a defamation suit against a newspaper. The majority opinion made extensive reference to foreign law in rejecting the defendants’ invocation of the Constitution as a defense, finding that the Constitution applied only to government action. In dissent, Justice Kriegler argued that the unique constitutional context in which the Justices were operating negated the relevance of foreign law to the case. He explained:
The Constitution promises an “open and democratic society based on freedom and equality”, a radical break with the “untold suffering and injustice” of the past. It then lists and judicially safeguards the fundamental rights and freedoms necessary to render those benefits attainable by all. No one familiar with the stark reality of South Africa and the power relationships in its society can believe that protection of the individual only against the state can possibly bring those benefits . . .
\textsuperscript{149} Law & Chang, \textit{supra} note 5, at 571.
\textsuperscript{150} See MARKESINIS & FEDTKE, \textit{supra} note 148, at 88-89.
\textsuperscript{151} 1996 (5) BCLR 658 (CC) (S. Afr.); see Foster, \textit{supra} note 3, at 119-21. Of course Foster’s view of \textit{Du Plessis} is not uncontroversial. Basil Markesinis and Jörg Fedtke contend that the Justices were “fairly balanced in their use of foreign law” and note their sensitivity to the unique South African context. MARKESINIS & FEDTKE, \textit{supra} note 148, at 99, 97.
I find it unnecessary to engage in a debate with my colleagues on the merits or demerits of the approaches adopted by the courts in the United States, Canada or Germany . . . We do not operate under a constitution in which the avowed purpose of the drafters was to place limitations on government control. Our Constitution aims at establishing freedom and equality in a grossly disparate society.\textsuperscript{152}
This is not an isolated example, of course. When the Bangladesh Supreme Court was deciding challenges to various aspects of its “Emergency,” the Justices cited foreign precedents to legitimate aspects of the military takeover. In \textit{Anti-Corruption Commission v. Nazmul Huda},\textsuperscript{153} the Court overturned a High Court decision granting bail to a former state minister who, along with much of the political opposition, had been incarcerated on corruption charges. The Supreme Court held that the Emergency Powers Rules of 2007 make clear that appellate courts may not grant bail with these cases and cited with approval cases from the U.S. Supreme Court for the proposition that emergency situations necessitate extreme legal measures.\textsuperscript{154} As Jackson has cogently stated: “The transnational is no guarantor of wise judgment.”\textsuperscript{155}
And of course, courts may simply get it wrong. The use of comparative constitutional law is tricky and even very conscientious courts err when working across linguistic, historic, and cultural barriers.\textsuperscript{156} While this objection has been raised in the U.S. debate, it may be a more salient concern for courts that are relatively isolated for political or economic reasons, and thus may have more difficulty getting a complete picture of the context in which a particular foreign judgment operates.\textsuperscript{157}
At the most extreme, international or comparative precedents might be manipulated or misstated to try to place an international imprimatur on
\textsuperscript{152} \textit{Du Plessis v. De Klerk} 1996 (5) BCLR 658 (CC), ¶¶ 145, 147 (S. Afr.) (Kriegler, J., dissenting) (footnote omitted).
\textsuperscript{153} 37 CLC (AD) (2008) (Bangl.).
\textsuperscript{154} The Court wrote the following:
Legal history is replete with examples that extreme situations often demanded a nation to take extreme legal measures . . . [T]he American Supreme Court approved without dissent such powers decision in the case of \textit{Harabayashi v. United States} (1943) that involved more than one lac Americans who were expelled from their communities for disloyalty. . . . Suspension of Constitutional rights had to be sanctioned by the Court during war time . . . . In India in 1975 though[] 9 High Courts [had] held writ petitions in the nature of habeas corpus was maintainable during emergency, the Indian Supreme Court in \textit{ADM Jabalpur vs. Sukla AIR}, AIR 1976 (SC) 1207., held that no person has locus stadi to move any writ petition for direction to enforce any right to personal liberty of a person detained under MISA.
\textit{Id.} ¶ 42.
\textsuperscript{155} JACKSON, \textit{supra} note 82, at 284.
\textsuperscript{156} Moreover, even with a good grasp of the facts, “it is difficult to determine when a comparison between one legal system’s rules and another’s is likely to be fruitful for any purpose other than simply acquiring knowledge. Particular rules are inserted into complex legal systems and may not travel well without their companions.” Mark Tushnet, \textit{International Law and Constitutional Interpretation in the Twenty-First Century: Change and Continuity}, in \textit{INTERNATIONAL LAW IN THE U.S. SUPREME COURT: CONTINUITY AND CHANGE} 507, 513 (David L. Sloss et al. eds., 2011).
\textsuperscript{157} Rachel Rebouche has noted how this has informed (or misinformed) comparative abortion jurisprudence. Rachel Rebouche, \textit{Comparative Pragmatism}, 72 Md. L. REV. 85, 107-23 (2012). Courts tend to cite \textit{Roe v. Wade}, 410 U.S. 113 (1973), for an expansive understanding of women’s right to reproductive choice, without noting (or perhaps being aware of) the Court’s subsequent case law and the decisions of lower courts allowing for significant exceptions to that right. Rebouche, \textit{supra}.
problematic decisional outcomes. Foster cites as an example the April 2009 decision by Acting National Director of Public Prosecutions, Moketedi Mpshe, to drop criminal charges against Jacob Zuma, which he justified in international terms.\textsuperscript{158} This decision cleared the way for Zuma, the African National Congress President, to become the President of South Africa. Mr. Mpshe relied on cases from English courts in holding that political interference required the prosecution to drop the charges, but as Foster explains it, the cited cases were both “distinguishable on the facts and inconsistent with South African precedent.”\textsuperscript{159}
This example of abuse demonstrates how the practice of comparative citation may, somewhat easily, be used to mask, rather than expose, politically motivated outcomes, but notably, this was not a court decision. Nor, in the extensive literature on foreign citation, are there many noted flagrant misrepresentations of foreign or international law by courts, although the Bangladeshi decision in \textit{Anti-Corruption Commission} may come close.\textsuperscript{160} This perhaps makes sense. Most of the time, constrained courts need not make the effort of justifying their decisionmaking in terms of international and comparative law because their sources of authority come more directly from their alignment with the elected branches.
Again, the problem in these cases is not really one of counter-majoritarianism or domestic displacement.\textsuperscript{161} Nor, for the most part, is it unique to the use of comparative citation (with the exception of the challenges presented by comparative analysis). Rather, as I have suggested,\textsuperscript{162} these cases—and the challenges they present—require the possibly uncomfortable acknowledgement that courts are political institutions that may be less than transparent, or even disingenuous, in their decisionmaking.\textsuperscript{163} Moreover, they demonstrate that courts, like all institutions, have limitations that may shape their decisionmaking in unfortunate ways. Nonetheless, to the extent that international convergence on a norm actually increases the likelihood of its “accuracy,”\textsuperscript{164} the practice of foreign citation may have an overall positive
\begin{itemize}
\item[158.] Foster, \textit{supra} note 3, at 80.
\item[159.] \textit{Id.} at 80, 115-18.
\item[160.] The Court did not misrepresent the holdings of these foreign cases, but it did fail to note that both countries have long since repudiated them. See \textit{Anti-Corruption Commission}, 37 CLC (AD).
\item[161.] In fact, the critique of these courts might be quite the opposite. Because of their reliance on popular support, these courts may be overly accountable to domestic opinion and may be less likely to issue controversial decisions than courts in other systems.
\item[162.] \textit{See supra} Section II.D.
\item[163.] Theunis Roux makes the point that legal academics are uncomfortable, particularly in the South African context, acknowledging that extraneous political factors exert any kind of influence at all on the way judges make their decisions. Theunis Roux, \textit{Legitimating Transformation: Political Resource Allocation in the South African Constitutional Court}, in \textit{DEMOCRATIZATION AND THE JUDICIARY: THE ACCOUNTABILITY FUNCTION OF COURTS IN NEW DEMOCRACIES} 66, 67 (Siri Gloppen et al. eds., 2004).
\item[164.] \textit{See} Eric A. Posner & Cass R. Sunstein, \textit{The Law of Other States}, 59 STAN. L. REV. 131, 141 (2006); Jeremy Waldron, \textit{Foreign Law and the Modern Ius Gentium}, 119 HARV. L. REV. 129, 143-46 (2005). These kinds of “epistemic claims assume that guidance to answers on open questions relevant to constitutional judgment can be found in the accumulation of third party decision-making (like that of juries or scientific communities) by multiple national legal systems.” JACKSON, \textit{supra} note 82, at 47.
\end{itemize}
impact on the development of a functional indigenous legal culture and may lead to “correct” results more of the time.
C. Beyond Transition: Comparative Citation Continued
Without undermining the fundamental premise of this project, which is that context matters, the strategic account of foreign citation in transitional regimes may have something to contribute to the debate over the use of the practice in more established democracies. As Eyal Benvenisti has noted, even in these countries, domestic institutional weaknesses and international pressures may undermine the ability of the elected branches to be responsive to domestic demands.\textsuperscript{165} In response, courts may rely on comparative citation as a way of mediating international and national conflicts, in a way that both builds the autonomy and representative capacity of domestic institutions and protects the spaces for potential democratic deliberations.
I referred earlier to the Supreme Court of India’s environmental jurisprudence of the 1990s as an example of diagonal accountability through comparative citation.\textsuperscript{166} India was no longer a new democracy at this point; nonetheless, it faced some of the same institutional challenges that characterize nations in transition. Beginning in the late 1970s, following the end of the “Emergency” and the collapse of the Congress Party, the Court arose as one of the few remaining national institutions.\textsuperscript{167} Emboldened by the weakness of the elected branches and cognizant of the atrocities committed during the Emergency, the Supreme Court of India set about to bring national constitutional standards in line with international norms, relying heavily on both foreign and international law to frame and legitimate its decisionmaking.\textsuperscript{168} Although the Court’s citation to foreign and international law has declined since its early years,\textsuperscript{169} perhaps reflecting the strength and stability of its own domestic jurisprudence, it still regularly looks abroad when deciding path-breaking new cases in areas of second generation rights.
The Court emerged from the post-Emergency period as the most popular and arguably most responsive branch of domestic government.\textsuperscript{170} It had also
\textsuperscript{165} See Benvenisti, \textit{supra} note 37, at 273. Eyal Benvenisti explains the increasing prevalence of foreign citation practice as a judicial “reaction to the delegation of governmental authority to formal or informal international institutions and to the mounting economic pressures on governments and courts to conform to global standards.” \textit{Id.} Through cooperation, in the form of reference and citation, he suggests that judges and Justices from different national courts are resisting actions taken by the legislative branches in response to global pressures. My thesis is less concerned with the existence of a “dialogue,” or cooperation, between judicial actors—the evidence of which is limited. See Tom Ginsburg, \textit{National Courts, Domestic Democracy, and the Evolution of International Law: A Reply to Eyal Benvenisti and George Downs}, 20 EUR. J. INT’L L. 1021, 1023-25 (2009); Law & Chang, \textit{supra} note 5, at 528-32.
\textsuperscript{166} See \textit{supra} note 130 and accompanying text.
\textsuperscript{167} Smith, \textit{supra} note 2, at 251-52.
\textsuperscript{168} \textit{Id.} at 252-53.
\textsuperscript{169} \textit{See id.} at 240-41.
\textsuperscript{170} It is not an exaggeration to say that the degree of respect and public confidence enjoyed by the Supreme Court is not matched by many other institutions in the country. “The judiciary in India has become the last refuge for the people and the future of the country will depend upon the fulfilment of
become part of the judicial dialogue on important rights issues.\textsuperscript{171} The Court has capitalized on its strength and popularity to position itself as an engine of diagonal accountability in the nation. It has drawn on international standards in decisions policing the actions of the other branches.\textsuperscript{172} Moreover, it has, in some instances, set itself up as a check on the coercive international pressures of globalization, protecting the space for a robust domestic discussion on second-order rights that run counter to international economic pressures.\textsuperscript{173}
David Landau has written extensively on the activism of the Colombian Constitutional Court under somewhat similar institutional conditions.\textsuperscript{174} Like India, Colombia also has a lengthy history as a democracy,\textsuperscript{175} but it was not until 1991 that the country adopted a written constitution in response to the widespread perception of governmental failure among the population. Because of institutional weaknesses in the other branches,\textsuperscript{176} the Constitutional Court
\textsuperscript{171} See generally Anne-Marie Slaughter, \textit{A Global Community of Courts}, 44 HARV. INT’L L.J. 191 (2003) (including the Supreme Court of India among the active participants in the global judicial dialogue on rights). The Court’s death penalty jurisprudence has been cited by both the U.S. Supreme Court and the Constitutional Court of South Africa. See, e.g., Knight v. Florida, 528 U.S. 990, 996-97 (1999) (Breyer, J., dissenting) (“The Supreme Court of India has held that an appellate court, which itself has authority to sentence, must take account of delay when deciding whether to impose a death penalty.”); A Criminalized Prisoner may ask whether it is “just and fair” to permit execution in instances of “[p]rolonged delay.” (citing \textit{State v. Sheer Singh}, 54 S.C.R. 458, 461 (India); \textit{State v. Makwanyane} 1995 (3) SA 391 (CC), ¶ 79 (S. Afr.) (“To complete the picture, it should be mentioned that long delays in carrying out the death sentence in particular cases have apparently been held in India to be unjust and unfair to the prisoner, and in such circumstances the death sentence is liable to be set aside.” (citing Triveniben v. State of Gujarat 1989 I S.C.C. 678 (India); Daya Singh Lahoria v. Union of India & Ors., (1991) 2 S.C.R. 462 (India)); Prakash Mani Sharma and Others on Behalf of Forum for Protection of Public Interest (Pro Public) v. Prime Minister and Office of Council of Minister and Others, Writ Petition No. 0065-wt-149 of 2065 BS (2008) (Nepal)); see also Ruth Bader Ginsburg, \textit{Affirmative Action as an International Human Rights Dialogue: Considered Opinion}, BROOKINGS REV., Winter 2000, at 2, 3 (discussing the Supreme Court of India’s affirmative action jurisprudence).
\textsuperscript{172} As Smith explains, the Court has issued decisions requiring the creation of a governmental “watch dog” body to investigate allegations of public wrongdoing, increasing transparency in the electoral system, and defining a broader right of information access—and in so doing, has regularly referenced international principles and international law. Smith, supra note 2, at 258-59 (citing Vineet Narayan v. Union of India, A.I.R. 1998 S.C. 889 (India); Peoples Union for Civil Liberties v. Union of India, A.I.R. 1997 S.C. 568 (India); and Civil Writ Petition #7257 (1999) (Delhi H.C.)).
\textsuperscript{173} See Lauren Birchfield & Jessica Corsi, \textit{The Right to Life Is the Right to Food: People’s Union for Civil Liberties v. Union of India & Others}, 17 HUM. RTS. BRIEF 15, 15 (2010) (“In a notable refusal to accept the negative effects of globalization upon access to basic nutrition for its poorest populations . . . , the Supreme Court of India has established itself as a champion of food security and committed itself to the realization of the right to food in India.”). The Court has recently expanded the ability of the judiciary to respond to revise broad “public policy” challenges to foreign arbitral awards. Dharmendra Rautela, \textit{India’s Supreme Court Plays New Hand in Enforcement of Foreign Awards: Venture Global and the Cases Leading up to It}, 64 DISPUT RESOL. J. 80, 80 (2009). This trend is not uniform, however. See Upendra Baxi, \textit{Access to Justice in a Globalised Economy: Some Reflections}, in GOLDEN JUBILEE VOLUME 27, 28 (India Law Inst. ed., 2007) (discussing decisions of the Court that made Indian law more open to free market globalization).
\textsuperscript{174} Landau, supra note 29, at 321 (“[T]he Colombian Constitutional Court has viewed these political conditions as a license to become perhaps the most activist court in the world.”).
\textsuperscript{175} See David Bushnell, \textit{The Making of Modern Colombia: A Nation in Spite of Itself} 201-48 (1993).
\textsuperscript{176} Landau, supra note 29, at 322.
has taken a leadership role in many significant issues of domestic policy. Its continued responsiveness to the pressing challenges facing Colombia’s citizenry has made it a popular institution domestically, and its creative and thoughtful efforts to interpret the Constitution’s guarantees within the context of international and foreign law have earned it an international reputation for creative rights-enhancing jurisprudence. Like the Supreme Court of India, the Colombian Constitutional Court has been able to leverage its domestic and international status to protect itself from unfriendly political elites and to create space for domestic policymaking to occur in the face of international pressures. For example, during the mortgage crisis of the late 1990s, the Court stepped into the void created by the president’s preoccupation with “international calls for fiscal austerity” and legislature’s dysfunction to help craft a housing policy that, while flawed, “was very popular and . . . kept most homeowners in their homes.” Notably, the executive branch ultimately drafted the legislation—but the Court’s efforts helped to create the space for a response by the legislative branch in the face of international pressures.
Even democratic institutions in the United States are not entirely immune to the harmonization demands of globalization. For example, the United States is increasingly out of sync with the international community in its commitment to the continued exercise of the death penalty. This damages the nation’s
---
177. Id. at 322 (noting the Court’s institutional popularity); see also id. at 374 (“[D]ecisions like the mortgage interest case suggest that the Court is doing a better job than either of the other branches in responding to a popular outcry. Unlike in the United States . . . in Colombia, the Court itself appears to best reflect popular visions of constitutional transformation.”).
178. The Court has issued landmark decisions on a variety of issues, including abortion, euthanasia, and healthcare, that have established it as an international leader on issues of human rights. For example, in 2006 the Court struck down a law banning all abortions as unconstitutional, relying on international and foreign law to shape the domestic constitutional protections. In a lengthy discussion, the Court described the trajectory towards international recognition of the full equality of women and then discussed the relationship between reproductive rights and the protection of the family. The Court referred to various international human rights treaties to which the nation is a party, including the Convention on the Elimination of All Forms of Discrimination Against Women, the ICCPR, and the Convention on the Rights of the Child, but also to the decisions from the constitutional courts of the United States, Germany, and Spain. For translated excerpts from the decisions, see Excerpts of the Constitutional Court’s Ruling That Liberalized Abortion in Colombia, WOMEN’S LINK WORLDWIDE (2007), http://www.womenslinkworldwide.org/pdf_pubs/pub_c3552006.pdf.
179. Landau, supra note 29, at 374.
180. Id. at 320; see also Cesar Rodriguez-Garavito, Beyond the Courtroom: The Impact of Judicial Activism on Socioeconomic Rights in Latin America, 89 TEX. L. REV. 1669, 1690 (2011) (discussing the Court’s activism in the 1990s and a 1999 decision in which the Court replaced the national system of housing finance with one that it had largely created itself).
181. “Beginning in the late 1980s, supranational and national tribunals began to consider the legality of various aspects of the death penalty, taking as their starting point the prohibition on cruel or inhuman punishment (a prohibition commonly found in both domestic and international legal sources).” Melissa A. Waters, Judicial Dialogue in Reverse: Signaling the Court’s Emergence as a Transnational Legal Actor?, in INTERNATIONAL LAW IN THE U.S. SUPREME COURT 523, 524 (David L. Sloss et al. eds., 2011) (citing Melissa A. Waters, Mediating Norms and Identity: The Role of Transnational Judicial Dialogue in Creating and Enforcing International Law, 93 GEO. L.J. 487, 507-16 (2005)). By the time the twentieth century came to a close, “the United States stood entirely alone as the only Western industrialized nation still to retain the death penalty.” Mark Warren, Death, Dissent and Diplomacy: The U.S. Death Penalty as an Obstacle to Foreign Relations, 13 W&M. & MARY BILL RTS. J. 309, 313 (2004).
international image, and its ability to cooperate on a host of issues, including perhaps most significantly, counterterrorism and national security.
Yet changing the law of the death penalty domestically to reconcile its conflict with our foreign relations is complicated. Our federalist structure bifurcates these responsibilities, placing the exercise of the death penalty primarily with the states, while control over international relations lies with the federal government. The deep commitment of a few states’ citizenry to the practice of the death penalty means that opposing it carries a significant political cost, even with respect to practices opposed by the vast majority of the U.S. population, like the juvenile death penalty. By the time the Supreme Court reversed its sixteen-year-old opinion in *Stanford v. Kentucky* and barred the execution of persons whose crimes were committed prior to their eighteenth birthday, they were “abolish[ing] a practice that had pretty much died out on its own.” Only two states, Virginia and Texas, continued to execute juvenile offenders on a regular basis, and they “accounted for over 75 percent of all
182. As a former United States Ambassador to France put it:
[N]o single issue evoked as much passion and as much protest as executions in the United States. Repeated protests in front of the embassy in Paris, protests at our consulates and, just recently, a petition signed by 500,000 French men and women delivered to our embassy in Paris were part of a constant refrain.
Felix G. Rohatyn, *America’s Deadly Image*, WASH. POST, Feb. 20, 2001, at A23. The extent of the international approbation, brought on by the United States’ practice of capital punishment, changed the ambassador’s personal position. He explained his support for a moratorium by reasoning that “[s]ome 300 million of our closest allies think capital punishment is cruel and unusual, and it might be worthwhile to give it some further thought.” *Id.* In 2001, a group of former U.S. diplomats filed an amicus brief opposing the execution of the mentally retarded, arguing that continuing the practice would “strain diplomatic relations with close American allies, provide diplomatic ammunition to countries with demonstrably worse human rights records, increase U.S. diplomatic isolation, and impair other United States foreign policy interests.” Brief for Morton Abramowitz et al. as Amici Curiae Supporting Petitioner at 7-9, McCarver v. North Carolina, 532 U.S. 941 (2001) (No. 00-8722). In 2001, as a result of its continued execution of juvenile offenders, the United States lost its seat on the U.N. Commission on Human Rights.
183. The Austrian government delayed signing a new extradition treaty with the United States due to concerns that the death penalty might be imposed in those cases, despite treaty law and assurances to the contrary. See Warren, *supra* note 181, at 326 (citing Press Release, Austrian Press and Information Service, Extradition Treaty with Australia and the United States, Aug. 20, 1998, file with author). The European Union did likewise. See *id.* at 335 (citing Agreement on Extradition Between the United States of America and the European Union art. 13, U.S.-E.U., June 25, 2003, 43 I.L.M. 749). Negotiations with the Australian government over placing sky marshals on flights between the countries stalled when the U.S. government refused to promise that no Australians arrested onboard one of these flights would face the death penalty for any offense. *Id.* at 326 (citing *One Point Holds Up Sky Patrol*, AUSTL. ASSOC. PRESS, Feb. 1, 2004, http://www.news.com.au/common/story_page/0,4057,8561647%25E2%25E2,00.html). The execution of a Mexican citizen denied his consular rights prompted President Vicente Fox to cancel a state visit with President George W. Bush. *See id.* at 327 (citing Press Release, Office of the President of Mexico, President Fox Cancels Proposed Texas Tour in Reaction of the Execution of Javier Suarez Medina (Aug. 14, 2002) [on file with author], available at http://foxpresidencia.gob.mx/research/contenidos/2002/paginas-de-prensa/pr-presidente-javier-mayorga).
184. Perhaps nowhere has this conflict been more apparent than in our litigation obligations under the United States’ failure to meet its obligations under the Vienna Convention on Consular Relations. Most recently, the State of Texas executed Humberto Leal, a Mexican citizen whose Vienna Convention rights were violated, over the objection of Obama Administration and despite the pleas of top military leaders and State Department officials. *See* Ed Pilkington, *US Politicians and Lawyers Protest Against Death Penalty for Mexican Man*, GUARDIAN (London), Jun. 7, 2011, http://www.guardian.co.uk/world/2011/jun/07/us-texas-humberto-leal-execution.
185. Corinna Barrett Lain, *Deciding Death*, 57 DUKE L.J. 1, 52 (2007) (discussing Stanford v. Kentucky, 492 U.S. 361 (1989)).
juvenile offender executions in the modern death penalty era.\textsuperscript{186} By contrast, nationally, “over two-thirds of those asked opposed the juvenile death penalty.”\textsuperscript{187} The continued use of the juvenile death penalty lacked national majoritarian support, and came at a high cost for the United States internationally.
The strategic use of foreign and international law in the Supreme Court’s death penalty jurisprudence may be helping to mediate this conflict between international norms and domestic preferences. By carving out specifically problematic applications of capital punishment as unconstitutional while leaving the practice largely intact, the Supreme Court brings the United States into compliance with international law norms in ways that would be politically challenging for the elected branches, and that would likely be stymied, in any event, by the federalist division of labor. Furthermore, by eliminating some of these more extreme practices from U.S. law, the Court removes some of the barriers to increased U.S. participation in other international legal regimes.\textsuperscript{188} Finally, by acknowledging foreign and international law and practice in its death penalty jurisprudence, the Court may actually be softening the conflict between the domestic practice and the international norm in ways that protect a space for the practice to continue. The Court’s references to international and comparative law signal to external observers that their concerns are not going entirely ignored, even if the political branches are not (or cannot) be responsive. In this way, the Court’s incremental chipping away at the practice can be seen as buying time for domestic deliberations around the use of the death penalty to continue to occur.
The juvenile death penalty example is somewhat anomalous. On relatively few issues is the United States so far outside the international mainstream on an issue that ignites such widespread popular condemnation. I raise it therefore only to demonstrate that even in an economically powerful and well-established democracy, courts may be the institution best positioned to respond to the powerful legal harmonization pressures of globalization—and that they may do so in ways that further undermine the applicability of the antidemocratic critique of foreign citation.
VI. CONCLUSION
Establishing the rule of law is a crucial step towards solidifying democratic governance, yet it is also one of the most challenging. The existence
\textsuperscript{186} \textit{Id.} at 52-53 (citing Victor L. Streib, \textit{Executing Juvenile Offenders: The Ultimate Denial of Juvenile Justice}, 14 STAN. L. & POL’Y REV. 121, 125-26 (2003)).
\textsuperscript{187} \textit{Id.} A Gallup poll showed sixty-nine percent of those asked were against the death penalty for juvenile offenders. \textit{Id.} (citing Death Penalty, GALLUP NEWS SERV., Aug. 31, 2007 (on file with the Duke Law Journal)).
\textsuperscript{188} For example, the preservation of the juvenile death penalty was a primary reason why the United States has declined to ratify the Convention on the Rights of the Child, the human rights treaty with the widest support internationally. See Lainie Rutkow & Joshua T. Lozman, \textit{Suffer the Children?: A Call for United States Ratification of the United Nations Convention on the Rights of the Child}, 19 HARV. HUM. RTS. J. 161, 177 (2006).
of independent courts poses a real threat to the regime in power, and thus judges who defy the state are often sanctioned. Nonetheless, even in new and hybrid democracies where institutional protections are weak, judges exhibit unexpectedly independent behavior. This Article posits a theory for why judges in newly or weakly democratic regimes engage in independent decisionmaking and identifies comparative citation as a tool that allows them to do so effectively. It thus builds upon and contributes to the growing literature that identifies judges as agents of their own institutional development.
This Article also problematizes the “antidemocratic” critique of foreign citation practice in both new and established democratic systems. When domestic political failures converge with international pressures, comparative citation can be a powerful tool for court-led diagonal accountability. To be clear, I do not mean to suggest that it is only under these conditions that comparative citation is appropriate. Numerous other authors have articulated the educational and aspirational\textsuperscript{189} benefits of the foreign citation practice. Rather, my focus here has been on contextualizing the “antidemocratic” critique to demonstrate how fully it is premised on an idealized view of the way democracy works—a vision that is never uniformly realized, even in the most established democratic nations.
Like the international and foreign norms themselves, the antidemocratic critique travels and its message is powerful. In January 2011, a Ugandan court ordered a tabloid magazine to pay damages after it published a front-page article including the photos and addresses of gay and lesbian Ugandans under the banner “Hang Them.” Citing foreign law, the court found that the tabloid’s conduct violated the subjects’ rights to dignity and privacy.\textsuperscript{190} Later that same year, former Ethics and Integrity State Minister James Nsaba Buturo, wrote an op-ed column accusing Ugandans of “self-hatred.” He attacked the adoption of foreign and international human right norms in language that (while far more pointed) resonates with the U.S. debate. He concluded his op-ed by suggesting that
Our maturity as a nation will be assessed by the extent to which we are staunchly
\textsuperscript{189} See, e.g., Aharon Barak, Foreword: A Judge on Judging: The Role of a Supreme Court in a Democracy, 116 HARV. L. REV. 19, 114 (2002) (critiquing the U.S. Supreme Court for “fail[ing] to make use of an important source of inspiration, one that enriches legal thinking, makes law more creative, and strengthens the democratic ties and foundations of different legal systems”); Vicki C. Jackson, Constitutional Comparisons: Convergence, Resistance, Engagement, 119 HARV. L. REV. 109, 118 (2005) (“Looking to foreign law may . . . enhance judicial decisionmaking by expanding opportunities for deliberation and reflection on the ways in which they have equivalent responsibility and aspiring to similar impartiality”); Mark Tushnet, The Possibilities of Comparative Constitutional Law, 108 YALE L.J. 1225, 1309 (1999) (“We can learn from comparative constitutional experience, just in the way we learn from anything else. Thinking about that experience can be part of the ordinary liberal education of thoughtful lawyers.”).
\textsuperscript{190} Anthony Wesaka, Court Orders Tabloid To Pay Shs4.5m over Gays Story, DAILY MONITOR, Jan. 5, 2011, http://www.monitor.co.ug/News/National/1-688334/1083838/-/cjdcilz/-/index.html. The \textit{Rolling Stone} tabloid magazine had published a front-page article that included the photos and whereabouts of gay and lesbian Ugandans under a banner urging “Hang Them.” Jeffrey Gettleman, Ugandan Who Spoke Up for Gays Is Beaten to Death, N.Y. TIMES, Jan. 27, 2011, http://www.nytimes.com/2011/01/28/world/africa/28uganda.html. A few months later, gay rights advocate David Kato was beaten death with a hammer in his own neighborhood. \textit{Id}.
patriotic and how much we truly shun practices and values that undermine our integrity, development, unity and our nation’s stability . . . . When our maturity is not found wanting, at that point, other nations will respect us. Some of them may even stop seeing our God-blessed nation as a dumping ground for their practices and values which they are touting to be “human rights” but in reality are a threat to our nation’s viability and integrity.\textsuperscript{191}
The charge that courts’ foreign citation is undermining national sovereignty or identity is powerful, particularly in post-colonial societies. It may be used as a way to delegitimize and retaliate against courts that attempt to limit state power.\textsuperscript{192} Given the important work that comparative citation can do to promote democratic transition and consolidation, endorsing a narrative that undermines it deprives courts of an important tool.
Viewed more broadly, this Article suggests the value of evaluating comparative law through an institutional lens. We cannot accurately assess the validity of judicial action without understanding what it is a court is trying to do and why. This requires a closer and deeper look at the judiciary’s characteristics and its relationship with other domestic institutions. Moreover, as this analysis has made plain, this kind of contextual view may not only undermine the international applicability of American constitutional law truisms, it may shed important light on their domestic application.
\textsuperscript{191} Nsaba Buturo, \textit{I Find It Disturbing that We, Ugandans, Hate Ourselves}, DAILY MONITOR, Aug. 31, 2011, http://www.monitor.co.ug/OpEd/Commentary/-/i689364/1227976/-/12s0twyz/-/index.html.
\textsuperscript{192} The judiciary in Singapore was also an “enthusiastic” participant in the global judicial dialogue until, in a rather sudden reversal, it adopted an explicit “hands-off” policy to citing foreign constitutional decisions. Arun Thiruvenagadam attributes the change not to any reason articulated in a court decision, but rather to a speech made by Singapore’s Law Minister criticizing the use of foreign precedents in a decision limiting the government’s authority to detain citizens. Arun Thiruvenagadam, \textit{The Use of Foreign Law in Constitutional Cases in India and Singapore: Empirical Trends and Theoretical Concerns} 13 (2010) (unpublished manuscript) (on file with author). Law Minister S. Jayakumar argued:
[I]f we allow foreign case law and precedents to allow our courts to be involved in an interventionist role, then we will have an untenable position . . . because our law on national security matters will be governed by cases decided abroad, in countries where conditions are totally different from ours . . . . if Singapore courts are allowed, because of all these foreign precedents to review the discretion of the Executive on security matters . . . then Singapore judges will in effect become responsible for and answerable to decisions affecting national security of Singapore . . . . Our courts . . . should not therefore be involved in the exercise of these powers of detention.
Shortly after this speech, the judge who wrote the decision retired and was succeeded by a jurist who rejected the use of foreign authority and who, perhaps not coincidentally, adopted a judicial philosophy of extreme deference to the view of the elected branches in determining constitutional meaning. \textit{Id.} at 16. |
BE IT REMEMBERED that on this day, the Commissioners Court of Kaufman County, Texas met in a Regular Meeting with the following members present to wit: **Bruce Wood**, County Judge; **Mike Hunt**, Commissioner Precinct No. 1; **Skeet Phillips**, Commissioner Precinct No. 2; **Terry Barber**, Commissioner Precinct No. 3; **Jakie Allen**, Commissioner Precinct No. 4; Monique Hunter, Deputy Clerk.
**INVOCATION;**
**PLEDGE OF ALLEGIANCE TO THE AMERICAN FLAG;**
**PLEDGE OF ALLEGIANCE TO THE TEXAS FLAG;**
**REMARKS FROM VISITORS;**
**ITEM 1.**
**ROUTINE CORRESPONDENCE**
**ITEM 2.**
**CONSENT AGENDA**
There came on to be considered a motion to approve the Consent Agenda.
A. Approve Deputations of Amy Keathley, Joseph Smith, Lowell Smith, Nelly Mendez, Martha Barbosa, Callie Rinks-Morgan, Diana Doughty Perez, Nicky Miller, Shaquila Carpenter, Liliana Montes, Ruth Law, Cassidy Guerrero, Carla Cook, Phillip O’Steen, Teressa Floyd, Krystal Cruz, Kathy Stephen, Beverly Adkins, Claudia Soto, Katherine Baker, Lisa Compton and Lana Crow for the Kaufman County Tax Assessor-Collector’s office. *See Attachments.*
B. Approve Deputations of John Sullivan and Vanessa Brooks as Deputy Constables and Dan Sharp as Reserve Deputy Constable for Kaufman County Precinct 4. *See Attachments.*
C. Accept Financial Statement for the Kaufman County Emergency Services District # 3 (ESD #3) for Year Ended September 30, 2016. *See Attachment.*
D. Presentation of the Star Transit Demand and Response Ridership Report for the month of December 2016. *See Attachment.*
E. Approve Cellphone allowance for Constable Chad Jones, Kaufman County Precinct 4. *See Attachment.*
F. Approve renewal of membership with the County Judges and Commissioners Association of Texas and paying annual dues. *See Attachment.*
A motion was made by Commissioner Jakie Allen and seconded by Commissioner Skeet Phillips.
Whereupon said motion was put to a vote and motion carried.
**AND IT IS SO ORDERED.**
**ITEM 3.**
**MOTION TO APPROVE REQUEST**
There came on to be considered a motion to approve a request from Trinity Valley Electric Coop (TVEC) to place poles on county property on the northwest side of Griffin Lane, located in Kaufman County Precinct 1. *See Attachment.*
A motion was made by Commissioner Terry Barber and seconded by Commissioner Skeet Phillips.
Whereupon said motion was put to a vote and motion carried.
**AND IT IS SO ORDERED.**
**ITEM 4.**
**MOTION TO APPROVE AGREEMENT**
There came on to be considered a motion to approve a Project Agreement with the City of Combine for the replacement of a culvert on Mockingbird, located in Kaufman County Precinct 4. *See Attachment.*
A motion was made by Commissioner Jakie Allen and seconded by Commissioner Skeet Phillips.
Whereupon said motion was put to a vote and motion carried.
**AND IT IS SO ORDERED.**
ITEM 5.
MOTION TO APPROVE AGREEMENT
There came on to be considered a motion to approve a Project Agreement with the City of Crandall to patch various holes in the amount of $250, located in Kaufman County Precinct 4. See Attachment.
A motion was made by Commissioner Jakie Allen and seconded by Commissioner Skeet Phillips.
Whereupon said motion was put to a vote and motion carried.
AND IT IS SO ORDERED.
ITEM 6.
MOTION TO APPROVE AGREEMENT
There came on to be considered a motion to approve an Interlocal Agreement between Kaufman County and the City of Forney for road maintenance, enhancements, repairs and other projects, pursuant to Texas Government Code §791. See Attachment.
A motion was made by Commissioner Skeet Phillips and seconded by Commissioner Jakie Allen.
Whereupon said motion was put to a vote and motion carried.
AND IT IS SO ORDERED.
ITEM 7.
MOTION TO APPROVE APPOINTMENTS
There came on to be considered a motion to approve the appointment of Stephen Davis and Don Themer as members to the 2017-2018 Kaufman County Historical Commission, as representatives for Precinct 2. See Attachment.
A motion was made by Commissioner Skeet Phillips and seconded by Commissioner Mike Hunt.
Whereupon said motion was put to a vote and motion carried.
AND IT IS SO ORDERED.
ITEM 8.
MOTION TO APPROVE APPOINTMENT
There came on to be considered a motion to approve the appointment of Henry “Chuck” Shepard as a member of the 2017-2018 Kaufman County Historical Commission, as a representative for Precinct 3. See Attachment.
A motion was made by Commissioner Terry Barber and seconded by Commissioner Skeet Phillips.
Whereupon said motion was put to a vote and motion carried.
AND IT IS SO ORDERED.
ITEM 9.
MOTION TO APPROVE EXITING REGULAR MEETING
AND ENTERING INTO PUBLIC HEARING
There came on to be considered a motion to approve exiting the Regular Meeting and entering into a Public Hearing, pursuant to Texas Transportation Code §251.151 – 152 and 251.161; To receive input from the public regarding not allowing thru trucks on County Road 250 (CR 250), located in the unincorporated area of Kaufman County Precinct 3, and placing a “No Thru Trucks” signs on CR 250. See Attachment.
A motion was made by Commissioner Skeet Phillips and seconded by Commissioner Jakie Allen.
Whereupon said motion was put to a vote and motion carried.
AND IT IS SO ORDERED.
ITEM 10.
PUBLIC HEARING
A Public hearing was held.
ITEM 11.
MOTION TO APPROVE EXITING PUBLIC HEARING
AND ENTERING INTO REGULAR MEETING
There came on to be considered a motion to approve exiting Public Hearing and entering into Regular Meeting.
A motion was made by Commissioner Jakie Allen and seconded by Commissioner Mike Hunt.
Whereupon said motion was put to a vote and motion carried.
AND IT IS SO ORDERED.
ITEM 12.
MOTION TO APPROVE STREET SIGNS
There came on to be considered a motion to approve not allowing thru trucks on County Road 250 (CR 250), located in the unincorporated area of Kaufman County Precinct 3 and placing “No Thru Trucks” signs on CR 250.
A motion was made by Commissioner Terry Barber and seconded by Commissioner Mike Hunt.
Whereupon said motion was put to a vote and motion carried.
AND IT IS SO ORDERED.
ITEM 13.
MOTION TO APPROVE RESOLUTION
There came on to be considered a motion to approve a Resolution No. 021317-13 for the submission of the Murder Trial Grant Application (Grant No. 2740903) through the Office of the Governor Criminal Justice Division, in the amount of $111,000. See Attachment.
A motion was made by Commissioner Jakie Allen and seconded by Commissioner Skeet Phillips.
Whereupon said motion was put to a vote and motion carried.
AND IT IS SO ORDERED.
ITEM 14.
MOTION TO APPROVE RESOLUTION
There came on to be considered a motion to approve a Resolution No. 021317-14 for the submission of the Immediate First Responders Safety Equipment Grant Application (Grant No. 3351801) through the Office of the Governor Criminal Justice Division to purchase Constable’s rifle vests. See Attachment.
A motion was made by Commissioner Skeet Phillips and seconded by Commissioner Terry Barber.
Whereupon said motion was put to a vote and motion carried.
AND IT IS SO ORDERED.
ITEM 15.
MOTION TO APPROVE APPLYING FOR FUNDING
There came on to be considered a motion to approve applying through the Office of the Governor Criminal Justice Division for funding to hire a Child Abuse / Family Violence Liaison.
A motion was made by Commissioner Skeet Phillips and seconded by Commissioner Mike Hunt.
Whereupon said motion was put to a vote and motion carried.
AND IT IS SO ORDERED.
ITEM 16.
MOTION TO APPROVE PURCHASE
There came on to be considered a motion to approve allowing retired Constable Bryant Morris to purchase his County-issued handgun for 50% of fair market value ($220). See Attachment.
A motion was made by Commissioner Jakie Allen and seconded by Commissioner Terry Barber.
Whereupon said motion was put to a vote and motion carried.
AND IT IS SO ORDERED.
ITEM 17.
MOTION TO APPROVE APPLYING FOR FUNDING
There came on to be considered a motion to approve applying through the Office of the Governor Criminal Justice Division for funding to purchase Deputies safety equipment (rifle vest, tactical vest).
A motion was made by Commissioner Skeet Phillips and seconded by Commissioner Terry Barber.
Whereupon said motion was put to a vote and motion carried.
AND IT IS SO ORDERED.
ITEM 18.
PRESENTATION
There came on to be a presentation of the Kaufman County Sheriff’s Office Monthly Statistical Report for January 2017. See Attachment.
ITEM 19.
**MOTION TO APPROVE PURCHASE**
There came on to be considered a motion to approve upgrade to Jail Facilities Camera and DVR security system, in the amount of $108,798.08, utilizing the Texas Multiple Award Schedule Program (TXMAS) Contract #TXMAS-5-84070. *See Attachment.*
A motion was made by Commissioner Jakie Allen and seconded by Commissioner Terry Barber.
Whereupon said motion was put to a vote and motion carried.
**AND IT IS SO ORDERED.**
ITEM 20.
**MOTION TO APPROVE PURCHASE**
There came on to be considered a motion to approve the purchase of two (2) 2017 Chevrolet 1500 pickups for the Sheriff’s Department, in the amount of $71,494, utilizing BuyBoard Contract #521-16. *See Attachment.*
A motion was made by Commissioner Skeet Phillips and seconded by Commissioner Terry Barber.
Whereupon said motion was put to a vote and motion carried.
**AND IT IS SO ORDERED.**
ITEM 21.
**MOTION TO APPROVE PURCHASE**
There came on to be considered a motion to approve the purchase of five (5) 2017 Dodge Chargers for the Sheriff’s Department, in the amount of $135,640, utilizing BuyBoard Contract #521-16. *See Attachment.*
A motion was made by Commissioner Terry Barber and seconded by Commissioner Skeet Phillips.
Whereupon said motion was put to a vote and motion carried.
**AND IT IS SO ORDERED.**
ITEM 22.
**MOTION TO APPROVE PURCHASE**
There came on to be considered a motion to approve the purchase of a Boom Mower for Precinct 4 Road and Bridge, in the amount of $58,330, utilizing BuyBoard Contract #447-14. *See Attachment.*
A motion was made by Commissioner Jakie Allen and seconded by Commissioner Skeet Phillips.
Whereupon said motion was put to a vote and motion carried.
**AND IT IS SO ORDERED.**
ITEM 23.
**MOTION TO APPROVE RESOLUTION**
There came on to be considered a motion to approve a Resolution in Opposition to Senate Bill 2 and Revenue Caps. *See Attachment.*
A motion was made by County Judge Bruce Wood and seconded by Commissioner Mike Hunt.
Whereupon said motion was put to a vote with County Judge Bruce Wood, Commissioner Terry Barber and Commissioner Mike Hunt voting ‘for’ and Commissioner Jakie Allen and Commissioner Skeet Phillips voting ‘against’. Motion carried.
**AND IT IS SO ORDERED.**
ITEM 24.
**MOTION TO APPROVE ORDER**
There came on to be considered a motion to approve Order rescinding the Kaufman County Commissioners Court Order approved on December 12, 2011, regarding purchasing authority limit for new expenditures. *See Attachment.*
A motion was made by Commissioner Skeet Phillips and seconded by Commissioner Jakie Allen.
Whereupon said motion was put to a vote and motion carried.
**AND IT IS SO ORDERED.**
ITEM 25.
**PRESENTATION**
There came on to be a presentation of the press release related to the August 2016 Road Bond Issuance and the savings that will be realized by Kaufman County in the long term. *See Attachment.*
ITEM 26. **MOTION TO APPROVE ROAD REPORT AMENDMENT**
There came on to be considered a motion to approve amending Precinct 4 Road and Bridge Annual Road Report to include Atherton, Fieldcrest and Laredo.
A motion was made by Commissioner Jakie Allen and seconded by Commissioner Terry Barber.
Whereupon said motion was put to a vote and motion carried.
**AND IT IS SO ORDERED.**
ITEM 27. **MOTION TO APPROVE LINE ITEM TRANSFERS & BUDGET AMENDMENTS**
There came on to be considered a motion to approve Line Item Transfers and Budget Amendments. *See Attachment.*
A motion was made by Commissioner Skeet Phillips and seconded by Commissioner Mike Hunt.
Whereupon said motion was put to a vote and motion carried.
**AND IT IS SO ORDERED.**
ITEM 28. **MOTION TO APPROVE CLAIMS FOR PAYMENT**
There came on to be considered a motion to approve Claims for Payment for $1,594,347.11. *See Attachment.*
A motion was made by Commissioner Skeet Phillips and seconded by Commissioner Jakie Allen.
Whereupon said motion was put to a vote and motion carried.
**AND IT IS SO ORDERED.**
ITEM 29. **MOTION TO APPROVE EXITING REGULAR MEETING AND ENTERING INTO EXECUTIVE SESSION**
There came on to be considered a motion to approve exiting the Regular Meeting and enter into Executive Session pursuant to:
**Item 30.** Government Code §551.074 (a) (1); Personnel Matters - Interview potential Human Resources Director candidate.
**Item 31.** Government Code §551.071 (1) (A); Attorney Consultation - Pending and/or contemplated litigation updates regarding the following: Seaway Crude Pipeline (Cause No. 94270-422); and Employment Litigation.
A motion was made by Commissioner Skeet Phillips and seconded by Commissioner Jakie Allen.
Whereupon said motion was put to a vote and motion carried.
**AND IT IS SO ORDERED.**
ITEM 30. **EXECUTIVE SESSION**
Executive Session was held - Government Code §551.074 (a) (1); Personnel Matters - Interview potential Human Resources Director candidate. County Judge has certified agenda.
ITEM 31. **EXECUTIVE SESSION**
An Executive Session was held - Government Code §551.071 (1) (A); Attorney Consultation - Pending and/or contemplated litigation updates regarding the following: Seaway Crude Pipeline (Cause No. 94270-422); and Employment Litigation. County Judge has certified agenda.
ITEM 32. **MOTION TO APPROVE EXITING EXECUTIVE SESSION AND ENTERING INTO REGULAR MEETING**
There came on to be considered a motion to approve exiting Executive Session and entering into the Regular Meeting.
A motion was made by Commissioner Skeet Phillips and seconded by Commissioner Jakie Allen.
Whereupon said motion was put to a vote and motion carried.
**AND IT IS SO ORDERED.**
ITEM 33.
MOTION TO APPROVE APPOINTMENT
There came on to be considered a motion to approve appointment of Lori Poole as Human Resource Director for Kaufman County (Executive Session Item 30).
A motion was made by Commissioner Skeet Phillips and seconded by Commissioner Jakie Allen.
Whereupon said motion was put to a vote and motion carried.
AND IT IS SO ORDERED.
ITEM 34.
NO ACTION TAKEN FROM EXECUTIVE SESSION ITEM 31
No action taken from Executive Session Item 31.
ITEM 35.
MOTION TO ADJOURN
There came on to be considered a motion to adjourn Regular Meeting.
A motion was made by Commissioner Jakie Allen and seconded by Commissioner Skeet Phillips.
Whereupon said motion was put to a vote and motion carried.
AND IT IS SO ORDERED.
I, Laura Hughes, County Clerk of Kaufman County, Texas, do hereby certify that the above Commissioner Court Minutes are a true and correct record of the proceedings from the Commissioners Court Meeting.
ATTEST:
Laura Hughes
Kaufman County Clerk
Laura Hughes,
County Clerk |
Optimal Set of 360-Degree Videos for Viewport-Adaptive Streaming
Xavier Corbillon, Alisa Devlic, Gwendal Simon, Jacob Chakareski
To cite this version:
Xavier Corbillon, Alisa Devlic, Gwendal Simon, Jacob Chakareski. Optimal Set of 360-Degree Videos for Viewport-Adaptive Streaming. ACM Multimedia, Oct 2017, San Francisco, United States. pp.943 - 951, 10.1145/3123266.3123372. hal-01767558
HAL Id: hal-01767558
https://hal.science/hal-01767558v1
Submitted on 16 Apr 2018
HAL is a multi-disciplinary open access archive for the deposit and dissemination of scientific research documents, whether they are published or not. The documents may come from teaching and research institutions in France or abroad, or from public or private research centers.
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Optimal Set of 360-Degree Videos for Viewport-Adaptive Streaming
Xavier Corbillon
IMT Atlantique & IRISA, France
email@example.com
Gwendal Simon
IMT Atlantique & IRISA, France
firstname.lastname@example.org
Alisa Devlic
Huawei Technologies, Sweden
email@example.com
Jacob Chakareski
University of Alabama, USA
firstname.lastname@example.org
ABSTRACT
With the decreasing price of Head-Mounted Displays (HMDs), 360-degree videos are becoming popular. The streaming of such videos through the Internet with state of the art streaming architectures requires, to provide high immersion feeling, much more bandwidth than the median user’s access bandwidth. To decrease the need for bandwidth consumption while providing high immersion to users, scientists and specialists proposed to prepare and encode 360-degree videos into quality-variable video versions and to implement viewport-adaptive streaming. Quality-variable versions are different versions of the same video with non-uniformly spread quality: there exists some so-called Quality Emphasized Regions (QERs). With viewport-adaptive streaming the client, based on head movement prediction, downloads the video version with the high quality region closer to where the user will watch. In this paper we propose a generic theoretical model to find out the optimal set of quality-variable video versions based on traces of head positions of users watching a 360-degree video. We propose extensions to adapt the model to popular quality-variable version implementations such as tiling and offset projection. We then solve a simplified version of the model with two quality levels and restricted shapes for the QERs. With this simplified model, we show that an optimal set of four quality-variable video versions prepared by a streaming server, together with a perfect head movement prediction, allow for 45% bandwidth savings to display video with the same average quality as state of the art solutions or allows an increase of 102% of the displayed quality for the same bandwidth budget.
KEYWORDS
360-degree Video, Omnidirectional Video, Quality Emphasized Region, Viewport Adaptive Streaming
1 INTRODUCTION
Offering high-quality virtual reality immersion by streaming 360-degree videos on the Internet is a challenge. The main problem is that most of the video signal information that is delivered is not displayed. Indeed, the Head-Mounted Displays (HMDs) that are used for immersion show a viewport, which represents a small fraction of the whole 360-degree video. Typically, to extract a 4K \((3840 \times 2160\) pixels) video viewport from the whole 360-degree video, the stream should be at least a 12K \((11520 \times 6480\) pixels) video, from which most information is ignored by the video player.
A solution researchers are exploring to limit the waste of bandwidth is to prepare and stream 360-degree videos such that their quality is not homogeneous spatially [6, 11, 19, 23]. Instead the quality is better at the expected viewport positions than in the rest of the video frame. Two main concepts that support this solution are (i) encoding of quality-variable videos, which can be based on tiling [28], scalable coding [4, 26], and offset projections [30]; and (ii) implementation of viewport-adaptive streaming, which is to signal the different quality-variable versions of the video, to predict viewport movements, and to make sure that a given user downloads the quality-variable video such that the quality is maximum at her viewport position.
The design of efficient viewport-adaptive streaming systems requires the understanding of the complex interplay between the most probable viewport positions, the coding efficiency and the resulting Quality of Experience (QoE) with respect to the traditional constraints of delivery systems such as bandwidth and latency. MPEG experts have proposed the concept of quality region, which is a rectangular region defined on a sphere, characterized by a quality level ranging from 1 to 100. The main idea is that the content provider determines some quality regions based on offline external information (e.g., content analysis and statistics about viewport positions), and then prepares multiple quality-variable versions of the same 360-degree video based on these quality regions.
We provide in this paper a theoretical analysis of this concept of quality regions for 360-degree videos. We present optimization models to determine the optimal quality regions, subject to a population of clients, the number of quality-variable video versions, and the bandwidth. We aim at maximizing the video quality displayed in the client viewports by identifying (i) the location of the quality region, (ii) their dimensions (or area size), and (iii) the quality inside and outside the regions. Our model enables content providers to prepare 360-degree videos based on the analytics of the head movements collected from the first content consumers. Using a dataset of real head movements captured on an HMD, we study an optimal set of video versions that are generated by our algorithms and evaluate the performance of such optimal viewport-adaptive streaming. We demonstrate
that, for a given overall bit-rate video, the video quality as perceived by the user improves by 102% on average.
2 RELATED WORK
2.1 Quality-Variable Videos Implementation
In the literature, we distinguish two approaches to implement quality-variable 360-degree videos. We give a brief introduction to these approaches in the following, while providing more details in Sections 3.2 and 3.3 on how our model applies to these approach.
Tile-based Approach. The motion-constrained tiles are contiguous fractions of the whole frame, which can be encoded/decoded independently and can thus be seen as separated sub-videos. The concept of tiling is part of the High Efficiency Video Coding (HEVC) standardized decoder [18] and is considered as a key supporting technology for the encoding of quality-variable video versions. The tile-based approach has been developed for other multimedia scenarios where end-users consume only a fraction of the video, especially in navigable panorama [10, 22, 25]. This approach has been recently extended to meet the demand of virtual reality and 360-degree video systems. In a short paper, Ochi et al. [20] have sketched a solution where the spherical video is mapped onto an equirectangular video, which is cut into $8 \times 8$ tiles. Zare et al. [28] provide more details on the encoding performance of tiling when applied on projected frames. This study demonstrates the theoretical gains that can be expected by a quality-variable implementation of 360-degree video. More recently, Hosseini and Swaminathan [11] proposed a hexaface sphere-based tiling of a 360-degree video to take into account projection distortion. They also present an approach to describe the tiles with MPEG Dynamic Adaptive Streaming over HTTP (DASH) Spatial Relationship Description (SRD) formatting principles. Quan et al. [21] also propose the delivery of tiles based on a prediction of the head movements. Their main contribution is to show that the head movements can be accurately predicted for short segment sizes by using standard statistical approaches. Le Feuvre and Concolato [16] have demonstrated the combination of HEVC tiling with 360-degree video delivery. Their main contribution is to demonstrate that current technologies enable efficient implementation of the principles of the tile-based approach. Finally, Zare et al. [29] show that, by using the extractor design for HEVC files and using constrained inter-view prediction in combination with motion-constrained tiles, it is possible to efficiently compress stereoscopic 360-degree videos while allowing clients to decode the videos simultaneously with multiple decoding instances.
Projection-Based Approach. This approach, which has been proposed by Kuzyakov [14] and is currently implemented in practical systems [30], takes profit from the geometrical projection. Indeed, since state-of-the-art video encoding are based on two-dimensional rectangles, any 360-degree video (captured on the surface of a sphere) needs to be projected onto a two-dimensional video before encoding. Scientists have been studying spherical projection onto maps for centuries. The most common projections are equirectangular, cube map, and pyramid [6, 27]. The main idea introduced by Kuzyakov [14] is to leverage a feature of the pyramid, projection: the sampling of pixels from the spherical surface to the two-dimensional surface is irregular, which means that some parts of the spherical surface get more distortion after the projection than others. Depending on the position of the base face of the pyramid, the projection, and consequently the video encoding, is better for some parts of the spherical surface. A refined approach based on geometrical projections is the offset projection [30], where a constant directed vector is applied during the projection to change the pixel sampling in the sphere domain while keeping the same pixel sampling (resolution) in the projected domain. It results in a better quality encoding near the “offset direction” and a continuously decreasing qualities for viewports far from this direction.
2.2 Viewport-Adaptive Streaming
Several researchers have concomitantly studied solutions to stream 360-degree videos based on the same principle as in rate-adaptive streaming [5, 6, 15, 16, 21]. A server splits the video into different segments which duration typically vary between 1 s to 10 s. Each segment is then encoded into different representations each representation having different size (in byte) and having different quality distribution. A client decides, thanks to an adaptation algorithm using local information and predictions, which video representation (or set of representations) to download, to match the available bandwidth budget and the future position of the user viewport.
Zhou et al. [30] studied a practical implementation of viewport-adaptive streaming made for the Oculus HMD, and showed that the occultus’ implementation is not efficient: 20% of the bandwidth is wasted to download video segments that are never used. Le Feuvre and Concolato [16] and Concolato et al. [5] studied practical implementation of tile-based quality-variable 360-degree videos viewport-adaptive streaming. Corbillon et al. [6] studied an optimal viewport-adaptive streaming selection algorithm based on different heuristically defined quality-variable versions of 360-degree videos. In this paper, we focus on an optimization model to generate quality-variable video versions for viewport-adaptive streaming that maximize the quality inside users’ viewpoints when number of video versions available to the user is limited. To the best of our knowledge, nobody studied before us optimal parameters to generate limited number of quality-variable versions for 360-degree videos.
2.3 Regions of Interest
Our work has also some common roots with the literature on Region of Interest (RoI) in video delivery. The human vision system can only extract information at high resolution near the fovea, where the gaze focuses its attention; the vision resolution decreases with eccentricity. Within the same video picture, it is common that most users focus their gaze on some specific regions of the picture, named RoI. Researchers have studied saliency map, which measures the gaze location of multiple users watching the same video. The goal is to extract RoI and, if possible, to corroborate RoI with picture structures to enable automatic RoI prediction [3, 9]. However, the concept of saliency map should be revisited with 360-degree videos, because the head movement is the prevailing factor to determine
the attention of users. To the best of our knowledge, the relation between gaze-based saliency map and head movements in HMD has not been demonstrated.
The attention-based video coding [2, 13, 17] is a coding strategy, which takes advantage of the gaze saliency prediction. The quantization parameters of the encoder are adjusted to allocate more bits near the different RoI and less bits farther away. A live encoder can perform attention-based video coding by using either feedback from a set of specific users or predicted RoI.
We revisit this approach to 360-degree videos in this paper. Our work is both to study per-segment RoI localization based on head movement information and to generate RoI-based encoded video representations. The creation of spherical quality-variable video versions based on head movement analysis enables viewport-adaptive streaming in the same manner that saliency map and attention-based video coding enable efficient video delivery on regular planar videos [9].
3 QUALITY-VARIABLE VIDEOS
We first introduce a model for quality-variable 360-degree videos and then provide some illustrations of this model on some implementation proposals.
3.1 Generic Model
Spherical videos. The unit sphere that underlies the 360-degree video is split into $N$ non-overlapping areas that cover the full sphere. The set of areas is denoted by $\mathcal{A}$. In essence, each area corresponds to the video signal projected on a given direction of the sphere. Let us denote by $s_a$ the surface of an area $a$ on the sphere and observe that the smallest possible surface $s_a$ is the pixel (in which case the set $\mathcal{A}$ is the full signal decomposition and $N$ is the video resolution). However, video preparation processes are generally based on a video decomposition $\mathcal{A}$ with larger surface $s_a$, such as the concept of tiles in HEVC [18]. For the preparation of 360-degree videos, any decomposition of the video into $\mathcal{A}$ can be considered if it respects that it covers the whole sphere, formally $\sum_{a \in \mathcal{A}} s_a = 4\pi$.
Area Quality. The goal of a video encoder is to compress the information of the video signal corresponding to a given area $a$ into a decodable byte-stream (lossy compression generating distortion when the video is eventually played). An encoder uses a compression algorithm with various parameter settings to encode the video. For a given encoder, the more compression due to the encoding settings, the more distortion in the decoded and played video. Using MPEG terminology, we use the generic term quality to express the settings of the encoding scheme on a given area, regardless of the used area encoding process. The number of different ways to encode areas is finite, which results in a set of available qualities $Q$ for this encoder (typically the quality ranges from 1 to 100 in MPEG). The set $Q$ is totally ordered with a transitive comparison function, noted with $>$.
We provide some natural notations: $q_{\text{min}}$ (respectively $q_{\text{max}}$) is the lowest (respectively highest) possible quality for areas. The encoder processes an area $a \in \mathcal{A}$ with a quality $q$ to generate a byte-stream of size $b_{a,q}$. Given the usual strictly increasing feature of the rate–distortion performance of video encoders, we get that if a quality $q_1 \in Q$ is better than a quality $q_2 \in Q$ (formally $q_1 > q_2$), then we have $b_{a,q_1} > b_{a,q_2}, \forall a \in \mathcal{A}$.
Video Version. We use the term version to represent the transportable full video signal byte-stream. It is the video as it can be delivered to clients. Based on the definitions of areas and qualities, a version is a function that associates with every area $a \in \mathcal{A}$ a unique quality $q \in Q$, which corresponds to the encoding quality of $a$. Let us denote by $\mathcal{R}$ the set of all possible versions. Please note that the number of possible versions is finite since both the set of areas $\mathcal{A}$ and the set of qualities $Q$ are finite. However, the number of different versions is $N^{|\mathcal{A}|}$. We use the notation $r(a)$ to denote the quality $q$ that corresponds to the quality at which the area $a \in \mathcal{A}$ is encoded in the version $r \in \mathcal{R}$.
Let $B$ be a positive real number. We denote by $\mathcal{R}_B$ the subset of versions in $\mathcal{R}$ such that $r \in \mathcal{R}_B$ satisfies that the sum of the byte-stream sizes for every area $a \in \mathcal{A}$ is equal to $B$. Formally, we have:
$$\forall r \in \mathcal{R}_B, \quad \sum_{a \in \mathcal{A}} b_{a,r(a)} = B$$
Viewport. One of the peculiarities of 360-degree videos is that at a given time $t$ a user $u$ watches only a fraction of the whole video, which is generally called the viewport. The viewport displays only a subset of all the areas of the sphere. Let $v_{u,t,a}$ be a real number equal to the ratio of the surface of area $a$ that is inside the viewport of user $u$ at time $t$ and let $v_{u,t}$ be the average value of $v_{u,t,a}$ during all time $t$ in a video segment: $v_{u,t} = \frac{\sum_t v_{u,t,a}}{T}$, with $T$ the duration of the segment. With respect to the same definition of quality, we have that the average viewport quality during a video segment can be defined as being the sum of the qualities of all the areas that are visible in the viewport, formally $\sum_a v_{u,t} \cdot r(a)$. In practice, the satisfaction of the user watching a viewport is more complex since it depends not only on the visible distortion of the different areas in the viewport but also on the possible effects that different levels of distortion on contiguous areas can produce. Nevertheless, for the sake of simplicity, and with regards to the lack of formal studies dealing with subjective satisfaction evaluation of multi-encoded videos, we consider here that the satisfaction grows with the sum of qualities of the visible areas.
3.2 Illustration: Offset Projections
To apply the implementation of offset projection as presented by Zhou et al. [30] to our model, we need to introduce some additional notations. Let $0 \leq \beta \leq 1$ be a real number, which is the magnitude of the vector used by the “offset” projection. We denote by $\theta$ the angular distance between the “offset direction” and a given point on the sphere. The variation of the sampling frequency compared to the frequency of the same projection without offset at angular distance $\theta$ is:
$$f(\theta) = \left( \frac{1 + 2\beta + \beta^2}{1 + \beta} \right) \left( \frac{\beta \cos(\theta) + 1}{1 + 2\beta \cos(\theta) + \beta^2} \right)$$
If we denote by $D(a1, a2)$ the angular distance between the centers of two areas $a1$ and $a2$, offset projections could be modeled by the set of version $r \in \mathcal{R}$ such as there exists $a_{\text{off set}} \in \mathcal{A}$ such as $\forall a \in \mathcal{A}, r(a) = f(D(a_{\text{off set}}, a)) \cdot r(a_{\text{off set}})$.
3.3 Illustration: Tiling
We define the concept of tile and tiled partition to extend our model to tiled versions. A tile is a set of contiguous areas of \( \mathcal{A} \). A tiled partition \( \mathcal{T} \) of \( \mathcal{A} \) is a set of non overlapping tiles that cover \( \mathcal{A} \). A tiled version using the tiled partition \( \mathcal{T} \), is a version \( r \in \mathcal{R} \) such that the quality is uniform on each tile of \( \mathcal{T} \). Formally we have \( \forall r \in \mathcal{T}, |r(\tau)| = 1 \).
Note that in the tiled scenario, the service provider can generate a version for each tile individually without offering a version for the whole video. In this case, the client has to select separately a version for each tile to generate what we denote by a tiled version in our model. This differs from the other scenarios where the service provider is the one that decides which video version to generate.
4 VIEWPORT-ADAPTIVE STREAMING
An adaptive streaming system is modeled as being one client and one server, where the server offers \( J \) different versions of the video, and the client periodically selects one of these versions based on a version selection algorithm.
Server. The main question is to prepare \( J \) versions in \( \mathcal{R} \) among all the possible combinations of qualities and areas. In the practical 360°-degree video streaming system described by Zhou et al. [30], the number of versions \( J \) is equal to 30, while the solution that is promoted by Niaymout et al. [19] is to offer all the combinations of tiles (typically \( 8 \times 4 \)) and qualities (typically 3). In practice, a low number of versions \( J \) is suitable since it means less files to manage at the server side (96 files in the latter case) and less complexity in the choice of the version at the client side (more than 32 thousand combinations in the aforementioned case). The main variable of our problem is the boolean \( x_r \), which indicates whether the server decides to offer the version \( r \in \mathcal{R} \). Formally, we have:
\[
x_r = \begin{cases}
1, & \text{if the server offers } r \in \mathcal{R} \\
0, & \text{otherwise}
\end{cases}
\]
Since the server offers only \( J \) different versions, we have \( \sum_{r \in \mathcal{R}} x_r = J \). In the following, we restrict our focus on the case of a given overall bit-rate budget \( B \), which is a real number. The main idea is to offer several versions of the video meeting the same bandwidth requirement but with different quality distributions. All the versions have thus the same overall bit-rate “budget” but they differ by the quality of the video, which is better at some directions in the sphere than others.
Client. The version selection algorithm first determines the most suitable bit-rate, here \( B \), and then selects one and only one versions among the \( J \) offered versions for every segment of the videos, ideally the version that is the best match to user viewport. To simplify notations, we omit in the following the subscripts related to temporal segments, and we thus denote by \( y_{u,r} \) the binary variable that indicates that user \( u \) selects \( r \in \mathcal{R} \) for the video. Formally:
\[
y_{u,r} = \begin{cases}
1, & \text{if the client } u \text{ selects } r \in \mathcal{R} \\
0, & \text{otherwise}
\end{cases}
\]
Since the user selects only one offered versions, we have \( \sum_{r \in \mathcal{R}} y_{u,r} \cdot x_r = 1 \). We consider an ideal version selection algorithm and we thus assume that the client always selects the version that maximizes the viewport quality as previously defined, which is \( r \) such that \( \sum_a v_{u,a} \cdot r(a) \) is maximum.
4.1 Model Formulation
Our objective is to determine, for a given set of users who request the video at bit-rate \( B \), the \( J \) versions that should be prepared at the server side so that the quality of the viewports is maximum. In its most generic form, the problem can thus be formulated as follows.
\[
\max_{y_{u,r}} \sum_u \sum_{r \in \mathcal{R}} y_{u,r} \cdot \sum_a v_{u,a} \cdot r(a)
\]
Such that:
\[
\sum_a b_{a,r}(a) = B \quad \forall r \in \mathcal{R} \tag{1a}
\]
\[
\sum_r x_r \leq J \tag{1b}
\]
\[
\sum_r y_{u,r} = 1 \quad \forall u \tag{1c}
\]
\[
y_{u,r} \leq x_r \quad \forall r, u \tag{1d}
\]
Note that with this formulation the problem is tractable.
5 PRACTICAL OPTIMIZATION MODEL
We take into account some practical additional constraints and some further hypothesis to formulate a tractable optimization problem, which meets key questions from content providers.
5.1 Practical Hypothesis
We first suppose that each area \( a \in \mathcal{A} \) in the whole spherical video has the same coding complexity. This means we suppose that for a given quality, the byte-stream size of a area is proportional to its size. We derive the concept of surface bit-rate, which expresses in bps/m² the amount of data that is required to encode an area at a given quality. We obtain that \( b_{\text{max}} \) (respectively \( b_{\text{min}} \)) corresponds to the surface bit-rate for the maximum (resp. minimum) quality.
Second, we restrict our study to only two qualities per version. We follow in that spirit the MPEG experts in the Omnidirectional Media Application Format (OMAP) group [12], and notably we follow their recommendation to implement scalable tiled video coding such as HEVC Scalable Extension (SHVC) [4] for the implementation of quality-variable 360°-degree video versions. It means that for each version we distinguish a Quality Emphasized Region (QER), which is the set of areas that are at the high quality noted \( b_{qer} \), and the remaining areas, which are at the low quality \( b_{out} \). In the SHVC encoding, \( b_{qer} \) corresponds to the video signal with the enhancement layer, while \( b_{out} \) contains only the base layer. Let \( s_r \) be the overall surface of the areas that are in QER for a given version \( r \in \mathcal{R} \). The bit-rate constraints (1a) can thus be expressed as follow:
\[
s_r \cdot b_{qer} + (4\pi - s_r) \cdot b_{out} = B \tag{2}
\]
Third, we introduce a maximum gap between both qualities. The motivation is to prevent the video to have too visible quality changes between areas. This quality gap ratio, denoted by \( r_b \), can be defined as the maximum ratio that relate the qualities \( b_{qer} \) and
Figure 1: A rectangular region of the sphere; in blue the two small circles that delimit the region and in red the two great circles that delimit the region.
Finally, we define the QER as a rectangular region defined on the sphere as shown in Figure 1. We thus adopt the restriction that has been introduced in the MPEG OMAF [12] to delimit a so-called *rectangular region on the sphere*. We also adopt the same way to define the region by delimiting two small circles (angular distance \( \psi Dim \)), two great circles (angular distance \( hDim \)) and the spherical coordinates of the region center is \((\theta, \varphi)\).
In the following, we consider only video versions \( r \in R \) such that there exists \(-\pi \leq \theta \leq \pi, 0 \leq \varphi \leq \pi, -\pi \leq hDim \leq \pi,\) and \(0 \leq \psi Dim \leq \pi\) such that for all area \( a \in A \), if \( a \) is inside the rectangle characterized by \((\theta, \varphi, hDim, \psi Dim)\), the bit-rate of \( a \) is \( b_{qer} \) otherwise it is \( b_{out} \). We denote such a version by \( r(\theta, \varphi, hDim, \psi Dim) \).
### 5.2 Bit-Rate Computation
The objective function (1) imply that if two versions have a QERs containing the same areas, the optimal set of offered video versions can only contains the version that maximize the \( b_{qer} \) subject to the bit-rate constraint (2) and the ratio constraint (3).
In order to simplify the complexity of the model, we pre-computed the value of \( b_{qer} \) and \( b_{out} \) depending on the size of the QER \( s_r \). We identify four different cases depending on the size of the QER \( s_r \). For simplicity, we provide in the following the main ideas of the algorithm and put the details of the mathematical model in the Appendix of the paper.
We first combine the constraints given by the overall bit-rate budget with Equation (2) and the knowledge that \( b_{min} \leq b_{out} < b_{qer} \leq b_{max} \). There are two cases, depending on whether the QER is small or not:
- When the surface of the QER is small, i.e., \( s_r \leq \frac{B - 4\pi b_{min}}{b_{max} - b_{min}} \) (see in Appendix), the constraint on the maximum surface bit-rate prevails for \( b_{qer} \). The surface bit-rate inside the QER can be maximum. The bit-rate budget that remains after deducing the bit-rate in the QER is \( B - (s_r \cdot b_{max}) \). This remaining bit-rate budget is large enough to ensure that the surface bit-rate for the areas outside the QER is greater than \( b_{min} \). We obtain that \( b_{qer} \) is equal to \( b_{max} \) and \( b_{out} \) is derived as:
\[
b_{out} = \frac{B - (b_{max} \cdot s_r)}{4\pi - s_r}
\]
- When the surface of the QER is large, i.e., \( s_r \geq \frac{B - 4\pi b_{min}}{b_{max} - b_{min}} \), the constraint on the minimum surface bit-rate prevails. The surface bit-rate inside the QER cannot be \( b_{max} \), otherwise the remaining bit-rate that can be assigned to the video area outside the QER would not be large enough to ensure that \( b_{out} \) is greater than \( b_{min} \). Here, we first have to set \( b_{out} \) to \( b_{min} \) and then assign the remaining budget \( B - (b_{min} \cdot (4\pi - s_r)) \) to the QER area.
\[
b_{qer} = \frac{B - (b_{min} \cdot (4\pi - s_r))}{s_r}
\]
Next, we consider the quality gap ratio, which applies to both previously discussed cases:
- When the QER is small, setting \( b_{qer} = b_{max} \) and \( b_{r, out} \) to (4) can lead to not respect Equation (3). It occurs for any QER such that (see in Appendix):
\[
s_r \geq \frac{4\pi \cdot b_{max} - B \cdot r_b}{(1 - r_b) \cdot b_{max}}
\]
The surface bit-rate \( b_{qer} \) should be instead reset as \( b_{qer} = r_b \cdot b_{out} \). This constraint makes that some extra bit-rate are not assigned: \( s_r \cdot (b_{max} - r_b \cdot b_{out}) \). These extra bit-rates can thus be re-assigned to both \( b_{qer} \) and \( b_{r, out} \) (see in Appendix).
- When the QER is large, setting \( b_{out} = b_{min} \) and \( b_{r, qer} \) with Equation (5) can also lead to not respect Equation (3). It occurs for any QER such that:
\[
s_r \leq \frac{4\pi \cdot b_{min} - B}{(1 - r_b) \cdot b_{min}}
\]
Similarly as in the previous case, resetting \( b_{qer} \) with respect to the quality gap ratio leads to release of some extra bit-rates, which can be re-assigned to both \( b_{out} \) and \( b_{qer} \).
We represent in Figure 2 the algorithm with the four cases when it applies to standard settings\(^1\) of the overall bit-rate \( B \), the maximum surface bit-rate \( b_{max} \), the minimum surface bit-rate \( b_{min} \) and the quality gap ratio \( r_b \). Finally, we show in Figure 3 how the surface bit-rates are assigned depending on the surface \( s_r \) for a given parameter configuration (see in caption and in Section 6). Here the thin gray vertical lines correspond to the threshold at which the algorithm runs a different case.
### 6 EVALUATION – CASE STUDY
#### 6.1 Settings
We used a custom-made C++ software publicly available on github.\(^2\) This software uses the IBM Cplex library to solve our optimization problem.
**Dataset of Head Movements.** We used the public head movement dataset that we recently extracted and shared with the community [7].\(^3\) This dataset contains the head orientation of 59 persons watching, with a HMD, five 70-second-long 360-degree videos. In this paper we used the results from only two out of the five videos available: *roller-coaster* and *diving*. We selected those videos because users exhibit different behaviors while watching them: most users focus on a single Rol in the *roller-coaster* video.
---
\(^1\)In some configurations, it is possible that some of the presented cases do not hold since the threshold for the cases can be negative, greater than 4\(\pi\), or interfering with a prevailing constraint. This however does not occur for the most common configuration parameters, ensuring that a quality gap ratio not too large and consistent values for both \( b_{min} \) and \( b_{max} \).
\(^2\)https://github.com/axnar/optimal-set-representation-viewport-adaptive-streaming
\(^3\)http://aain.ipvis.enst.fr/headmovements/
Figure 2: Algorithm for surface bit-rates in and out of the QER. The algorithm depends on the surface of the QER $s_F$. We show here the four different cases, for various surfaces (smallest to largest from left to right).
Figure 3: Surface bit-rates as a function of the QER surface. The overall video bit-rate $B$ is 12.56 Mbps, so the surface bit-rate for a uniform quality is 1 Mbps/m². The maximum surface bit-rate $b_{\text{max}}$ is 2.1 Mbps/m² while the minimum $b_{\text{min}}$ is 0.45 Mbps/m². Finally, the quality gap ratio $r_b$ is 3.
Figure 4: Visible surface bit-rate depending on the global bit-rate B. The horizontal red arrow shows the difference in total bit-rate to deliver viewports with the same average quality as a user would observe with a video encoded with a uniform quality. The vertical red arrow indicates the gain in quality (measure in surface bit-rate) compared to viewports extracted at the same position on a video with uniform quality with the same total bit-rate.
### 6.2 Theoretical Gains of Viewport-Adaptive Streaming
Our first goal is to evaluate the possible (theoretical) gains that the implementation of viewport-adaptive streaming can offer to the content providers. The gains can be evaluated from two perspectives: either the opportunity to save bandwidth while offering the video at the same level of quality as if the video was sent with uniform quality, or the opportunity to improve the quality of the video that is displayed at the client side for the same bit-rate as for a standard delivery. We computed the average surface bit-rate inside the viewport of the users (named *visible surface bit-rate* in the following) for different bit-rate budgets. The average visible surface bit-rate $b_{v_{QER}}$ in the viewport during a segment can be formally written as follow, with $N_u$ the number of user:
$$b_{v_{QER}} = \sum_a y_{u,a} \cdot \left( \frac{\sum_a v_{u,a} \cdot b_r(a)}{N_u} - \frac{\sum_a v_{u,a} \cdot s_q}{N_u} \right)$$ \hspace{1cm} (6)
Figure 4 represents the mean average visible surface bit-rate for all segments of the two selected videos. The horizontal dashed line shows the average visible surface bit-rate for the bit-rate budget of 12.56 Mbps that is uniformly spread on the sphere, while the vertical dashed line indicates the quality for a constant bit-rate of 12.56 Mbps. We also represent the gains from the two aforementioned perspectives (either bit-rate savings or quality).
For a constant average quality inside the user viewpoints, the delivery of optimally generated QER versions enables 43%
bandwidth savings. For a constant bit-rate budget, the optimal viewport-adaptive delivery enables an average increase of visible surface bit-rate of 102%.
6.3 Video Content vs. Delivery Settings
We now study the settings of the viewport-adaptive streaming systems, especially the parameters related to the number of different versions ($J$) and the segment size ($T$). We compare the set of versions that are generated by the optimal solver for both selected videos. We are interested in studying whether there exists a common best-practice setting to generate versions, regardless of the video content, or whether each video should be prepared with respect to the content by a dedicated process with its own setting. We show the results computed separately for the roller-coaster and the diving video. Recall that the roller-coaster video has a single static RoI and most of the 59 users focus on it. On the contrary, the diving video has multiple moving RoI, which most users alternatively watch.
Figure 5 represents the average visible surface bit-rate $b_{\text{surf}}$ of the optimal QER versions for each user and each video segment for both videos: the roller-coaster video is in plain-green lines while the diving video is in dashed-blue lines. The results are shown with a box plot, with the 10th, 25th, 50th, 75th and 90th percentiles for the 30 segments watched by the 59 users of each video in an optimal viewport-adaptive delivery system.
The viewport-adaptive streaming systems make that the higher the number of QER versions offered by the content provider, the better the average quality watched by the users because the set of versions covers more user behaviors. However, we notice that there exists a threshold value after which increasing the number of versions does not significantly improve the quality of the viewport of the users. This threshold depends on the video content. For the roller-coaster video, the limit is four QER versions while this limit is eight for the diving video. Please note that both threshold are significantly lower than the thirty versions that are generated by state-of-the-art viewport-adaptive delivery systems [14].
In Figure 7 we fix the number of QER versions to four and we evaluate the impact of the segment size on the generated QER versions. Like for Figure 5 the results are displayed with a box plot, which follows the same color code.
The median quality decreases while the size of the segments increases. Indeed, the higher the segments size, the wider are the head movements of the users. But, similarly as in the number of video versions, we notice that the median average displayed quality for the diving video is more sensitive to the segment size than for the roller-coaster video. For the latter, the quality decreases for segments longer than 2 s while for the diving, the quality decreases for segment longer than 1 s.
6.4 QER Dimensions vs. Overall Bit-rate
We study the main characteristics of the generated QER versions with a focus on the impact of the global bit-rate budget on the dimensions. We evaluate both the size of the QER inside each video version and the shape of the QERs.
Figure 7 presents the cumulative density function (CDF) of the surface of the QER inside each generated optimal version, for different global bit-rate budget, for both video. The dashed vertical black line represents the surface of the viewpoints of the users as it is seen in the HMD.
The size of the QERs increases with the overall bit-rate budget. If the bit-rate budget is small, the size of each QERs is smaller than the surface of the viewpoints. It means that no user has a viewport with full quality everywhere. The optimal solver prefers here to keep a high quality on an area that is common to the viewport of many users. If we increase the available bit-rate budget, the surface
of the optimal QERs increases and is now wider than the viewport, so when a user who moves the head can nevertheless still have a viewport within the QER.
Figure 8 represents the probability density function (PDF) of the difference between the horizontal and vertical dimensions of the generated QERs. For instance, Figure 8a indicates that 21% of the QERs have a horizontal size $hDim$ that is within the range $[-1 + vDim, -0.5 + vDim]$. The more occurrences of QER on the right, the more horizontal QERs are generated by the optimal solver.
QERs have often a squared shape (the horizontal dimension is close to the vertical dimension), and are mostly more horizontal than vertical. The horizontal shape can be explained by the fact that users move more often horizontally than vertically (they often stay close to the horizon). Moreover, when the bit-rate budget is limited, shapes are less often squared. Our interpretation is that, given that the generated QERs are narrower, the optimal solver generates QERs that cover various positions, corresponding to more users whose attention is on various positions around the horizon.
7 CONCLUSION
This paper investigates some theoretical models for the preparation of 360-degree video for viewport-adaptive streaming systems. Viewport-adaptive streaming has recently received a growing attention from both academic [6, 20, 21] and industrial [1, 8, 24] communities. Despite some promising proposal, no previous work has explored the interplay between the parameters that characterize the video area in which the quality should be better. We denote this special video area a QER. In this paper, we address, on a simplified version of our theoretical model, the fundamental trade-off between spatial size of the QERs and the aggregate video bit-rate. We show that some new concepts, such as the surface bit-rate, can be introduced and let the content provider efficiently prepare the content to be delivered. Finally, we demonstrate the potential benefits of viewport-adaptive streaming: the gains compared to streaming of a wider version with a uniform quality are greater than 102% in terms of displayed quality to a user group with constant bit-rate budget, and a bit-rate budget reduction for more than 45% for the same displayed video quality.
In this paper, we assumed that content provider already has some user head movement statistics. In future work we will study the generic QERs parameters that the provider can use to generate initial video versions of a 360-degree video, without video specific statistics. When the provider receives enough analytic, he will be able to generate versions adapted to real user behavior on each video segment. Such functionality would be required in both the processed and the live video viewport-adaptive streaming. Additionally, in this paper we studied only a simplified version of the theoretical model with only two different levels of quality per versions. We plan to study smoother decreasing of the quality inside video versions.
APPENDIX
Limits in the Optimal Bit-Rate Algorithm
Constraint on maximum and minimum bit-rate. Let set $b_{qer} = b_{max}$, which makes that $s_r \cdot b_{\text{max}}$ bit-rate are used for the QER. The remaining bit-rate can be used to the non-QER: $b_{out} = \frac{B - (s_r \cdot b_{\text{max}})}{4\pi - s_r}$. We know that $b_{\text{min}} \leq b_{out}$. So:
$$b_{\text{min}} \leq \frac{B - (s_r \cdot b_{\text{max}})}{4\pi - s_r}$$
$$s_r \leq \frac{B - 4\pi b_{\text{min}}}{b_{\text{max}} - b_{\text{min}}}$$
Constraint on the quality gap ratio. Let set $b_{qer} = b_{\text{max}}$ and $b_{out}$ be computed from Equation (4). However, for some $s_r$, it can happen that $r_b \cdot b_{out}$ is lower than $b_{\text{max}}$:
$$r_b \cdot \frac{B - b_{\text{max}} \cdot s_r}{4\pi - s_r} \leq b_{\text{max}}$$
$$s_r \geq \frac{4\pi b_{\text{max}} - r_b \cdot B}{(1 - r_b)b_{\text{max}}}$$
Extra bit-rate assignment. In some cases, the algorithm obtains (at the step 3 in Figure 2) some so-called extra bit-rate, which comes from the quality gap ratio. This extra bit-rate must be assigned to both the QER and non-QER areas while still maintaining the constraints. Let $E$ be the extra-bit-rate. Let $y$ be the ratio of the extra bit-rate that is assigned to the non-QER areas. Let $b_{int}$ be an intermediate surface bit-rate computed as in the step 1 in Figure 2. We have:
$$b_{out} = b_{\text{int}} + y \cdot \frac{E}{4\pi - s_r}$$
$$b_{qer} = r_b \cdot b_{\text{int}} + (1 - y) \cdot \frac{E}{s_r}$$
Given that the quality gap ratio is the prevailing constraint in the considered cases, \( b_{qer} = r_b \cdot b_{out} \). We thus obtain:
\[
r_b \cdot b_{int} + (1 - y) \cdot \frac{E}{s_r} = r_b \left( b_{int} + y \cdot \frac{E}{4\pi - s_r} \right)
\]
\[
y = \frac{4\pi - s_r}{4\pi + s_r \cdot (r_b - 1)}
\]
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ON UNIFORM IMPORT TARIFFS IN DEVELOPING COUNTRIES
Sebastian Edwards
Working Paper No. 3347
NATIONAL BUREAU OF ECONOMIC RESEARCH
1050 Massachusetts Avenue
Cambridge, MA 02138
May 1990
This paper is part of a project on trade liberalization in the developing countries undertaken at the CECPT division of the World Bank. In revising this paper I benefitted from reading papers by Robert Chambers and by Arvind Panagariya. I am grateful to Vinod Thomas and his staff for helpful comments. I am particularly grateful to Miguel Savastano and Julio Santaella for their excellent assistance. This paper is part of NBER's research program in International Studies. Any opinions expressed are those of the author and not those of the National Bureau of Economic Research.
ON UNIFORM IMPORT TARIFFS IN DEVELOPING COUNTRIES
ABSTRACT
The purpose of this paper is to theoretically assess, from a welfare perspective, the desirability of uniform import tariffs. Since the eruption of the debt crisis, many proposals for structural reforms in the developing countries have contemplated a trade liberalization process that would create a low and uniform tariff structure. In this paper I review the literature on the subject and construct a general equilibrium model to evaluate the consequences of alternative structural adjustment policies. Throughout the analysis it is assumed that labor markets and nontradables markets are subject to some distortions.
Sebastian Edwards
Department of Economics
University of California
Los Angeles, CA 90024-1481
I. Introduction
As a large number of countries embark on programs aimed at liberalizing their external sector, issues related to the actual design of trade policies have become increasingly important. In particular, the multilateral institutions have become more and more concerned with some of the specific characteristics of reformed (more liberalized) trade regimes. Broad issues such as the adequate sequencing of reform and the relationship between trade liberalization and macroeconomic adjustment have, in fact, dominated recent policy discussions (Choksi and Papageorgiou, 1986). However, at a more specific level, one of the most important aspects in designing a new and more liberalized commercial policy refers to the structure of import tariffs. Should tariffs in certain sectors be higher than in others, or should they be uniform? As a matter of practical advice, for example, the World Bank is increasingly recommending a uniform tariff structure (Shalizi and Squire, 1988). Other policy advisers, however, have argued that non-uniform tariffs are preferable, with higher tariffs granted to those sectors with more potential for creating employment (Foxley, 1983).
The purpose of this paper is to assess analytically, from a welfare perspective, the desirability of uniform import tariffs. The analysis presented here expands previous work in the subject by considering a multiple distortions economy and by concentrating on wage rate rigidity as the one distortion that cannot be easily relaxed. The model derived in the paper provides a unified framework where the interaction of some important features of the developing countries, that until now had been treated separately, are considered.
The fact that in most countries import tariffs are far from uniform (see Table 1), indicates that this issue is indeed important from a policy
### TABLE 1
**Average and Dispersion of Protection:**
*(Effective Rates of Protection)*
| Country | Year | ERP<sup>a</sup> | STD<sup>b</sup> | Year | ERP<sup>a</sup> | STD<sup>b</sup> |
|------------------|--------|-----------------|-----------------|--------|-----------------|-----------------|
| Argentina | 1969 | 95 | 100 | 1977 | 46 | 47 |
| Brazil | 1967 | 80 | 46 | - | - | - |
| Chile | 1961 | 346 | 634 | - | - | - |
| Colombia | 1969 | 88 | 166 | 1979 | 56 | 27 |
| Costa Rica | 1968 | 23 | 15 | - | - | - |
| Dominican Republic| - | - | - | 1971 | 118 | 104 |
| Egypt | 1966/67| 88 | 64 | - | - | - |
| El Salvador | 1968 | 44 | 48 | - | - | - |
| Ghana | 1968 | 404 | 600 | - | - | - |
| Greece | 1961 | 52 | 57 | - | - | - |
| Guatemala | 1968 | 32 | 27 | - | - | - |
| Honduras | 1968 | 59 | 68 | - | - | - |
| India | 1968/69| 138 | 109 | - | - | - |
| Israel | 1968 | 89 | 67 | - | - | - |
| Ivory Coast | - | - | - | 1970/72| 72 | 74 |
| Jordan | - | - | - | 1979 | 56 | 73 |
| Kenya | 1967 | 105 | 141 | - | - | - |
| Korea | 1968 | 14 | 44 | - | - | - |
| Malaysia | 1963 | 32 | 58 | 1970 | 68 | 66 |
| Mexico | 1960 | 32 | 24 | 1970 | 39 | 34 |
| Nicaragua | 1968 | 63 | 66 | - | - | - |
| Pakistan | - | - | - | 1970/71| 202 | 122 |
| Philippines | 1965 | 42 | 130 | 1974 | 60 | 82 |
| Singapore | 1967 | 6 | 10 | - | - | - |
| South Africa | 1963/64| 17 | 20 | - | - | - |
| Spain | 1968 | 53 | 39 | - | - | - |
| Sri Lanka | - | - | - | 1970 | 123 | 72 |
| Sudan | - | - | - | 1971 | 246 | 237 |
| Taiwan | 1966 | 84 | 62 | - | - | - |
| Tanzania | 1966 | 137 | 135 | - | - | - |
| Thailand | 1969 | 16 | 29 | - | - | - |
| Uruguay | 1968 | 411 | 304 | - | - | - |
<sup>a</sup> Unweighted average effective rate of protection.
<sup>b</sup> Standard deviation of ERP.
*Source:* Heitger (1987).
design perspective. Our understanding of the criteria and conditions under which tariff uniformity is indeed optimal should be of help to policymakers and economic advisers for making more informed decisions.
The paper is organized in the following way: Section II contains a brief literature review on the general subject of optimal commercial policies. In Section III a general equilibrium model is derived to analyze, from a welfare perspective, the issue of tariff uniformity. The model considers a small open economy that consumes and produces four goods and that is subject to three types of distortion. In Section IV we use our general model to investigate the circumstances under which a uniform tariff will be optimal (in a second best sense) in a world with only final goods. In Section V we expand our model, allowing for the incorporation of imported intermediate inputs. We then address the uniform tariff question under this new set of assumptions. In Section VI we explicitly include government consumption into the analysis, asking how a trade liberalization reform will affect welfare in an economy where government expenditures must be balanced by tax and tariffs revenues. This type of revenue-neutral reform is highly relevant for a number of poor countries, especially in Africa, that rely heavily on import and export taxes as a source of government revenue. In Section VII we present the concluding remarks and we suggest some extensions to this line of work.
II. Optimal Tariff Structures: A Selective Literature Review
At a textbook level the issue of optimal tariffs and tax structure is trivial and, for policy purposes, mostly uninteresting. In the usual setting the first best solution is to get rid of all distortions simultaneously: laissez-faire is the optimal trade policy. On the other hand, if the government needs to raise some revenues to finance its expenditures, the theoretical answer is again clear. The government should institute a tax-tariff structure based on the Ramsey-Rule principle: after taking into account existing cross effects (both in demand and supply) the rate of taxation in each sector should be inversely proportional to the price elasticities of these functions. However, if we abandon the first best world of textbooks and plunge into the more realistic world of second or third best options, free trade will generally be suboptimal. Indeed this was one of the examples used by Lipsey and Lancaster (1956) in their classical article on the theory of the second best. They considered a world with three goods -- one domestically produced and two imported -- and investigated what was the optimal tariff for one of the importables given that the other one had a positive tariff.
Another important application of the theory of the second best in commercial policies for the developing countries refers to the existence of a labor market distortion that, for political or other reasons, cannot be relaxed. Haberler (1950) was possibly the first one to argue that under these circumstances some form of trade restrictions might be welfare enhancing. However, his analysis was restricted to the case of one importable sector and, thus, did not venture into the issue of tariff uniformity. In two important contributions Richard Brecher (1974a,b) formally expanded the analysis of the standard Heckscher-Ohlin model by introducing economy-wide
minimum wages. In Brecher (1974a) he tried to determine whether the standard trade theorems were affected by the minimum wage assumption. Additionally, Brecher investigated the welfare implications of tariffs, concluding that "when the (home) country lacks ... monopoly power in trade, the optimal home strategy is not necessarily free ... trade" (Brecher, 1974a, p. 111). In Brecher (1974b), on the other hand, he considered the case of a country that had monopoly power in foreign trade and ranked three types of commercial policies under the assumption of an economy-wide minimum wage.
In his contribution to the *Handbook of Public Economics* Avinash Dixit (1985) develops a multi-goods general equilibrium model to investigate the issues of optimum taxation and tariffs. Dixit shows, in Section 3, that in the presence of externalities in production, free trade is no longer optimal. He also analyzes optimal tax and tariff policies for the case of non-economic objectives and finds that, under most circumstances, his results are consistent with those obtained by Johnson's (1965) classic study.
In another important piece on the subject, Bertrand and Vanek (1971) analyze the optimal commercial policy in a general equilibrium setting with many goods and factors and imported intermediate inputs. They consider the case where many import competing sectors are subject to tariffs and where, for political or other reasons, not all these tariffs can be eliminated. Their main finding (Theorem 4) is that, as long as there is no complementarity, the elimination of variable and extreme distortions is welfare improving. As a consequence they claim that it would be optimal to set all tariffs at an intermediate level situated between the highest and lowest
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1 The effects of minimum wages on international trade is also discussed by Lefebre (1971), Jones and Neary (1984), Dixit and Norman (1980) and Edwards (1988).
distortion that cannot be altered. The intuitive interpretation of this result is rather simple: by reducing extreme tariffs, resources (both primary factors and intermediate inputs) are reallocated to those sectors where the difference between consumers' valuation and real production costs is the greatest.
Another participant in the uniform tariff debate has been Arnold Harberger. In a series of papers (1984, 1986, 1989) he has used shadow pricing principles to argue that trade liberalization reforms should generally be aimed at achieving a uniform tariff structure. His suggestions are based not only on welfare considerations, but also on political economy and institutional factors.
Several recent surveys have enriched the literature on the subject. Among these, it is worth mentioning the contribution by Panagariya (1989) where different ways in which the literature has approached the uniform tariff question are presented in an intuitive diagrammatic fashion. An important issue in this debate is related to the optimal tariff structure in cases in which the government needs to collect a given amount of revenue to finance its expenditures. This kind of analysis falls in the general category of Ramsey-Rule type problems. In a recent comprehensive study Chambers (1989) has used this general framework to investigate, employing a large set of alternative assumptions, the conditions under which tariff uniformity will be optimal. He considers the cases of economies with and without nontradable goods, as well as with and without intermediate goods, and finds that uniformity is an uncommon outcome in a Ramsey-Rule type of framework. One of his main results establishes that uniform tariffs will generally not be optimal in the case in which the government needs to raise a certain amount of revenue. Moreover, he argues that even if the stringent
conditions required for uniformity to be optimal are met, it will be difficult for the policymakers to have the information necessary to determine the level at which this optimal tariff should be set.
Another group of authors have investigated the issue of optimality of uniform tariffs across time. The question this subset of the literature has asked is whether there are circumstances under which it is optimal for a country to maintain its tariff structure invariant, i.e., maintain the same tariff "today" and "tomorrow". Edwards and van Wijnbergen (1986) analyzed this issue using an intertemporal model with initial tariffs and borrowing constraints and found that, for a certain set of parameters, the optimal intertemporal tariff structure was not a uniform one. They argued that this result provided support to the idea that a gradual process of trade liberalization is generally superior to an abrupt trade reform.
III. A General Equilibrium Model for Evaluating the Welfare Consequences of Alternative Trade Reform Packages
The purpose of this section is to develop a real general equilibrium model to analyze the welfare consequences of trade liberalization policies. Although the main objective of the model is to focus on the final welfare effects of liberalization reforms, this framework can be easily used to analyze the behavior of other important variables such as interest rates, the trade account, employment and the real exchange rate. The model complements the existing literature on the subject by providing a unified framework that combines a number of features of the developing economies that until now have been treated in isolation. First, the model uses a formal general equilibrium model with multiple distortions; second, the taxation of nontradable goods is explicitly considered as an important source of government revenue; and third, it is assumed that rigid wages are a key distortion in the economy and, thus, we analyze closely the way in which the labor market adjusts to tariff changes. The most important contribution of this model, however, is that it explicitly considers the role played by real exchange rates in determining a small country's optimal tariff structure.
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2 As explained by Panagariya (1989), a number of possible criteria have been used in the literature to evaluate the desirability of a certain commercial policy. In this paper we concentrate on the traditional view, and investigate the welfare consequences of moving towards tariff uniformity.
3 The model is partially based on that developed in Edwards (1989b). However, in this paper we develop a very general static framework model while in Edwards (1989b) a more restricted intertemporal model was considered. Also, here we assume that there are two or more final importable sectors, while in previous work, such as the papers by Harberger (1984, 1989) and Chambers (1989), the case of a single importable sector was analyzed.
The model assumes that there are two distortions in the economy in addition to import tariffs: (1) real wage rigidities that generate unemployment, and (2) a tax in the services sector which, in turn, is treated as a composite nontradable good whose market has to clear in every period. In this section we will present the basic benchmark for analyzing the optimality of uniform tariffs; thus, the model used here still has some simplifying assumptions, such as the presence of final goods only, that will be relaxed in the subsequent sections.
III.1 The Model
Assume the case of a small open economy that faces given world prices of tradable goods and world interest rates. The agents of this economy consume and produce four goods -- exportables (X), nontradables (N), and two types of importables (M^A) and (M^B). In order to concentrate on essentials we assume that there is only one period and, thus, we ignore issues related to intertemporal substitutability. There are a large number of producers and (identical) consumers, and perfect competition prevails. The labor market is distorted by a minimum wage $\tilde{w}$. In the spirit of international trade theory, it is assumed that the supply of labor, as well as that of the other factors, is inelastic. Besides labor, it is assumed that there are capital and two types of natural resources.
Consumers maximize utility subject to their budget constraint, whereas firms maximize profits subject to existing constant returns to scale.
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4 In the body of the discussion we assume that this labor market distortion takes the form of a minimum wage expressed in terms of the exportable good. Later, however, we briefly discuss the case of nominal wage indexation to a general price index.
5 See, however, the accompanying paper on structural reforms and labor market adjustment.
technology, availability of factors of production, and the predetermined minimum wage.
The representative consumer problem can be stated as follows:
\[
\max U(C_N, C_X, C_M^A, C_M^B),
\]
subject to:
\[
C_X + p^A_C M^A + p^B_C M^B + fC_N \leq \text{Income}
\]
(1)
The price of exportables has been taken to be the numeraire. \(C_X, C_M^A, C_M^B, C_N\) are consumption of \(X, M^A, M^B\) and \(N\). \(p^A\) and \(p^B\) are the domestic prices of type \(A\) and \(B\) importables relative to exportables; and \(f\) is the relative price of nontradables faced by consumers.
Income is given by: (1) income from labor services; (2) income from the renting of capital stock and of natural resources that consumers own to domestic firms; and (3) income obtained from government transfers. These correspond, in the basic version of the model, to the government’s revenue from tariffs and taxes on nontradables. In Section V, however, we assume that instead of transferring tariffs and tax revenues to the private sector, the government uses those resources to finance its own consumption.
The solution to the consumers optimizing problem is conveniently summarized by the following expenditure function:
\[
E = E(l, p^A, p^B, f, U)
\]
(2)
On the other hand the producers maximization problem can be summarized with the aid of a restricted revenue function, which give us the maximum revenue that firms can obtain after making all the optimal decisions in
---
6 On expenditure functions and their properties see, for example, Dixit and Norman (1980).
terms of hiring and production given the distortion in the labor market (see Neary 1985). Denoting by $R$ the restricted revenue functions; by $q$ the price of nontradables faced by producers; and by $K$ the vector of other (nonlabor) factors of production, we have that:
$$R = R(l, p^A, p^B, q, L(l, q, p^A, p^B, \tilde{w}), K)$$
(3)
where $L(\cdot)$ is an employment function. Some useful and well known properties of revenue functions are that their derivatives with respect to goods prices are equal to supply functions, and that their derivatives relative to factor endowments are equal to the marginal product of that factor. In addition, revenue functions are convex. Notice that a simplifying assumption is that there are no intermediate inputs. In Section IV below we relax this assumption, inquiring into the way in which the incorporation of inter-industry trade will affect our final results.
The fact that there is a tax on the nontradables market is captured by the inclusion of different prices of nontradables in the expenditure and revenue functions in equations (2) and (3) ($f$ and $q$, respectively). The difference between producers and consumers prices is, of course, given by the tax on nontradables $\tau$:
$$f = q + \tau$$
(4)
In this stylized model the relative price of nontradables ($q$ and $f$) can be interpreted as a measure of "the" real exchange rate. As is shown in
---
7 On the property of employment functions see Edwards (1989b).
8 Moreover, an important property of restricted revenue functions is that they directly incorporate the effect of unemployment on earnings into the budget constraint. Consequently there is no need to deal with issues related to rationing.
Dornbusch (1980) and Edwards (1989a) changes in the tariff structure will result, through both substitution and income channels, in changes in the domestic prices of nontradables or real exchange rate. As is shown below, these relative price changes will play an important role in determining the welfare effects of alternative tariff reforms. As said before, the incorporation of this real exchange rate effect constitutes an important difference between our analysis and that of previous work.
We assume that both types of imports are subject to tariffs $t^A$ and $t^B$. Consequently, domestic prices of importables are given by:
$$p^A = p^{A*} + t^A$$
$$p^B = p^{B*} + t^B$$
where $p^{A*}$ and $p^{B*}$ are their respective world prices.
The complete model is given by the following set of equations where a subindex refers to a partial derivative:
$$R(l, p^A, p^B, q, L(), K) + T = E(l, p^A, p^B, f, U)$$ \hspace{1cm} (6)
$$T = rR_q + t^A_l I^A + t^B_l I^B$$ \hspace{1cm} (7)
$$R_q = E_f$$ \hspace{1cm} (8)
$$I^A = \left(\frac{E_A - R}{p^A}\right); \quad I^B = \left(\frac{E_B - R}{p^B}\right)$$ \hspace{1cm} (9)
Equation (6) is the budget constraint, and says that income (the left hand side) has to equal expenditure (the right hand side). $T$ is the value of government transfers to the public and is given by equation (7), where $rR_q$ is the revenue from the tax on nontradables ($r$ is the tax rate and $R_q$ is the equilibrium quantity produced and consumed). On the other hand,
\footnote{Notice, however, that Harberger (1989) also considers real exchange rate adjustments in his diagrammatic analysis of tariff reforms.}
$t^A_I$ and $t^B_I$ are revenues from import tariffs; $t^i$ is the tariff on imports $i$ ($i = A, B$), and $I^i$ denotes the quantity imported of each good and is defined in equation (9) as the excess demand for each importable. (Remember that $E^i_p$ is the demand for importable $i$ and $R^i_p$ is the supply of that importable.) According to equation (6) the government does not use tax and tariff revenues to finance its own consumption. However, this assumption is relaxed in Section V, where we analyze the welfare consequences of tariff reforms in the presence of a binding government budget constraint. Finally, equation (8) states that the nontradables goods market has to clear: $R_q$ is the quantity produced of these goods, while $E_f$ is the quantity demanded.
An important characteristic of this model is that, since we assume that the minimum wage $\bar{w}$ is above the equilibrium level, there is initial unemployment. However, since we are assuming an inelastic supply of labor it will be enough to find out what happens to employment given a shock or policy measure in order to know how the rate of unemployment will evolve. In fact, as will be shown in the following sections, changes in labor market equilibrium will play an important role in determining the welfare consequences of alternative tariff reforms.
III.2 The Welfare Effects of Structural Reform: A General Approach
The model presented above can be used to analyze a number of important welfare questions related with structural reforms and, in particular, with trade liberalization. For example, in principle this model could be used to rank, in terms of welfare, the effects of different combinations of taxes
and other distortions.\textsuperscript{10} Moreover, the model can be used to evaluate the welfare consequences of liberalization policies characterized by: (1) deregulation of the service sector; (2) a labor market deregulation, captured by a reduction of the minimum wage $\bar{w}$; and (3) alternative ways of reforming the import tariffs structure (a reduction in one or both tariffs, $t^A$ and $t^B$).
An equation that captures the different channels through which structural reforms will affect welfare in this economy can be obtained by totally differentiating equation (6) (where, as before, subindexes refer to partial derivatives):
$$E U d U = t^A d I^A + t^B d I^B$$
$$+ \tau_{qq} R dq + \bar{w} d L$$
$$+ \tau_{qp} A d t^A + \tau_{qp} B d t^B + \tau_{qL} d L$$ \hspace{1cm} (10)
Although this is not a reduced form -- many of the right hand side variables are endogenous -- equation (10) is highly useful.\textsuperscript{11} The first two terms of the right hand side capture the welfare effects stemming from changes in imports of goods A and B. If as a result of whatever reform we are analyzing either $I^A$ or $I^B$ increase we will have welfare gains. These, in turn, will be proportional to the initial distortions $t^A$ and $t^B$. The reason for this is that initially, and due to the import tariffs, the country was importing "too little" of both goods. Thus any policy resulting in an increase in imports will move the economy closer to the optimum, increasing the level of
\textsuperscript{10} This, however, would require assuming a specific form of the welfare function and assuming values for the key parameters. These issues are addressed in some detail below.
\textsuperscript{11} See the Appendix for the derivation of some of the endogenous terms that appear in equation (10).
welfare. The next term \((rR_{qq} dq)\) summarizes the welfare consequences of changes in the equilibrium quantities transacted in the nontradable sectors. Naturally, these changes operate through adjustments in the real exchange rate or relative price of nontradables (q). If, for example, a reform raises this price (e.g., \(dq > 0\)) we will have positive social welfare effects (since by convexity of the revenue function \(R_{qq}\) is positive) which will be proportional to the initial distortion in this market. The reason, again, is that initially (that is, before the reform), the equilibrium quantities in the nontradable market are "too low". The next term \(\bar{w}dL\) stems from the distortions in the labor market and states that if a reform augments employment (e.g., \(dL > 0\)) social welfare will increase. The final three terms in equation (12) \((rR_{qpA} dt^A + rR_{qpB} dt^B + rR_{qL} dL)\) are indirect terms originated from the interaction among the different distortions. Their magnitude, then, will basically depend on the sign of several cross elasticities.
In the sections that follow we use several variants of this benchmark model to analyze the welfare consequences of different trade reform packages, particularly those geared at moving the tariff structure towards uniformity. Naturally, since \(I^A, I^B, q,\) and \(L\) are endogenous variables, in order to obtain the exact expressions for these welfare changes we will need to solve the complete model.\(^{12}\) For the purposes of this paper, however, this is not necessary since most of the economics and intuition can be obtained from the analysis of quasi-reduced forms such as equation (10). Moreover, we present in the Appendix a reduced form expression for the real exchange rate effect of a change in tariffs in a somewhat simplified setting.
\(^{12}\)For the solution of related intertemporal (that is, two periods) models see Edwards (1989a,b,c).
IV. Uniform Tariffs With Final Goods Only
The purpose of this section is to analyze, within the context of the benchmark model of Section III, the welfare effects of a trade reform program that moves the protective structure towards a uniform and low -- that is lower than the original average -- rate of import tariffs. Thus, consider an economy where the import tariff on good A is lower than that on good B \((t^A < t^B)\). Furthermore, assume that the tariff on B exceeds that on A by an amount \(\beta\).
\[ t^B = t^A + \beta \]
(11)
A tariff liberalization reform that moves the protective structure towards lower and more uniform tariffs can, thus, be characterized by a reduction in the "surcharge" \(\beta\). Our question then can be posed in the following way: Is it the case, as is often suggested in policy discussions, that a move towards lower and more uniform tariffs will be beneficial for the country in question? If, on the other hand, this is not generally the case, under what circumstances will a move towards uniformity be welfare-enhancing? More specifically, we will ask whether there are circumstances where the second best solution calls for strictly uniform tariffs \((t^A = t^B)\). Notice that since we are not imposing the requirement of raising a given government revenue, our analysis is couched strictly in second best terms. This means that an intervention in the form of tariffs, for example, could be justified if it offsets the negative effects of other pre-existing (and unmovable) distortions.
From the manipulation of our benchmark model we obtain that the change in welfare resulting from a small change in \(\beta\) is given by:
\[ E_U \frac{dU}{d\beta} - t^B \frac{dI^B}{d\beta} + t^A \frac{dI^A}{d\beta} + rR_{qq} \frac{dq}{d\beta} + (\tilde{w} + rR_{qL}) \frac{dL}{d\beta} + rR_{qp} \frac{B}{d\beta} \]
(12)
It is easy to see *a priori*, that it is not possible to sign unequivocally this equation. This is a second best type of result: under our assumptions of multiple distortions we do not generally know whether a move towards lower and more uniform import protection will, in fact increase welfare. The reason for this ambiguity can be seen more clearly from the analysis of the (most plausible) signs of each of the right hand side terms of equation (12): \( t^B \frac{dI^B}{d\beta} \) is the direct welfare effect of the tariff reform and is negative. This is because a decrease (increase) in the tariff on B -- a lower \( \beta \) -- will result in larger (lower) imports of those goods. Since initially imports of B were "too low", any policy that moves the economy closer to its optimal level of imports will be welfare enhancing. The magnitude of this direct effect is proportional to the initial tariff. The second term \( t^A \frac{dI^A}{d\beta} \) captures the cross effect of the tariff reform on imports of the other importable good. Under the assumption that both A and B are final goods and that they are substitutes in consumption and compete for the use of productive factors, this second term will be positive. This means that a decrease in the tariff on good B will result in lower imports of good A, and, thus, in lower welfare.
The third term \( \tau R_{qq} \frac{dq}{d\beta} \) is an indirect real exchange rate effect, and summarizes the way in which changes in the relative price of nontradables generated by changes in the tariff, affect output of nontradables and welfare. Under a set of plausible assumptions, discussed in detail in
---
13 We say more plausible signs since many of these terms cannot be signed unambiguously for the more general setting presented here. However, in most cases it is possible to sign these derivatives after making some assumptions regarding a few key parameters. The discussion that follows is cast in terms of a decrease in \( \beta \).
Edwards (1989b), a reduction in an import tariff will generate an equilibrium real depreciation or a decrease in $q$; $^{14}$ $(dq/d\beta)$ will, then, be positive. Since by convexity of the revenue function $R_{qq}$ is positive, our "real exchange rate" term $rR_{qq}(dq/d\beta)$ will also be positive. The intuition is as follows: since the lower $\beta$ will generate a decrease in $q$ there will be a contraction of the production of nontradables and in taxes collected in that sector.
The fourth term in equation (12) captures indirect welfare effects of a tariff reform that operates via changes in the level of employment and unemployment in the economy. If the change in the tariff increases (decreases) employment, welfare will also increase (decrease). $^{15}$ Notice that this labor market related channel has two separate effects. The first one $\bar{w} dL/d\beta$ refers to direct changes in employment, while the second one refers to the way in which changes in employment will impact on the collection of taxes on nontradables. Although it is not possible to sign this term under all possible conditions, there is a set of plausible assumptions (which we discuss below) under which it will be positive. This means that a tariff reform will increase the level of aggregate unemployment and will, thus, reduce welfare. $^{16}$
The final term in equation (12), $rR_{qp}$, is a cross effect that captures the effect of the change in the tariff on the tax collections from
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$^{14}$These conditions are that all goods are substitutes in demand and that the income effect of a change in tariffs is not dominate the substitution effects. See the Appendix.
$^{15}$Rigorously this assumes either that factors other than labor cannot move across sectors or that nontradables is the most labor intensive sector.
$^{16}$The simple conditions under which this is the case is that we are dealing with a Ricardo-Viner model with sector-specific factors of production.
the nontradables market, and is negative. Since all sectors compete for factors of production the lower (higher) tariff on goods B will result in a lower (higher) output of nontradable goods, increasing (decreasing) welfare.
Although in our general case with multiple distortions it is not possible to sign equation (12) in an unambiguous way, a number of insights can be obtained for more restrictive cases with fewer distortions. First, and as expected, it is clear from (12) that if the tariff on good B is the only distortion, a tariff liberalization will always be welfare enhancing. Moreover, in this case free trade will be optimal. Second, if tariffs on B and an economy-wide minimum wage are the only two distortions, it will not be the case any longer that a tariff liberalization reform will result in an increase in welfare. This clearly highlights the fact that in the plausible case of labor market distortions traditional results do not hold any longer.
A third and important implication of this analysis refers to the case in which tariffs on final goods A and B are the only two distortions in the economy. In this case a reduction of the higher tariff $t^B$, that moves the system towards uniformity, will always increase welfare. This is because, by assumption, $t^B > t^A$, and because the positive direct welfare effect stemming from the increase in imports of B due to the change on its own price will always exceed the indirect effect of that change on imports of good A. Furthermore, in this two-distortions case it is possible to find the optimal level of the tariff on B, for a given level of the tariff on A. It is instructive to conduct this exercise in terms of ad-valorem rather than specific tariffs. Denoting the ad valorem tariff on A by $\sigma^A$ and that on B by $\sigma^B$, and noticing that $\sigma^A = t^A/p^A*$ and $\sigma^B = t^B/p^B*$ we have that the optimal $\sigma^B$ is:
\[ \tilde{\sigma}^B = \sigma^A \left[ -\frac{p^A (dL^A / dt^B)}{p^B (dL^B / dt^B)} \right] \]
(13)
This is an important result since it gives us specific conditions under which uniform tariffs will be optimal. From the inspection of equation (13) it is apparent that uniform tariffs will be optimal if the term in brackets is equal to one. This will, in fact, be the case when there do not exist cross effects between importables and the other goods.\(^{17}\)
An important question refers to the optimal tariff differential between goods A and B in the general case of multiple distortions. Formally this implies determining the optimal level of \( \beta \). Manipulating our general model we obtain:
\[ \tilde{\beta} = - \left( \frac{dL^B}{d\beta} \right)^{-1} \left[ t^A \frac{dL^B}{d\beta} + t^A \frac{dL^A}{d\beta} + rR_{qp} q_B + rR_{qq} \frac{dq}{d\beta} + (\hat{w} + rR_{qL}) \frac{dL}{d\beta} \right] \]
where the signs under the different terms of equation (14) are the ones expected to prevail under the most plausible conditions. By the same arguments discussed above, the optimal value of \( \beta \) cannot be signed without making further, and fairly restrictive, assumptions on the values of the key parameters involved.
An interesting implication of equation (14) is that it shows clearly that under most conditions the optimal (second best) value of \( \beta \) will not be zero. This result indicates that in this general setting there is no presumption that uniform tariffs (i.e., \( t^A = t^B \)) will be optimal. It would indeed be an enormous coincidence if the different effects captured by the right hand side of this equation would exactly cancel each other in order to
\(^{17}\) With only two goods the terms in brackets is equal to one by the Slutsky adding up condition. See Bertrand and Vanek (1971).
yield $\beta = 0$ as the solution of the optimizing problem. Moreover, it is apparent from (14) that, contrary to the case where tariffs are the only distortion (Chambers (1989)) in an economy with multiple distortions there are no specific functional forms of the (net) expenditure function that will result in tariff uniformity being optimal. The reason, of course, is that in this more general case indirect real exchange rate and employment effects introduce additional terms into the optimal wedge equation whose magnitudes will not (only) depend on the specific form of the expenditure function.
**Is Free Trade Optimal?**
Until now the discussion has been carried out under the (implicit) assumption that the final levels of the tariffs on both importable goods are positive. Thus, we have addressed the issue of whether uniform but positive tariffs are optimal. An alternative and very important question is to investigate the optimality of uniform tariffs that are equal to zero; that is, the optimality of free-trade. In order to address this question we amend the model in the following way: we now assume that the tariff on A is initially zero and we ask what will be the optimal (second best) level of the tariff on B. Of course, in order for this exercise to have some meaning we need to assume that there are other distortions in the economy. Thus, we maintain our assumption of distorted nontradables and labor markets.
In this case the expression for the optimal tariff on the B good looks quite similar to that previously obtained for the optimal $\beta$ in equation (14):
$$\tilde{t}^B = - \left( \frac{dL}{dt} \right)^{-1} \left[ r(R_{qp}^B + R_{qq}^B \frac{dq}{dt}) + (\bar{w} + rR_{qL}) \frac{dL}{dt} \right]$$
(15)
Generally speaking, this expression will not be zero. Moreover, under most circumstances it will be positive, indicating that in our second best setting free trade will not be optimal. This result of an optimal (second best) positive tariff on $B$ stems from the fact that both the indirect real exchange rate and employment effects have a positive sign. This, of course, is nothing more than a formulation in a very general setting of the classic results postulated by Haberler (1950), Lipsey and Lancaster (1956), and others, with respect to the non-optimality of free trade under multiple distortions.
The analysis of equation (15) shows quite clearly that even in this simplified case policymakers would have a very difficult time figuring out the actual level at which the optimal tariff on $B$, ($\tau^B$), should be set. In fact, the amount of information required to obtain empirical counterpart of equation (15) is staggering. Students of structural reform in the developing countries are indeed well aware that it is extremely difficult to obtain information on the real exchange rate and employment consequences of a trade reform.
V. Optimal Trade Policy in the Presence of Imported Intermediate Inputs
The analysis developed in the previous section has shown that, generally speaking, in a world with final goods only a uniform import tariff will be optimal only under very special and restrictive circumstances. However, most of the policy debate on uniform tariffs has been carried out under the (more realistic) assumptions of the existence of imported intermediate inputs that are also subject to tariffs. In fact, much of the discussion on the issue has been carried out in terms of effective rates of protection.\(^{18}\) For example, Harberger's recommendation of uniform import tariffs is based on the idea that uniform nominal tariffs will generally tend to result in uniform effective rates of protection. According to him:
Any import tariff that is imposed should be uniform ... The motivation for this recommendation stems from the theory of effective protection ...
(Harberger, 1984, p. 12)
Harberger's view on the desirability of uniform tariffs is, however, far from being universally accepted. For example in an early essay on trade policies in the developing world, Harry Johnson pointed out:
[Though equalization of effective rates of protection will tend to equalize the marginal social cost of protection in all lines, this is not a valid standard for minimization of the social cost of protection, since protection imposes a consumption cost through the distortion of consumers' choices and there is no reason to think that the marginal consumption cost will be equalized by equal effective rates of protection.
(Johnson, 1972, p. 318)
The purpose of this section is to investigate, within our general equilibrium framework with several distortions, whether uniform (nominal) tariffs are optimal in a (second best) welfare sense in a world with
\(^{18}\)Notice, however, that a number of authors have criticized the use of ERPs in policy design and evaluation because they are fundamentally a partial equilibrium concept.
imported intermediate inputs.\textsuperscript{19} We do this by adding an (importable) intermediate good to our benchmark model of Section III. We assume that this intermediate good \((i)\) is used in the productive process of both importables \(A\) and \(B\) and of the exportable good, and that it is not directly demanded by consumers. Since the importation of the intermediate commodity is assumed to be subject to a tariff \(t^i\), its domestic price is given by \(p^i = p^*i + t^i\). For the purpose of the different exercises conducted below we assume that \(t^B > t^A > t^i\). More specifically, we consider the case where \(t^A = t^i + \theta\). Another important assumption is that (at prevailing prices) domestic production of good \(i\) is not sufficiently large as to cover its total (derived) demand. Consequently, at every moment in time the amount imported of commodity \(i\) is positive.
Formally, in order to include intermediate inputs in our benchmark model it is necessary to distinguish gross output from net outputs. Defining by \(a_{ij}\) the input-output coefficient corresponding to good \(j\), the relationship between gross output \((S_j)\) and net output \((s_j)\) of good \(j\) is given by:\textsuperscript{20}
\[
s_j = (1 - a_{ij}) S_j
\]
(16)
The new revenue function \(\rho\) is then defined as the maximum value added (or net output) that optimizing firms can obtain at given prices and available technology:
\textsuperscript{19} Bertrand and Vanek (1971) also discuss the welfare consequences of tariff changes in the presence of intermediate inputs.
\textsuperscript{20} There is no need in the analysis for the \(a_{ij}\)'s to be constant. If there is substitutability \(a_{ij}\) in equation (16) above should be interpreted as the optimal amount of commodity \(i\) used in the production of a unit of good \(j\). See, for example, Dixit and Norman (1980) for a more detailed discussion of net and gross outputs.
The properties of this "net output" revenue function \( \rho \) are almost the same as those of the conventional revenue function given by equation (3). The function is convex and its derivatives with respect to goods' prices are equal to the net output of each good. The derivatives with respect to factors of production, on the other hand, will also give the marginal product of that factor. Finally, our assumption that there always are net imports of the intermediate good implies that the net output of this type of good is negative: \( \rho_{p_i} < 0 \).
The budget constraint (6) is now replaced by the following expression:
\[
\rho(1, p^A, p^B, p^i, q, L(\cdot)) + t^A I^A + t^B I^B + t^i I^i + \tau R q - E(1, p^A, p^B, f, U)
\]
where \( I^i \) represents imports of intermediate inputs, and is given by
\[
I^i = -\rho_{p_i}.
\]
Notice that the fact that the (domestic) price of intermediate goods does not appear in the right hand side of equation (6') is a reflection of our assumption that these goods are used exclusively as inputs and are not consumed by households.
In this setting the first exercise will be to determine the welfare effects of lowering the tariff on the final good \( B \), \( t^B \), maintaining tariffs on final good \( A \) and on the intermediate good constant. A simple manipulation of our model yields an expression that is formally similar to (12):
\[
E_u \frac{dU}{dt^B} = t^B \left( \frac{dI^B}{dt^B} \right) + t^A \left( \frac{dt^A}{dt^B} \right) + t^i \left( \frac{dI^i}{dt^B} \right) + \tau R_q q \left( \frac{dq}{dt^B} \right) + (\tau R_q L + \dot{w}) \frac{dL}{dt^B} + \tau \rho_{qp^B}
\]
Since the interpretation of equation (19) is in many ways similar to that of
equation (12), the discussion on the expected signs of the different terms will be short. As before, the first term is the direct welfare effect stemming from changes in the level of imports of the final goods and its sign is negative. The second term, which also appeared in equation (12), is the indirect effect provoked by the cross reaction imports of good A of the change in $t^B$ and is generally positive.
The third term $t^i \left( \frac{dI^i}{dt^B} \right)$ did not appear before and is a consequence of our new assumption regarding the existence of intermediate goods. The term can be rewritten as $-t^i \left[ \rho_{iB} + \rho_{iq} \left( \frac{dq}{dt^B} \right) + \rho_{iL} \left( \frac{dL}{dt^i} \right) \right]$, and its sign will depend on the characteristics of the production technology used in the country, and on the real exchange rate and employment effects. Under most circumstances $\rho_{iB}$ will be negative, indicating that higher prices of the intermediate inputs will result in lower production of the final good B. For the same reason $\rho_{iq}$ will be negative, and since $\frac{dq}{dt^B}$ is assumed to be positive, the second term as a whole will be negative. The third term is an employment effect and under Ricardo-Viner assumptions it is positive. Although it should be noticed that we cannot sign $\frac{dI^i}{dt^B}$ unequivocally, for purposes of our discussion we will assume that it is positive: that is, we assume that an increase in the price of the imported input results in a decline in the output of final goods. In terms of a liberalization program this means that a reform aimed at reducing the highest tariff on final goods will generate some negative welfare effects via its impact on the importation of intermediate goods.
The rest of the terms in equation (19) have the same interpretation and signs as those of equation (12) and, thus, we will not repeat the discussion on them. It is worthwhile emphasizing, however, that as was the case in equation (12), the unemployment and real exchange rate terms will play a key
role in determining the welfare consequences of a reform aimed at lowering tariffs of the final goods.
The main result of this analysis is that adding imported intermediate goods does not alter the conclusions obtained from the case that only considered final goods: generally speaking we cannot assert that lowering the highest tariff on final goods will increase welfare in the presence of intermediate inputs and multiple distortions. However, in the previous section we showed that under a special set of assumptions -- tariffs being the only distortion and limited substitutability across sectors -- uniform tariffs were optimal. Let us analyze that case again: assuming as given the tariffs on the final good A and on the intermediate good, and that there are no distortions, we ask what is the optimal (second best) tariff on good B. From equation (19) we have that:
\[ \tilde{t}^B = t^A \left( \frac{dI^A}{dt^B} \right) + t^i \left( \frac{dI^i}{dt^B} \right) \]
which can be rewritten, in terms of ad valorem tariffs in the following way:
\[ \tilde{\sigma}^B = \sigma^A \frac{p^*A}{p^*B} \left( \frac{dI^A}{dt^B} \right) + \sigma^i \frac{p^*i}{p^*B} \left( \frac{dI^i}{dt^B} \right) \]
An important implication of equation (21) is that in the (rather special) case in which the change in the tariff on good B has no effect on exportables or nontradables, the optimal ad valorem tariff on B (\(\tilde{\sigma}^B\)) will be a weighted average of the ad valorem tariffs on the final good A and on the intermediate good i. This is because in this special case in which the change in \(t^B\) does not provoke (either directly or indirectly) a change in exports, balanced trade will require that the sum of the changes in all imports add to zero, when valued in foreign currency. In terms of our model
this means that:
\[ p^B \frac{dI^B}{dt} + p^I \frac{dI^A}{dt} + p^i \frac{dI^i}{dt} = 0, \]
and thus \( \tilde{\sigma}^B \) becomes a weighted average of \( \sigma^A \) and \( \sigma^i \). Interestingly enough, this implies that if the initial ad valorem tariffs on A and B are equal, uniform tariffs will be optimal. However, if these rather restrictive conditions are not met, uniformity will not be optimal in a second best sense.
Assume now that, instead of changing the tariff on a final good, the tariff reform consists on a change of the intermediate goods tariff \( t^i \). In this case the general expression for the change in the economy's welfare would be given by:
\[
E_u dU = t^i \left( \frac{dI^i}{dt^i} \right) + t^B \left( \frac{dI^B}{dt^i} \right) + t^A \left( \frac{dI^A}{dt^i} \right)
\]
\[
+ r_{qq} \left( \frac{dq}{dt^i} \right) + (r_{qL} + \tilde{w}) \left( \frac{dL}{dt^i} \right)
\]
(22)
Although this expression looks very much like that obtained in our previous analysis (see equation (12)), the interpretation of some of the right hand side terms is rather different. For instance, the first term in equation (22) can be written as:
\[
-t^i \left[ \rho_{p_i p_i} \rho_{p_i L} \frac{dL}{dt^i} + \rho_{p_i q} \frac{dq}{dt^i} \right],
\]
where \( \rho_{p_i p_i} \) is positive by convexity of the revenue function, \( \rho_{p_i L} \) is also positive and \( dq/dt^i \) cannot be signed. For purposes of focusing the
---
21 Notice, however, that since intermediate goods are not used in the production of nontradables we do not have a term reflecting the effect in the nontradables market.
discussion, however, we will assume that $t^i \left( \frac{dI^i}{dt^i} \right)$ is as a whole negative. This plausible assumption implies that a hike in the tariff of the intermediate good $i$ will reduce its imports. The second and third terms capture the change in imports of $A$ and $B$ provoked by the change in the tariff on the imported input. As before, the change in total welfare will depend on the direction in which $I^A$ and $I^B$ move as a result of the change in $t^i$. Although in this case it is more difficult to sign these expressions, we can still assume that under the most plausible set of conditions they will be positive.
The interpretation of the real exchange rate effect in equation (22) $\tau_{R_{qq}} \left( \frac{dq}{dt^i} \right)$, however, will not be the same as before. As was noted by Harry Johnson (1966), it is not possible to know a priori how the equilibrium real exchange rate will move when there are changes in the tariffs of intermediate inputs. Finally, the labor market term has the same interpretation as before and is positive. The analysis of equation (22) adds, then, robustness to our previous findings. In the more general case of an economy with several distortions and imported intermediate inputs, we cannot state unequivocally that a move toward greater tariff uniformity will improve welfare. In fact, tariff uniformity will be a (second-best) optimal result only under a set of very special and restrictive assumptions.
---
22 Formally in the case of good $A$ we have that:
$$\frac{dI^A}{dt^i} - (E_A - \rho_A q) \frac{dq}{dt^i} + E_A \frac{du}{p_u dt^i} - \rho_A p_i - \rho_A L \frac{dL}{dt^i} \geq 0.$$
VI. Trade Liberalization With A Government Budget Constraint
The benchmark model of Section III and the exercises of Sections IV and V followed conventional trade theory by assuming that tariffs and other tax proceeds are handed back to the public in a nondistortionary fashion. Although this is a convenient assumption for theoretical discussions, it is far from realistic. In fact, in the real world many countries, and especially some of the poorer ones, rely quite heavily on import tariffs to raise government revenue. Indeed, in a recent paper, Cheasty (1990) has stated that unless structural adjustment programs are accompanied by a hike in other taxes, serious fiscal imbalances would result in most developing countries.
In this section we extend the benchmark model to the case where the government does not hand back tax proceeds, but uses them to finance an exogenously given level of expenditures. In order to simplify our exposition we now assume that there is only one importable sector, subject to an import tariff equal to $t$. The more general case of many importables -- including intermediate inputs -- can be obtained quite easily by extending the model along the lines of the analyses presented in the preceding pages. We maintain, however, our assumption of distortions in the nontradables sector and of a minimum wage rate above its equilibrium level.
In this case the model becomes:
$$R(l,p,q,L(\cdot)) = E(l,p,f,U) \tag{23}$$
---
23 The important study of Ramaswami and Srinivasan (1968) discussed some aspects of tariff policies in the presence of budget constraints. They consider, however, the case of two intermediate imported inputs, nontradables and exportables. Their analysis also dealt with the appropriate level of export drawbacks.
\[ Rq = Eq \]
\[ f = q + r \]
\[ p = p^* + t \]
\[ G = rRq + tI \]
\[ I = E_p - R_p \]
The main difference between this version and the benchmark model is given by equations (23) and (27), which capture the assumptions that the government uses the tax proceeds to finance its expenditure instead of handing them back to households. In fact, equation (27) states that the sum of revenues from tariffs and taxes on nontradables are used to finance government expenditure \( G \).
In this setting, if we assume that government consumption \( G \) is constant, a tariff liberalization reform that reduces the level of \( t \) will require an adjustment in other sources of government revenue. Since in our model these alternatives are restricted to taxes on nontradables, a tariff liberalization will necessarily result in an increase in the tax rate \( r \).
By totally differentiating equation (27) we can find the relationship between tariffs (\( r \)) and taxes on nontradables (\( t \)) that is compatible with maintaining a constant level of government consumption \( \tilde{G} \):
\[
\left. \frac{dr}{dt} \right|_{dG=0} = -\frac{I}{Rq} (1+\eta) - \left( \frac{r}{q} \right) \varepsilon \frac{dq}{dt}
\]
where \( \eta = (t/I)(dI/dt) \) is the tariff (price) elasticity of the demand for imports and is negative, and where \( \varepsilon = (q/Rq)R_{qq} \) is the supply elasticity of nontradables.
The sign of equation (29) is generally undetermined, and will depend on what region of the tariff "Laffer curve" the country is initially located. The first term on the RHS \(-\frac{I}{R_q}(1+\eta)\) refers to the maximum revenue tariff, and its sign will depend on whether \(|\eta| > 1\). If the initial import tariff is below the maximum revenue tariff \(|\eta| < 1\), the this first term \(-\frac{I}{R_q}(1+\eta)\) will be negative. This means that, due to this effect, a tariff liberalization that lowers the tariff \(t\) will require an increase in the tax on nontradables in order to maintain government revenue constant.
The second term \(-(\tau/q)\varepsilon(dq/dt)\) in equation (29) captures the indirect effect of the tariff change on government revenue from the taxation of nontradables. A tariff increase will (generally) provoke an increase in the price of nontradables which, in turn, will result in higher production of \(N\) and, consequently, in an increase in the tax revenues in that sector at the given initial tax rate \(\tau\). The sign of this second term is, thus, negative.
The sign of our equation (29) as a whole will, thus, depend on the magnitude of the elasticity \(\eta\). If initially import tariffs are not "too high", and do not exceed the maximum revenue level, \(\eta\) will be significantly below one and the sign of (29) will be negative. This means that in order to maintain \(G\) constant, it will be necessary to raise taxes on nontradables at the same time as tariffs are lowered. In order to organize the presentation, in the rest of this section we will assume that this is indeed the case and that initially the country in question is on the "right side" of the Laffer curve and, thus, that the sign of \(\left.\frac{d\tau}{dt}\right|_{dG=0}\) in equation (29) is negative.
With a binding government budget constraint the expression for the welfare effect of a tariff reform is quite different from that discussed in Sections IV and V above:
The first term in (30) is the direct effect of the tariff change and is negative. This means that a tariff reform that reduces \( t \) will generate a direct positive welfare effect equal to minus the initial level of imports. The second term is the indirect welfare effect operating through the labor market. It will be positive or negative depending on whether the tariff reform results in an increase or reduction of employment. Although in the preceding sections we assumed that this term was positive, this need not be the case under most circumstances. In fact, as is shown in the accompanying paper "Structural Reforms and Labor Market Adjustment" in a country with an economy-wide minimum wage the change in employment resulting from a tariff change is equal to:
\[
\frac{dL}{dt} = L_p + L_q \left( \frac{dq}{dt} \right)
\]
where \( L_p \) and \( L_q \) are the price derivatives of the employment function. Their sign, in turn, will depend on whether we are referring to a Ricardo-Viner factor specific model or to a Heckscher-Ohlin framework with full factor mobility. In the former both \( L_p \) and \( L_q \) will be positive, while in the latter case their signs will depend on the relative factor intensities of the different productive sectors.\(^{24}\) If we assume, as before, that we are in a Ricardo-Viner world, \( (dL/dt) \) will be positive, indicating that a liberalization will exert a negative impact on welfare via this employment channel.
The last term in equation (30) \( E_f \left[ (I/Rq)(\eta+1) + (\tau/q) \in dq/dt \right] \) captures the indirect welfare effects stemming from the existence of a binding government constraint. Under our assumption that initially tariffs
\(^{24}\)See Edwards and Edwards (1989).
are not "too high" this last term will be negative. The sign of the welfare change equation as a whole is, thus, undetermined. This is so even if we assume that there are no labor market distortions and that \( \frac{dL}{dt} = 0 \). In this case whether a tariff reform will have a positive or negative impact on the economy's welfare will depend on the different elasticities involved, including the elasticity of the real exchange rate with respect to tariff changes. Naturally, the more distortive the alternative sources or revenue are, the lower the possibility that a tariff reform will be welfare enhancing. From a policy perspective this means that policymakers should clearly evaluate the impact of a reform on government's revenues. In terms of sequencing, this analysis suggests that it would generally be desirable to implement a tax reform that would increase the degree of efficiency of the revenue sources other than tariffs, at the same time as the liberalization program is enacted.
VII. Concluding Remarks
The objective of this paper has been to provide a unified analytical framework for studying the desirability, from a welfare perspective, of uniform import tariffs. The analysis presented here has expanded previous research in the area by considering this issue in an economy with several distortions, thus focusing the discussion on the second-best characteristics of the optimal protective structure.
The paper started with a brief literature review of the optimal tariff structure. Then, in Section III we developed a general equilibrium framework of an optimizing economy with several distortions to investigate the welfare consequences of alternative structural reforms. The model considers an economy with two importable sectors subject to import tariffs, an imported intermediate input, a distorted labor market and a nontradable sector subject to a consumption tax. In Sections IV and V we use the model to evaluate the consequences of tariff reforms aimed at moving the economy to lower and more uniform rates of protection. In evaluating the desirability of uniform tariffs we investigate how alternative reforms affect welfare of the representative consumer. Then in Section VI we investigate how the presence of a binding government budget constraint affects the results obtained in the preceding sections.
The main message of our analysis is that, from a theoretical point of view, uniform tariffs are optimal only under a set of very restrictive assumptions. This is true independently of whether we consider an economy with only final goods or if we incorporate the existence of imported intermediate inputs. Additionally, our analysis shows that changes in real exchange rates and in labor market conditions play a key role in determining the likely effects of alternative tariff structures on welfare.
If uniform tariffs are generally not optimal, what is the theoretically (second best) optimal structure of protection? We show that in a general equilibrium setting the optimal level of tariffs will depend on a score of considerations including the magnitude of the other (nontariff) distortions, real exchange rate changes, technological characteristics of the different sectors (including their relative factor intensities), and labor market configuration. What is particularly important, however, is that the information required to design an optimal (second best) protective structure is staggering, and is generally not available to analysts or policymakers. This practical issue cannot be underestimated, since in the real world economic authorities have to make decisions about the appropriate structure of tariffs using fairly incomplete and fragmentary information. This suggests that an important subject for further research would be to develop broad "rules of thumb" that could be used in specific reform episodes to design the tariff schedule. The analysis presented here does provide some preliminary information to this effect. For example, from our discussion in Sections IV and V it follows that if the real exchange rate changes and the unemployment increases provoked by a tariff reform are "small", a uniform tariff structure is likely to move us closer to a second best optimum.
Finally, it should be noted that the analysis presented here can be extended in various directions to gain further insights on the uniformity issue. A particularly interesting extension refers to dynamic aspects of uniformity. For example, an intertemporal (e.g., two periods) version of the benchmark model could be developed to inquire whether tariffs that are uniform (at a positive or zero level), through time are desirable, or whether a particular intertemporal configuration of protection is more desirable than any other.
APPENDIX
Tariffs Changes and Real Exchange Rates
In order to maintain the exposition at a simple level, the model presented in the paper has not been fully solved. In particular, a reduced form expression for changes in the real exchange rate provoked by a tariff reform was not presented. In this Appendix this is done for the simple case when there is only one importable good and an economy-wide minimum wage is the only other distortion besides the tariff. Denoting the relative price of nontradables to exportables as \( q \) (since there are no taxes in this sector) and defining the constrained revenue function \( \tilde{R} \) as:
\[
\tilde{R}(\tilde{w}, p, q, K) = \max_{y, L} \left\{ \left( y^X + py^M + pq^N \right) - \tilde{w} \right\}
\]
where \( y^i, i = X, M, N \) refers to output of exportables, importables and nontradables. The nontradable market equilibrium condition, on the other hand, is replaced by:
\[
\tilde{R}_q = E_q
\]
(A.2)
where \( \tilde{R}_q \) is the partial derivative of the constrained revenue function (A.1) with respect to the price of nontradables. Neary (1985) has shown that under fixed factor prices the following relation exists between restricted and unrestricted revenue functions:
\[
\tilde{R} = R[p, q, l](\tilde{w}, p, q, K) - \tilde{w}l(\tilde{w}, p, q, K)
\]
(A.3)
where \( l \) is the amount of labor employed in the constrained case. In this simplified setting and taking into account the above relations it is easy to derive an expression that shows the way in which the relative price of nontradables reacts to a tariff reduction in an economy with factor specificity.
and fixed real wages. In order to facilitate the comparison with the case of flexible factor prices the term \( \frac{d\tilde{q}}{dt} \) is expressed in terms of the derivatives of the unconstrained revenue function:
\[
\frac{d\tilde{q}}{dt} = \frac{E_W}{\tilde{\Delta}} \left\{ [tC'_N E_{pp} - R_{pp}) - (1-tC'_M) (R_{pq} - E_{pq})] \right. \\
+ \left[ (R_{lp}/R_{ll}) tC'_N + (1-tC'_M) [R_{lq}/R_{ll}] \right] \}
\]
where \( \tilde{\Delta} = \Delta - (t(R_{lp}/R_{ll}) C'_M)(R_{lq} R_{ll}) \),
\[
\Delta = E_W \{ t(R_{qp} - E_{qp}) C'_N - (1-tC'_M) (E_{qq} - R_{qq}) \} > 0
\]
and \( CN = E_{qw}/E_W, \quad C'_M = E_{pw}/E_W \) are pure income effects on the demands for nontradables and importables.
Since \( R_{lp}, R_{lq} > 0 \) and \( R_{ll} < 0 \) it follows that \( \tilde{\Delta} > \Delta \), which implies that:
\[
\frac{d\tilde{q}}{dt} < \frac{dq}{dt}
\]
That is, with an economy-wide minimum the equilibrium relative price of nontradables (and, thus, the equilibrium real exchange rate) will be less responsive to a tariff liberalization. Even in this simple setting, then, it is possible to have a number of pseudo-paradoxes where changes in tariffs can result in an equilibrium real depreciation with wage flexibility, but in a real appreciation with wage rigidity. Naturally, once the reduced form for the real exchange rate is obtained, it is easy to find the reduced form expressions for changes in welfare stemming from a given reform. Notice, however, that as more distortions are included it becomes much more difficult to unequivocally sign these expressions.
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__________, 1989, "Uniform Taxation in Developing Countries," unpublished ms., UCLA.
Hatta, T., 1977, "A Theory of Piecemeal Policy Recommendations," *Review of Economic Studies*.
Heitger, B., 1987, "Import Protection and Export Performance -- Their Impact on Economic Growth," *Weltwirtschaftliches Archiv*, May.
Johnson, H., 1965, "Tariffs and Economic Development: Some Theoretical Issues," *Journal of Development Studies*, (ch. 3 of *Aspects on the Theory of Tariffs*).
Johnson, H.G., 1966, "A Model of Protection and the Exchange Rate," *Review of Economic Studies*,
__________, 1971, *Aspects of the Theory of Tariffs*, Harvard University Press.
Jones, R., and P. Neary, 1984, "The Positive Theory of International Trade," in R. Jones, and P. Kenen (eds.), *Handbook of International Economics*, North-Holland.
Lefeber, L., 1971, "Trade and Minimum Wage Rates," in J. Bhagwati et al. (eds.), *Trade, Balance of Payments and Growth*, North-Holland.
Lipsey, R., and K. Lancaster, 1956. "The General Theory of Second-Best," *Review of Economic Studies*, 24.
Neary, J.P., 1985, "International Factor Mobility, Minimum Wages Rates and Factor Price Equalization: A Synthesis," *Quarterly Journal of Economics*, 100.
Panagariya, A., 1982, "Import Objectives, Distortions and Optimal Tax Structure: A Generalization," *Quarterly Journal of Economics*.
__________, 1989, "On the Theory of Tariff Reforms," unpublished ms., Washington, DC: The World Bank.
Ramaswami, R., and T.N. Srinivasan (1968), "Optimal Subsidies and Taxes When Some Factors are Traded," *Journal of Political Economy*.
Shalizi, S., and L. Squire, 1988, "Tax Policy for Sub-Saharan Africa," Washington, DC: The World Bank.
Woodland, A.D., 1982, *International Trade and Resource Allocation*, North-Holland. |
THE TRUTH WILL SET YOU FREE
Jesus said, “If you hold to my teaching, you are really my disciples. Then you will know the truth, and the truth will set you free.” John 8:31b-32.
This is the Bible verse that we, at the Christian Counselling Services, firmly believe in. We truly believe that it is only when we know the truth about Jesus and about the Gospel, we will be set free - free from the bondage of sins and drugs. For the past three and a half decades, our volunteers have clung on to this belief and tirelessly shared this good news to all. And we thank God that we are able to see the impact of this truth on many ex-drug offenders, or overcomers, as we like to call them. Many have discovered the new freedom offered by Jesus and have become dynamic witnesses for our Lord.
However the world has changed over the years. Previously, many of those incarcerated had never heard of the Gospel, or had very little idea what the Gospel is all about. When they heard of what God had done for them for the first time, they were eager to learn more about this God and this offer of redemption. The main problem then is ignorance. But in the world today, we are bombarded with all kinds of information everyday - information without authentication or censorship. It is hard to tell the truth from lies. With eye-pleasing and mind-stimulating packaging, many half-truths and even outright lies have been presented to an unsuspecting audience as the Gospel truth. Hedonism and greed have been portrayed as blessings from God, while obedience to God is deemed secondary. The main problem today is false teaching.
As counsellors today, we need to stand firm in our belief. In Matthew 5:17–18, Jesus said, “Do not think that I have come to abolish the Law or the Prophets; I have not come to abolish them but to fulfill them. For truly I tell you, until heaven and earth disappear, not the smallest letter, not the least stroke of a pen, will by any means disappear from the Law until everything is accomplished.” Indeed, the Bible is the Word of God, the ultimate truth. We must teach the Bible in totality without removing anything from it nor adding anything to it. All of us have been entrusted with the truth. We must be careful in presenting in its entirety to those who do not have the truth.
Finally, let us heed Paul’s instructions in 1 Timothy 4:16: “Watch your life and doctrine closely. Persevere in them, because if you do, you will save both yourself and your hearers.” Let us prayerfully guard what has been entrusted to our care and be diligent in sharing it to those who desperately need it.
Patrick Chow
President
CONTENTS
1. The Truth will set You Free
2. From the Editor’s Desk/Prayer for God’s Provision
3. Understanding and Helping Offenders with Mental Health Issues
4. Orientation and Basic Training Course
5. Testimony - My Journey to Recovery (English)
6. Testimony (Chinese)/ News Update
7. Our heartiest Congratulations/Notice Board
8. My Response
EDITORIAL TEAM
Ms May Chew (Editor)
Ms Hazel Cheong (Asts Editor)
Mr. Patrick Chow (Advisor)
CONTRIBUTORS
Patrick Chow
David Goh
Florence Ng
Ivy Quek
Thirty-five years have gone by since the founding of the Christian Counselling Services by a group of Christian leaders comprising of different denominations in 1977. It was in response to a call by the government to help fight the scourge of drug abuse invading the country. It resulted much from the infectious “hippy” culture of the 1960’s.
Thirty-five years hence, are we still in battle? Yes! The scene may have changed, new drugs have been added but the fight is still on. Many of us at CCS have been in the “fray” since the beginning, so do not be surprised if you chance to meet a volunteer, still active, aged 88 years or more.
It is true that many newly released and especially the longer term repeated ex-drug offenders and ex-offenders express that they feel more secure behind the walls of the prison than when they are outside the prison. The adjustments to the many changes and the advances made in society, as well as rejection by families or even the “convenient disappearance” of relatives, are some of the challenges they have to face. Despite the pre-release programme, the fear and oppression plague them.
Who can they turn to for help where there is a void? Many end up with their old friends who may be the only ones who accept them and whom they approach despite being reminded not to go back to “old friends”. This invariably will start them on their renewed vicious cycle of their old lifestyle.
If we look at this group of citizens and ask ourselves “can we tap on this group of human resource to aid us reduce at least some of the imported workforce?” Can we help them so that they will not continue to be a liability to our country but become useful contributing members of society? Can the prison authorities provide training in skills for jobs during their incarceration for example car cleaning, baking and polishing, so that they can be absorbed into the industry immediately upon release? Can we help them to become a blessing to their families, friends, themselves and to the nation?
It is this challenge, and our vision that has encouraged us to work with this group of precious people in our aftercare programme.
Each one has a story to tell and each has a desire be rehabilitated and “be transformed by the renewal of the mind” (Romans 12:2) and if he/she is willing to fulfill his/her personal journey of recovery, we are available to assist them.
At CCS, we have drawn up a framework through which we can guide and mentor our clients who want to change. We welcome them at any stage of their journey of recovery. We have journeyed with first timers and we have also journeyed with eleventh timers. If life-long coaching is needed to reduce relapse and sustain recovery it can be met with our framework for holistic aftercare.
We give all glory to our Lord Jesus Christ for every transformed and renewed life He has pulled out from the clutches of the enemy over the years.
The Editor
THE WORD OF GOD is central to the Ministry of the CHRISTIAN COUNSELLING SERVICES (CCS), as such, we are praying for GOD to provide for us and enable us to print a customised Bible, with specific prayer guides, enriching study helps, such as the concordance, dictionary, maps etc. It should help each one to “go deeper” in their study and to enhance their growth to discipleship.
THE BIBLE will be used particularly by inmates in the prison as well as to follow them, when they leave the prison, and continue in the study of the Word throughout their lives. This is our prayer and our hope. Pray with us and support us. God bless you.
What a wonderful time of learning we had at the Singapore After Care Association (SACA) at the feet of a good trainer and facilitator, Ms Saraswathi Raja Krishnan. We learned the important lesson that we must not “play psychiatrist” but to listen attentively to our clients. She helped us learn to understand the more common psychiatric conditions experienced by offenders and their symptoms. We learned about mood disorders (depression & bi-polar disorder); schizophrenia; anxiety disorder, generalized anxiety disorder, panic disorder, phobias, obsessive compulsive disorder, post-traumatic stress disorder etc. These mental conditions were indeed a mouthful for most of us, volunteers but they began to take on flesh and form over the two days of learning.
We enjoyed the role play as client or counselor or observer in class. It was really fun. We left the two days of training, convinced that we need to treat our clients with tender loving care and patience and not to attempt to tread into issues beyond our expertise. We learned to refer them instead to the experts for diagnosis for we are but laymen and our role is nudging our clients to seek professional help. Yet, that is an awesome responsibility for us for often, we volunteers are their first line of contact to connect them to prison officers or professionals at Institute of Mental Health (IMH) who can place them on the road to recovery through mental health treatment. We are humbled by the realization that we are all mentally unhinged to some extent but that what matters is that we are still able to function as social beings and responsible persons. It is when we are unable to function in that sense that we deem that professional help is necessary for our client or for ourselves so that we can live out the wonderful potential that God has made us for.
Finally we learn to laugh at ourselves for often we are not too sane in the way that we respond and behave. It just remind us that indeed it is the sheer grace of God that has kept us in the shoes of volunteers seeking to help the drug addicts rather than in the shoes of drug addicts waiting for volunteers to visit them behind bars.
In conclusion, we learn that many a time, offenders who are suffering from mental disorders may consume illegal drugs out of desperation to self medicate themselves in order to avoid another stigma slapped on them. Being labelled as an offender is already a stigma that is hard to live under. Being labelled as a mentally ill offender is a double whammy!
May God help us to be more compassionate volunteers as a result of attending this very helpful course.
Florence Ng
Volunteer
Incare and After care
In January 2013, being a new member, I was required to attend the three day Christian Counselling Services (CCS) in-house training for new volunteers. It was conducted over three Saturdays which included a visit to the High Point Community Services Association, a Christian Halfway House. In the brief introduction, May Chew spoke on the history and development of CCS.
Reiterating the Motto and Vision was a good reminder that CCS is not just any secular motivational organisation but one with conviction for the salvation of souls, and transformation of lives and training for good works – all to the Glory of God!
The sessions conducted by Ms Ang Poh Wah our trainer touched on essentials every VIO (Volunteer Incare Officer) and VAO (Volunteer Aftercare Officer) ought to know. Her rich experience and clear interactive discourse were immensely informative and helpful. From it one can derive a clear overview of work scope, expectations and plot possible directions in situational response.
The training focused mainly in two specific areas:
1) The counsellor’s role and responsibility in effective communication and counselee’s profiling and the need to gain and maintain trust:
a. Through verbal and non verbal expressions
b. Through developing good listening skills and the practice of active and reflective listening.
c. Through clear identification and evaluation of counselee’s emotional state, mindset and perception of society.
2) To understand the framework of the route of recovery so as to provide a healing, supportive process sustaining counselee’s breakthrough to independence and normal migration back into society.
a. Through understanding the framework of recovery.
b. Through awareness of various problems and obstacles associated with it.
The visit to the High Point halfway house was an eye-opener for those who had never had any close contacts with the ex-drug offenders and to hear the testimony of community living in a Christian halfway house.
The course provided and prepared us with a mindset for the task ahead as Christian Counsellors.
David Goh
Volunteer
Incare
My name is Ivy Quek. I have been in and out of the Drug Rehabilitation Centre (DRC) four times, but I never thought of wanting to change my life. Even if I wanted to, I did not know how. I have been moving in circles all my life and did not seem to be able to get out of the darkness in my life.
I was last released in 1997. In 1998, I was baptized, but I seldom attended church. In 2003, I fell back into drug addiction again. For years after that, life was miserable and I was living like a zombie. The moment I woke up, I would start looking for drugs. I felt that life had no more meaning, and many times, I wanted to end my life. One day, in my darkest moment, I cried out: God, help me, I am your child, and I am dying! And I heard a small voice telling me: “Go and kick off the drug addiction.” However, I was penniless, and I did not know where to go to kick off the drug addiction.
Praise God, while I was at the bottom of my life, my daughter visited me one day. I told her truthfully that I was back to drug addiction and I needed help badly. I told her to contact Sis May to help me. So, in 2009, it was arranged for my first admission to IMH. I spent three weeks in a detox programme. After the detox programme, I was channeled to the Turning Point. I was on the Turning Point programme for 8 months. It was truly a turning point in my life.
So today, I want to thank God for preserving my life and that I am able to give my testimony.
Through the work of Aftercare in CCS, and through the help from Sister May, I started Bible study through the Crossroad Bible Institution (CBI) programme. To date I have completed the two CBI courses: “Great Truths of the Bible” and “The Survey of the Bible.”
I started to learn to play Ukulele as well as learn to sew bags, using used banners. I have started earning and making a small income working from home.
All goodness comes from God. I thank Jesus for His love for me and the help from those around me - my two daughters and also the love and encouragement from Sister May. I thank God, that she has never given up on me.
Hallelujah! This is the unconditional love from God who never abandons us. All Praise and Glory goes to Abba our Heavenly Father. Amen.
Ivy Quek
Overcomer
CCS
我的名字是 Ivy Quek。我进出DRC 诫毒所4次。从未想要改变我的生活。即使我要，我不知道从那里改变。我的生命中一直转圈子，似乎不能够走出黑暗。
我最后一次出狱是1997年。1998年，我受洗礼后我很少上教堂做礼拜会。2003年我再次吸毒。多年之后，生活很悲惨。让我尝到生不如死的滋味。日子过的象行尸走肉。每天张开我的眼睛的时候就开始寻找毒品。那时我想结束我自己 的生命,我认为生命没有意思。在我人生最黑暗的时刻我对上帝哭泣：“主啊！救我,我是您的孩子，我快死了”我听见一个微小的声音对我说“孩子去诫毒!”。不过，我是身无分文，我不知道去哪里去诫毒。
我感谢主,在我的生命堕落深谷的时候我的女儿来看我。我坦白告诉她我又回到了毒瘾,我迫切需要帮助。我告诉她联系Sister May求助。就在2009年我被安排去接受IMH 3个星期排毒治疗。是我的第一次的排毒治疗。治疗过后我被送去Turning Point（转捩点中途之家）住了8个月。那是我生命中的 Turning Point(转捩点)。
所以今天我要感谢主保存我的生命,让我有机会分享我的见证。通过CCS 的 AfterCare与 Sister May的帮助，我就开始从CBI课程学习圣经，同时我学弹奏ukulele（尤克里里琴）及学缝袋子。在家里工作获到微薄的收入,自食其力。
一切的美好来自上帝。我感谢耶稣基督对我的爱和帮助我让我的灵命成长的人—我的2个女儿及爱护和鼓励的Sister May，她从没有放弃我。
Hallelujah! 上帝对我的爱是无条件,不离不弃。所有称赞和荣耀是属于我们的Abba天父。阿门。
Ivy at the sewing machine supplied to her by ITE in the Business Collaboration Programme
NEWS UPDATES
AGM 2013 was held on 22 April at 76 Playfair Road #07- 05 LHK2 Building
CCS Executive Committee 2013-2015
President - Mr. Patrick Chow
Vice President - Ms May Chew
Hon. Secretary - Pst Darren Lim
Hon Treasurer - Mr. Michael Liu
- Mr. Terrence Teo
Committee Members - Ms Jenny Lim
- Ms Eleanor Wong
- Mr. Lemuel Ho
- Ms Candice Yeo
WE MOVED IN JULY 2012
FROM 10 Seng Poh Road
T0 Citimac Industrial Estate
STAFF MOVEMENT
Farewell to Ray Loke
Welcome to Hazel Cheong
OUR HEARTIEST CONGRATULATIONS!
Mr. Joseph Tay our immediate past President Receiving the National Day Award (Home Team Volunteers) from the Deputy Prime Minister Mr. Teo Chee Hian.
Award recipients at the Prision Volunteers Award Ceremony
Ms Danielle Jean Kua received the Yellow Ribbon Award
Notice Board
CHRISTMAS WILL BE CELEBRATED AT
a) CWP on 7 Dec 2013
b) A2HU1 on 7 Dec and 08 Dec 2013
c) A2HU2 on 8 Dec 2013
d) A2HU3 on 7 Dec and 08 Dec 2013
e) CCS on 2 Dec 2013
The First Volunteers Night was held on Sept 2013. 20 Volunteers attended
NEED EMPLOYMENT OR TRAINING?
Call .......................
85997142 F&B
98269998 Auto Works
96313112 Operations
62221305 Training/Others
After care Social Enterprise Tasty Treats Café at Simpang Bedok has closed. Thank you for your support.
Aftercare support group meetings - 1st and 3rd Monday of every month
Dear Reader, Supporter, Member, Friend,
We wish you and your family a Blessed Christmas and a Happy New Year.
We thank you for your support to the ministry of the Christian Counselling Services. We are working to make this newsletter, C-Link, as beneficial as it can be for you. We welcome your comments and contribution of articles and photographs which will add value to this our tri-annual publication.
May God bless you and your ministry for His Glory!
The Editorial Team, President and Executive Committee and Staff
FOR UNTO US A CHILD IS BORN
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In this defamation action the defendant Liotti impleaded plaintiff's counsel Brewington as a third-party defendant. In a decision dated May 12, 2008 (the Decision), this Court granted the motion of Brewington which sought dismissal of the third-party complaint and sanctions against Liotti for having instituted the third-party practice.
The Court ordered a hearing to determine the amount of costs that should be awarded to Brewington pursuant to 22 NYCRR 130-1.1 (the Court Rules). The hearing was conducted on Wednesday, October 29, 2008, during the hours of approximately 9:30 a.m. to 4:30 p.m. with a luncheon recess.
Following the Court's prior Decision, Liotti moved for reargument, renewal and recusal, without, however, directly addressing the Court's finding that the institution of the third-party action was sanctionable pursuant to the Court Rules. That motion, together with various other requests for relief that did not implicate the third-party action, resulted in a decision dated August 19, 2008 (Second Decision). In the Second Decision, the Court denied all requests for sanctions against Liotti with respect to the main action. Accordingly, the third-party action alone is at issue herein.
At the hearing, testimony and oral argument were offered by both
Brewington and Liotti with no other witnesses. Accepted into evidence were Brewington's computer generated Pre-Bill Worksheet and a copy of a decision by Judge Frederic Block, United States District Court (EDNY) which, in an unrelated case, awarded statutory legal fees to Brewington at the rate of $400.00 per hour. The Court allowed Judge Block's decision into evidence since judicial notice could be taken of its content in any event. CPLR 4511.
Brewington testified that his hourly rate is $400.00 per hour, and described his law firm, practice, experience, training and education. He also described in detail his system of time record-keeping and that his office maintains time records on all cases, irrespective of the fee arrangement with the client. Liotti also testified as to his hourly billing rate, which is also $400.00 per hour, and described his law firm, practice, experience, training and education. Both parties have similar practices, similar sized law firms in the same county and have in fact appeared together in other cases.
The Court finds as credible the testimony of the parties as to their hourly rates and with respect to Brewington, the testimony of the hourly rates of the personnel under his supervision who worked on this action. Also found to be credible, to the extent allowed, are the claims for out-of-pocket expenses incurred by Brewington.
At the hearing, Brewington claimed legal fees and disbursements in excess of $36,000.00, which included fees incurred in connection with the motions and other requests for relief that led to the Court's Second Decision, as well as for time spent in opposing a motion for a stay and a temporary restraining order made in the Appellate Division, which sought to enjoin all proceedings pending an appeal by Liotti of the Decision and Second Decision.
The Decision awarded Brewington costs in the form of reimbursement for actual expenses reasonably incurred and reasonable attorneys fees resulting from the institution of the "frivolous" (as such term is defined in the Court Rules) conduct of instituting the third-party action. Thus, fees and expenses incurred in connection with work which culminated in the Second Decision are not recoverable because they were incurred in connection with other aspects of this litigation. Similarly, fees and expenses in connection with Liotti's appeal and his application for a stay were not incurred in pursuit of the dismissal of the third-party action. In any event, if related to an appeal, such fees and expenses fall with the purview of the Appellate Division.
Although Liotti argues that a sanction may not exceed $10,000.00, that limitation does not apply to an award, such as here, of costs. *Greene v. Merchants & Businessmen's Mutual Insurance Company*, 259 AD2d 519 (2d Dept. 1999); see also, *Wiessman v. Weissman*, 8 AD3d 263 (2d Dept. 2004).
A reasonable attorney's fee is commonly understood to be a fee which represents the reasonable value of the services rendered and factors to be considered include (1) the time and labor required, the difficulty of the questions involved and the skill required, (2) the attorney's experience, ability and reputation, (3) the amount involved and benefit resulting from the services, (4) the customary fee charged for similar services, (5) the contingency or certainty of compensation, (6) the results obtained and (7) the responsibility involved, *Diaz v. Audi of America*, 50 AD3d 728 (2d Dept. 2008). In arriving at the rate to be charged, the Court has relied on the testimony of Brewington as to his hourly billing rate, the decision of Judge Block, the computer-generated billing records, and Liotti's testimony as to his own hourly billing rate in a similar sized firm having a similar type practice. Thus, there is ample corroborating evidence to support Brewington's hourly billing rate request. Cf., *Matter of Gamache v. Steinhaus*, 7 AD3d 525 (2d Dept. 2004).
Moreover, an award of reasonable attorney's fees may include the value of the time expended in proving the value of the services. Thus, Brewington should be compensated for the time associated with preparation for and attendance at the calls of the calendar and the hearing itself. *Posner v. S. Paul Posner Irrevocable Family Trust*, 12 AD3d 177 (1st Dept. 2004); *Kumble v. Windsor Plaza Comp.*, 161 AD2d 259, 260-261 (1st Dept. 1990) lv denied 76 NY2d 709 (1990); *Ross v. Congregation B'Nai Abraham Mordechai*, 12 Misc 3d 559 (Civ. Ct. New York Cty. 2006), together with interest on the award from the date of the hearing.
The Court cannot disregard the fees incurred in proving the reasonableness of the requested fee at the hearing. To do otherwise penalizes the recipient for following the directives of a court and, in the face of dedicated albeit legitimate opposition, would cause the recipient to incur significant non-reimbursable time and effort. In cases where a modest award is involved, an award might be entirely offset and lost at the hearing. Such a result could have a significant chilling effect on a party's willingness to seek enforcement of a right and should not be the unintended consequence of the initial result in favor of the prevailing party.
Although Brewington has admitted that his fee arrangement on the main action is based on a contingency, it has been held that while a fee arrangement may be indicative of what constitutes a reasonable fee, it is not determinative, and a reasonable attorney's fee in excess of the actual fee to be charged may be awarded. *Manufacturers & Traders Trust Company v. Dougherty*, 11 AD3d 1019 (4th Dept. 2004).
In this instance, the Court Rule clearly contemplates that an award which includes attorney's fees need not be confined to the actual fee charged to the client. The Court Rule refers to "actual expenses reasonably incurred and reasonable attorney's fees". Thus, expenses must be actual while attorney's fees are to be "reasonable" and are not modified in the same manner as expenses. Moreover, there is a well established and substantial body of interpretive case law in this State which defines what is meant by the expression reasonable attorney's fee. See, e.g., *McGrath v. Toys "R" Us, Inc.*, 3 NY3d 421 (2004).
Based on the foregoing and within the parameters established by this decision and taking into account all of the above noted factors, the Court awards Brewington attorney's fees and expenses as set forth below:
For the period from the commencement of the third-party action to the date of submission of the motion for its dismissal, legal fees in the sum of $6,500.00 are awarded.
For the period beginning with the receipt of the Court's Decision dated May 12, 2008, until completion of the hearing upon which this present decision is based, the Court has not included any compensation for the motions that were decided by the Second Decision or for the activities necessitated by Liotti's application and motion to the Appellate Division. The Court has included, however, appearances before the Nassau County Supreme Court and this Court (including preparation time) in connection with Liotti's request for a stay of the hearing on June 6, 2008, and preparation for and attendance at the call of the calendar in regards to this hearing, preparation for the hearing, review of various letters from Liotti and attendance thereat. Although not offered as part of the record of the hearing, this Court was sent copies of such letters and they are described in the Pre Bill work sheet that has been placed in evidence. In computing the fees for the time spent in reviewing the Decision, the fees attributable to the third-party action were
taken at one half because the Decision encompassed other issues as well.
The Court has allocated the amount of $7,000.00 for the period from September 30, 2008 (the day before the first hearing date as established in the Second Decision) through the hearing with no credit for any time spent between October 17, 2008 and the day preceding the hearing on October 29, 2008, because no time record was submitted for that period, and five hours have been allocated to attendance at the hearing. The five hours attributable to the hearing is based on the Court's personal knowledge and the clerk's minutes. The time expended during this period for which an award is made includes preparation for the previously scheduled dates, plus reading and responding to letters initiated by Liotti relating to the hearing.
In sum, the Court awards judgment against Liotti and in favor of Brewington for reasonable attorney's fees in the amount of $14,000.00 of which $6,500.00 is attributable to the dismissal of the third-party complaint, $500.00 is attributable to the reading and analysis of the Decision and $7,000.00 is allocated toward preparation for, appearances and correspondence in relation to and attendance at the hearing.
The Court awards as actual expenses reasonably incurred $98.69, of which $95.00 is for the filing of the Note of Issue for this hearing and $3.69 is for travel and postage expenses in connection with the Note of Issue. The Court was not able to discern from the evidence the amount of actual expenses attributable to the motion to dismiss Liotti's third-party complaint, and has excluded the largest amount of claimed expenses, namely $635.75 for copying and travel expenses to the Appellate Division in Brooklyn because those expenses relate to Liotti's appeal and request for a stay of all proceedings.
The total amount of the judgment is $14,098.69 (See 22 NYCRR §130-2.2) plus interest thereon from the date of the hearing, October 29, 2008, that being the date the Court finds to be a single intermediate date from which interest should run, CPLR §5001.
Submit Judgment to the Clerk for entry.
This shall constitute the Decision and Order of this Court. |
Maternal Transfer of the Cyanobacterial Neurotoxin β-N-Methylamino-L-Alanine (BMAA) via Milk to Suckling Offspring
Marie Andersson¹, Oskar Karlsson¹,², Ulrika Bergström¹✉, Eva B Brittebo², Ingvur Brandt¹*
1 Department of Environmental Toxicology, Uppsala University, Uppsala, Sweden, 2 Department of Pharmaceutical Biosciences, Uppsala University, Uppsala, Sweden
Abstract
The cyanobacterial neurotoxin β-N-methylamino-L-alanine (BMAA) has been implicated in the etiology of neurodegenerative disease and proposed to be biomagnified in terrestrial and aquatic food chains. We have previously shown that the neonatal period in rats, which in humans corresponds to the last trimester of pregnancy and the first few years of age, is a particularly sensitive period for exposure to BMAA. The present study aimed to examine the secretion of $^{14}$C-labeled L- and D-BMAA into milk in lactating mice and the subsequent transfer of BMAA into the developing brain. The results suggest that secretion into milk is an important elimination pathway of BMAA in lactating mothers and an efficient exposure route predominantly for L-BMAA but also for D-BMAA in suckling mice. Following secretion of $^{14}$C-L-BMAA into milk, the levels of $^{14}$C-L-BMAA in the brains of the suckling neonatal mice significantly exceeded the levels in the maternal brains. In vitro studies using the mouse mammary epithelial MCF-7 cell line confirmed a more efficient influx and efflux of L-BMAA than of D-BMAA in cells expressing transporter-selective transporters. Combined with other amino acids and a low sodium dependency of the influx suggests that the amino acid transporters LAT1 and LAT2 are involved in the transport of L-BMAA into milk. Given the persistent neurodevelopmental toxicity following injection of L-BMAA to neonatal rodent pups, the current results highlight the need to determine whether BMAA is enriched mother’s and cow’s milk.
Citation: Andersson M, Karlsson O, Bergström O, Brittebo EB, Brandt I (2013) Maternal Transfer of the Cyanobacterial Neurotoxin β-N-Methylamino-L-Alanine (BMAA) via Milk to Suckling Offspring. PLoS ONE 8(10): e78133. doi:10.1371/journal.pone.0078133
Editor: Nicholas J. Mantis, Wadsworth Center, New York State Dept. Health, United States of America
Received August 4, 2013; Accepted September 17, 2013; Published October 23, 2013
Copyright: © 2013 Andersson et al. This is an open-access article distributed under the terms of the Creative Commons Attribution License, which permits unrestricted use, distribution, and reproduction in any medium, provided the original author and source are credited.
Funding: This study was funded by the Swedish Research Council Formas (http://www.formas.se/en/). The funders had no role in study design, data collection and analysis, decision to publish, or preparation of the manuscript.
Competing Interests: The authors have declared that no competing interests exist.
* E-mail: email@example.com
# Current address: Swedish Defence Research Agency, Division of CBRN Defence and Security, Umeå, Sweden
Introduction
The neurotoxic amino acid β-N-methylamino-L-alanine (BMAA) was early implicated in the etiology of the Amyotrophic lateral sclerosis/Parkinsonism-dementia complex (ALS/PDC) on the island of Guam [1], and more recently an association of BMAA to ALS and Alzheimer’s disease in North America has been proposed [2–4]. The evidence for the presence of BMAA in human brain tissue is however equivocal and the potential role of BMAA in neurodegenerative disease remains controversial [5].
The cyanobacterial toxin BMAA was originally reported to be produced by symbiotic cyanobacteria living in roots of cycad trees and found to be present in cycad seed flour as well as in the tissues of flying foxes feeding on these fruits [6,7]. Based on these studies, it was for the first time demonstrated that cyanobacterial BMAA is transported in a food chain, resulting in high exposures of indigenous people consuming cycad flour and flying foxes at the island of Guam [8,9].
Seasonal mass growths of cyanobacteria are known to produce a variety of toxins affecting the brain, liver and other tissues. The cyanobacteria are however ubiquitous organisms found in a variety of aquatic and terrestrial environments [10,11]. Recently, BMAA has been detected in several water systems, including temperate aquatic ecosystems, and in mollusks and fish suggesting that BMAA can bioaccumulate also in aquatic food chains [12,13]. Studying the presence of BMAA in marine biota in southern Florida, Brand et al. [12] reported high levels in shellfish and in various fish species used for human consumption. High BMAA levels have also been found in shark fins, blue crabs and in feathers of flamingos collected at an African lake [14–16]. Resulting from eutrophication, cyanobacterial blooming have increased in the Baltic Sea, and BMAA was recently identified in muscle and brain tissue of various species of fish and in mussels collected in Baltic waters [13]. Altogether, these recent results strengthen the hypothesis that BMAA can biomagnify in food webs. The magnitude of human exposure to BMAA may consequently be higher than previously anticipated, and several unforeseen BMAA sources need to be considered to elucidate the extent of human exposure to BMAA.
The rate of BMAA transfer into the adult rodent brain is low [17–19] and BMAA is reported to have a relatively low neurotoxic potency in adult rodents [20]. However, in rodent fetuses and neonates the uptake of BMAA in discrete brain regions is more efficient and selective than in adults [18,21]. Accordingly, early life-time exposure to BMAA affects the development of the brain in rodents with long-term consequences also in adulthood. For instance, subcutaneous exposure of rodent pups to BMAA during lactation results in dose dependent alteration in striatal neuropeptides involved...
in neuronal survival, as well as in long-term cognitive and proteomic impairments and neurodegeneration observed when the exposed rodents have reached adult age [22–25].
The neonatal model (post-natal day (PND) 9–10; used in our previous studies is the first animal model that shows significant biochemical and behavioral effects after BMAA short-term exposure at a dose of 40 mg/kg [23,25,26]. The time period PND 9–10 is an important phase of brain development in rodents with rapid maturation of neuronal systems and there is often an increased susceptibility to neurotoxicants during this period [27,28]. The corresponding period in humans starts during the last trimester of pregnancy and continues through the first few years of age [27]. The oral bioavailability of BMAA has been shown to be almost complete in both rats and primates [29,30]. Human exposure to BMAA may occur via contaminated drinking water supplies or following food-chain transfer and fetuses could possibly be exposed to BMAA following transplacental transport as previously demonstrated in pregnant mice [18]. The potential exposure via secretion of BMAA to mother’s milk is presently unknown.
The aim of the present study was to examine and compare the secretion of the two enantiomers of BMAA, $^{14}$C-labeled L- and D-BMAA, into milk in lactating mice. We also examined the gastrointestinal absorption of the enantiomers in the suckling pups and the subsequent transfer of the BMAA into the developing brain. To gain some information on the transport kinetics in the milk-producing cells, we employed the murine mammary epithelial HC11 cell line to examine the influx and efflux of BMAA following differentiation into a secretory phenotype. The results suggest that secretion into milk is an important elimination pathway for BMAA in lactating mothers. Accordingly there was a high exposure of nursed offspring to BMAA during a sensitive period of neurodevelopment.
**Materials and Methods**
**Chemicals**
The HCl salt of β-N-methylamino-L-alanine [methyl-$^{14}$C] ($^{14}$CJL-BMAA) and β-N-methylamino-D-alanine [methyl-$^{14}$C] ($^{14}$CID-BMAA) were purchased from Onco Targeting AB, Uppsala, Sweden. Specific radioactivities were 57 mCi/mmol for both enantiomers and radiochemical purities were >99%. Other chemicals were purchased from Sigma-Aldrich Co., St Louis, MO, USA if not stated otherwise.
**Animals and housing**
Pregnant C57BL/6 mice arrived on gestational day 15 from Taconic, Eby, Denmark. They were housed alone in standard macrolon cages with wooden chip bedding, paper houses and paper towels as nesting material. The animals were maintained at 22°C with a 12 h light/dark cycle and they were given standard pellet food (R36 Laborf; Lammannen, Kinstad, Sweden) and tap water *ad libitum*. One day postpartum the litter sizes where normalized to 9 pups/dam.
All animal experiments were approved by the Uppsala animal ethical committee (permit number: C 233/11) and followed the guidelines of Swedish legislation on animal experimentation (Animal Welfare Act SFS(1998:56) and European Union legislation (Convention ETS123 and Directive 86/609/EEC).
**Administration of $^{14}$C]BMAA**
On postnatal day 9 the lactating dams where divided into two groups, four (D-BMAA) and five (L-BMAA) dams/group. The mothers were separated from their pups 30 min prior to administration and kept separated for another 30 min after administration in order for the pups to grow hungry and for the substance to enter the mammary gland. The dams were injected intravenously with either [$^{14}$C]L-BMAA or [$^{14}$C]D-BMAA, 250 μCi/kg body weight (0.7 mg/kg body weight), diluted in Hanks balanced salt solution (HBSS). In addition, one spare dam having only four pups was given [$^{14}$C]L-BMAA as above.
**Autoradiographic imaging**
At 3, 8 and 24 h after returning to their respective lactating dam, one pup from each litter was removed and euthanized by exposure to gaseous CO$_2$. The pups were immediately embedded in an aqueous gel of carboxyl methyl cellulose (2.5% w/v) and water, and frozen in hexane cooled with solid CO$_2$. The frozen blocks were mounted in a large cryostat microtome and sagittal sections (20 μm) through different levels of the body were collected onto tape, as described by Ullberg [31]. A total of 15-20 tissue-sections representing all major tissues and fluids in the body were collected from each animal. At termination of the experiment after 24 h, one dam per exposure group was killed and sectioned as described above. The four pups from the spare dam were removed at 2 h. For comparative purposes, this dam with discontinued nursing was also killed at 24 h and sectioned as described above. After freeze-drying, all tissue-sections were apposed to X-ray film for autoradiographic exposure. The tissue-sections were apposed to film for 200 days (dams) and 240 days (pups).
**Sampling of milk and brain**
To determine the levels of radioactivity in milk and brain tissue, two pups/dam were taken at the time points 1, 3, 8 and 24 h from five and four dams in the [$^{14}$C]L-BMAA and [$^{14}$C]D-BMAA exposed groups respectively. The pups were euthanized by decapitation and the contralateral stomach milk and the brains were dissolved in Soluene®8350 (PerkinElmer). Radioactivity was measured using a TriCarb scintillation counter (PerkinElmer) after addition of Ultima Gold™ scintillation cocktail. Data was calculated as cpn/mg tissue or stomach milk, respectively.
**In vitro studies using HC11 cells**
**Cell culture.** The mouse mammary epithelial cell line HC11 was a kind gift from Dr. B. Groner [32]. The cells were grown in RPMI1640 culture medium with 2 mM L-glutamine and NaHCO$_3$ complemented with 10% fetal bovine serum, 5 μg/ml insulin, 0.01 μg/ml EGF, 100 units of penicillin and 100 μg/ml streptomycin. They were differentiated into a lactating phenotype according to a protocol described by Jager [33] with some modifications of the length of differentiation period. In short, confluent cells were made competent to receive lactogenic stimuli by culturing them in EGF-deficient medium for 48 h and then differentiated by changing into culture medium with 100 nM dexamethasone, 5 μg/ml insulin and 5 μg/ml prolactin for 4 days.
**Uptake and time course studies**
HC11 cells, grown and differentiated in 24-well plates, were incubated in pre-heated (37 °C) Hank’s Balanced Salt Solution, HBSS, containing 1 μM [$^{14}$C]BMAA (0.5 ml/well) for 1, 10, 20, 30, 40 and 60 min. Uptake of [$^{14}$C]BMAA into the cells was stopped by addition of ice-cold PBS (>1 ml/well) and the cells were subsequently washed four times with >1 ml ice-cold PBS. Cells were lysed with 0.5 ml 1 M NaOH and 0.3 ml was transferred to a scintillation vial. Following addition of 5 ml Ultima Gold scintillation cocktail the radioactive content was measured in a TriCarb liquid scintillation counter. The protein
concentration in the cell lysates was determined using Pierce™ BGA proacin assay. The results from the time course studies served as a ground for the time points chosen for the following studies.
**Efflux studies**
In the efflux studies the cells were pre-loaded with 1 μM [14C]- or [13C]D-BMAA for 40 min at 37°C and then quickly washed once with an excessive amount of PBS (room temperature). Fresh, pre-heated HBSS-medium was then added (1 ml/well). To measure the rate of efflux of labeled BMAA from the cells, 0.5 ml medium was removed at 5, 10, 20, 30, 40 and 80 min and radioactivity was measured after addition of Ultima Gold Scintillation cocktail. At the same time-points, efflux was stopped by wash of cells with ice-cold PBS. The cells were then lysed and analyzed for radioactive content as described above.
**Concentration-dependent uptake studies**
In order to determine the saturation kinetics of L-BMAA, cells were exposed to increasing levels of unlabeled L-BMAA spiked with 14C-labeled BMAA (0.3–5 mM). The exposure was stopped after 15 min with ice-cold PBS and radioactive content of the cells was analyzed as described above. $K_m$ and $V_{\text{max}}$ values were determined by fitting the data to the Michaelis-Menten equation.
**Temperature and sodium dependency**
Facilitated transport over the cell membrane is a temperature dependent process and both influx and efflux of [14C]BMAA were studied at 4°C. Loading of cells with [14C]BMAA prior to efflux at 4°C was performed at 37°C for 40 min. To investigate sodium-dependency, a choline substituted uptake study was performed using a standard Kreb’s-Ringer’s buffer with or without sodium ions, i.e. sodium ions had been replaced during the preparation step with chloride chloride (120 mM) [34]. Exposure was stopped after 15 min with ice-cold PBS and radioactive contents of the cells was measured as described above.
**Competition with other amino acids**
The influx of [14C]-L-BMAA was also determined in the presence of the amino acids phenylalanine, alanine and serine. Phenylalanine is known to be transported by the sodium-independent neutral amino acid transporters LAT1 and LAT2, while alanine and serine are transported by a range of amino acid transporters including ASCT and LAT2 [35,36]. Unlike LAT1 and LAT2, ASCT is a sodium-dependent transporter [35,37]. The cells were pre-incubated with pre-heated HBSS containing the competing amino acid (0.2 μM-10 mM) for 15 min at 37°C before changing to 1 μM [14C]-L-BMAA with the same concentrations of the competing amino acid. Exposure was stopped after 15 min with ice-cold PBS and radioactive content of the cells was measured as described above.
**Viability assay**
In order to determine that the flux of BMAA over cell membrane was not influenced by unspecific toxicity of BMAA, a typical uptake study with increasing concentrations of L-BMAA (0.3 μM – 1.25 mM, 15 min at 37°C) was performed with the addition of the tetrazolium dye MTT to the cells, 0.5 mg/ml, and further incubation at 37°C for 3 h. Viable cells still functioning mitochondria will reduce MTT to insoluble formazan [38]. At the end of the 3-h incubation period the exposure medium was removed without disrupting the cells. 0.5 ml of 0.08 M HCl in isopropanol was added to the wells and cells were lysed and formazan dissolved at 37°C for 15 min. Absorbance was measured at 560 nm with a background absorbance at 750 nm.
**Statistical analyses**
The in vivo experiment was conducted with five dams for [14C]-L-BMAA exposure group and four dams for [13C]D-BMAA exposure group and two pups were taken per time point. The statistical unit was considered to be the dam and the mean concentration of radioactivity recorded in the two pups sampled at each time-point was therefore used for the statistical analysis. The results were expressed as mean ± SD. The in vitro experiments were run at least three times, at different days using different passages, and the studies were performed using triplicates or more. To determine the statistical significance between groups, a nonparametric Mann-Whitney U-test was applied and a statistical difference was considered at p<0.05. The Graph Pad software Prism 5 was used for the statistical analyses.
**Results**
**Autoradiographic imaging of [14C]L- and [13C]D-BMAA in lactating mice**
All adult mice subjected to autoradiography were killed at 24 h after a single intravenous injection of 14C-labeled BMAA and continuous nursing of suckling pups. Results were interpreted with the assumption that the major part of radioactivity in milk and brain tissues was due mainly to unchanged BMAA, and not to metabolites. The general biodistribution patterns of [14C]L-BMAA and [13C]D-BMAA in lactating mice are shown in Figure 1A and 1C. The overall retention of [14C]L-BMAA in the lactating mouse with the all the suckling pups removed after 2 h is shown in Figure 2. Considerably higher levels of radioactivity remained in the tissues of the [14C]L-BMAA exposed lactating mouse with discontinued nursing than in the tissues of the nursing mice exposed either to [14C]L- or [13C]D-BMAA. The general level of [14C]L-BMAA was considerably lower in the dam with discontinued nursing, particularly in the mammary glands, than in the mice with completed nursing during the investigative period. Overall distribution pattern was, however, similar in all mice exposed to [14C]L-BMAA (Fig. 1A and 2). In nursing mice given either [14C]L- or [13C]D-BMAA, the levels of radioactivity in the milk ducts, i.e. milk, were in general higher than in the mammary parenchymal tissue (Fig. 1B). The level of both labeled enantiomers in blood was very low and below that of most other tissues. [14C]L-BMAA gave rise to a high uptake of radioactivity in the epithelia of the gastrointestinal tract, particularly in the small and large intestinal mucosa, the bone marrow but also in lymphatic tissues such as the thymus and spleen (white pulp), i.e. in tissues with a high protein synthesis and cell turnover. The uptake of [14C]L-BMAA in the adult brain and spinal cord was fairly low and homogenously distributed. The uptake in the liver and pancreas was intermediate. A distinct uptake in the outer layer of the lens was also evident as well as in the Harderian gland adjacent to the eye.
The biodistribution of [13C]D-BMAA was roughly similar to that of [14C]L-BMAA, although the uptake in the intestinal mucosa, bone marrow and in thymus and spleen was less pronounced (Fig. 1C). While [14C]L-BMAA, was evenly distributed in the kidney, [13C]D-BMAA gave rise to a selective accumulation of radioactivity in the inner part of the kidney cortex (Figs. 1C and 1D). However, a similar phenomenon can be seen in the [14C]L-BMAA exposed dam with discontinued nursing and [3H]L-BMAA exposed mice in an earlier study [21].
Autoradiographic imaging of $^{14}$C-L- and $^{14}$C-D-BMAA in suckling pups
High levels of radioactivity were present in the contents of the stomach (coagulated milk) of the suckling pups killed after 3 h of nursing by dams injected with either $^{14}$CIL- or $^{14}$CJD-BMAA (3.5 h after administration). The levels of $^{14}$CIL- and $^{14}$CJD-BMAA in stomach milk seemed to reach a peak after 3 h of nursing (Fig. 3A), but remained high after 24 h of nursing (Figs. 3B and C). In pups killed after 24 h of nursing, a marked and selective uptake of radioactivity was found in tissues with a high protein synthesis and cell turnover such as the intestinal mucosa, bone marrow, thymus and spleen. The uptake of $^{14}$CJD-BMAA in...
these tissues was less pronounced than that of $^{14}$C]-L-BMAA. The highest levels of radioactivity in the brain and spinal cord occurred at 24 h after administration of either enantiomer. Analogous to a previous study (sc injections of 10-day-old mouse pups with $^{14}$C]-L-BMAA [2]), pups from dams exposed to $^{14}$C]-L-BMAA revealed a selective distribution of radioactivity in discrete regions of the brain such as the striatum, hippocampus, cerebellum, brainstem and spinal cord at all survival intervals. Pups from dams exposed to $^{14}$C]-D-BMAA showed a slower and less pronounced uptake in these regions than those exposed of $^{14}$C]-L-BMAA. The levels of $^{14}$C]-L- and $^{14}$C]-D-BMAA in the circulating blood remained low at all time-points (Figs. 3B and C).
**Secretion into milk and uptake of $^{14}$C]- and $^{14}$C]-D-BMAA in suckling pups**
Both $^{14}$C]-L-BMAA and $^{14}$C]-D-BMAA were transferred via the milk to the suckling pups. As shown in Figure 4A, the level of $^{14}$C]-L-BMAA in coagulated stomach milk was significantly higher than the level of the D-enantiomer at all time-points examined. The levels of both $^{14}$C]-L-, and $^{14}$C]-D-BMAA peaked at about 8 h after single exposure of the dams but there was still high levels in the stomach milk at the last time-point studied, 24 h.
As shown in Figure 4B, there was also a continuous transfer of both labeled enantiomers to the neonatal brain during the investigative period, and there was twofold higher levels of $^{14}$C]-L-BMAA in the neonatal brain as compared to $^{14}$C]-D-BMAA. At the last time point measured there were significantly higher levels of $^{14}$C]-L-BMAA in the brains of suckling pups compared to the levels in the maternal brains (17% higher, p<0.05). In contrast, there were lower levels of $^{14}$C]-D-BMAA in the brains of pups compared to the levels in the maternal brains (45% lower, p=0.057). The levels of $^{14}$C]-L-BMAA in the
maternal brains were significantly higher than the levels of $[^{14}\text{C}]$D-BMAA (28%, p<0.01) (Fig. 4B).
**Influx of $[^{14}\text{C}]$- and $[^{14}\text{C}]$D-BMAA in mammary HC11 cells**
In order to mimic the physiological status of lactating mammary epithelial cells in vivo, the cell line HC11 was differentiated into a cascin-producing phenotype by the use of prolactin. In a first experiment, the uptake of $[^{14}\text{C}]$L-BMAA and $[^{14}\text{C}]$D-BMAA was measured and compared in non-differentiated and differentiated HC11 cells. As shown in Figure 5, the uptake of $[^{14}\text{C}]$L-BMAA during 15 min was increased about 2.5-fold in differentiated cells, compared to undifferentiated cells. For $[^{14}\text{C}]$D-BMAA there was no difference in uptake in differentiated and undifferentiated cells.
The uptake of the L-enantiomer in differentiated cells was seven times higher than that of the D-enantiomer, while in undifferentiated cells the uptake of $[^{14}\text{C}]$L-BMAA was 4 times higher than that of $[^{14}\text{C}]$D-BMAA (Fig. 5). These data suggested that differentiated HC11 cells could serve as a suitable in vitro model to examine the transport of BMAA over cell membranes. All further experiments were therefore performed using differentiated cells.
In a following experiment, the time-course for the uptake of BMAA into differentiated HC11 cells was examined during 1 h. As shown in Figure 6A, the uptake process for $[^{14}\text{C}]$L-BMAA was linear for about 20 min at 37°C, after which the rate of uptake leveled off. The rate of uptake of $[^{14}\text{C}]$D-BMAA was lower than that of $[^{14}\text{C}]$L-BMAA and remained linear for roughly 30 min. When measured at 4°C, the rate of uptake of both enantiomers was strongly reduced. Also at 4°C, the rate of uptake of $[^{14}\text{C}]$L-BMAA was higher than that of $[^{14}\text{C}]$D-BMAA, at least during the early time-points. Based on these results, all further experiments were carried out following 15 min of incubation.
To determine the capacity of the influx mechanism, the uptake of $[^{14}\text{C}]$L-BMAA in HC11 cells was examined at various concentrations ranging from 0.3 µM – 5 mM. By fitting the data sets from four separate experiments to a Michaelis-Menten equation, it was shown that L-BMAA was transported over the cell membrane by a system that is saturable, resulting in an apparent $K_m$ of 167 µM and a $V_{max}$ of 48 pmol BMAA equivalents/mg/minute (Fig. 6B).
Displacement of sodium ions with choline chloride did not affect the uptake of $[^{14}\text{C}]$L-BMAA to a high degree, even though a slight decrease in uptake could be seen indicating a predominant sodium-independent transport (Fig. 6C).
The uptake of $[^{14}\text{C}]$L-BMAA into differentiated HC11 cells was inhibited in a dose dependent fashion by the presence of competing amino acids such as phenylalanine, alanine and serine, with the former being most efficient in inhibiting the influx of $[^{14}\text{C}]$L-BMAA (Fig. 6D).
**Efflux of $[^{14}\text{C}]$- and $[^{14}\text{C}]$D-BMAA from preloaded HC11 cells**
As shown above, the uptake studies revealed that differentiated HC11 cells have a pronounced ability to accumulate the hydrophilic amino acid BMAA (a zwitter ion) from the surrounding medium. A similar uptake mechanism is likely to be in operation in vivo. Another step in the secretion of BMAA into milk would therefore be to transfer the amino acid over the cell membrane of the mammary epithelium into the milk ducts, either as an amino acid or incorporated into milk proteins. To mimic this process, HC11 cells were loaded with $[^{14}\text{C}]$L-BMAA from the medium for 40 min. When BMAA-loaded cells were transferred to fresh medium, the cells displayed an ability to secrete $[^{14}\text{C}]$L-BMAA into the medium while the concentration of $[^{14}\text{C}]$L-BMAA in the cells was rapidly decreased (Fig. 6E). This efflux process was only shown for the L-enantiomer at 37°C, while no efflux of $[^{14}\text{C}]$D-BMAA could be recorded at the conditions employed (data not shown). Likewise, following uptake at 37°C and incubation at 4°C, no efflux of either BMAA enantiomer from the cells to the surrounding medium could be observed (data not shown).
**Effects of L-BMAA on the viability of mammary HC11 cells**
No effects of L-BMAA (0.3 µM – 1.25 mM) on the viability of differentiated mammary HC11 cells could be observed during the exposure conditions employed (Fig. 6F).
**Discussion**
The neonatal period in rodents is a particularly sensitive period for exposure to neurotoxins. Long-term cognitive disturbances, biochemical and morphological brain changes in adult rodents have been observed after neonatal exposure to the cyanobacterial amino acid and neurotoxin BMAA. Interestingly, the results of the present study revealed that secretion of BMAA into milk is an important route of elimination of L-BMAA in lactating mice resulting in a substantial exposure of the suckling neonate pups. This conclusion is also supported by the observed high retention of $[^{14}\text{C}]$L-BMAA in the tissues of the dam following disrupted nursing. In the suckling pups, the highest concentration of L-BMAA-derived radioactivity were found in the stomach milk at all time-points examined (3–24 h). The concentrations in the brains of the suckling pups increased during the whole studied time period. Notably, at 24 h the levels of L-BMAA in the neonatal brains significantly exceeded the levels in the maternal brains. A continued nursing period beyond 24 h would thus likely result in even higher L-BMAA-concentrations in the neonatal brain than in the adult brain, as was previously demonstrated in fetal mice exposed over the placenta [18]. We have recently reported that L-BMAA is a developmental neurotoxicant that induces persistent and dose-dependent behavioral, proteomic and degenerative...
Figure 6. Transport of L- and D-BMAA in differentiated mammary gland HCl1 cells. **A** Influx of 1 μM [14C]L-BMAA or [14C]D-BMAA up to 60 min exposure in cultured mammary gland cells. The influx was highly reduced at incubation at 4 °C, compared to incubation at 37 °C. **B** Concentration dependent influx of [14C]L-BMAA in the presence of unlabeled L-BMAA (0.0003–5 mM) during 15 min exposure in cultured mammary gland cells. The influx of L-BMAA was saturable. **C** Influx of 1 μM [14C]L-BMAA or [14C]D-BMAA during 15 min exposure in cultured mammary gland cells. Replacement of sodium ions with 120 mM choline chloride did not have a major impact on the influx of [14C]L-BMAA. **D** Influx of 1 μM [14C]L-BMAA or [14C]D-BMAA during 15 min exposure in cultured mammary gland cells. The presence of competing amino acids reduced the influx of [14C]L-BMAA. **E** Efflux of 1 μM L-BMAA up to 80 min in cultured differentiated mammary gland cells. The efflux was inhibited by decreasing concentrations of the cells and increasing concentrations in the cell medium. Representative experiments are shown in A-E. **F** Viability of mammary cells exposed to increasing concentrations of L-BMAA for 3 h, as determined by MTT assay. Data are presented as mean values (% of vehicle) ± SD (n = 3-4/data-point).
doi:10.1371/journal.pone.0078133.g006
changes in specific brain regions in adult or postnatal rodents exposed subcutaneously to BMAA during postnatal day 9-10, i.e. at a critical phase of brain development [21–25]. The corresponding period in humans starts during the last trimester of pregnancy and lasts for the first few years of age [27]. The current results are therefore of particular interest for human risk assessment, mainly because they raise the possibility that exposures of breast-fed babies to BMAA could occur. The results further imply that cow’s milk could be an additional source of human exposure to BMAA besides for instance fish and shellfish [12,13,15]. Despite the findings that BMAA is formed by a variety of aquatic and terrestrial cyanobacterial species and biomagnified in aquatic and terrestrial food webs, the magnitude of human exposure remains largely unknown. Consequently, there is an urgent need to determine whether the developmental cyanobacterial neurotoxin BMAA may be enriched in mother’s milk and cow’s milk, and other dairy consumer products.
In addition to being a neutral zwitter ion, the amino acid BMAA can appear also as a triprotic cation at physiological pH. Moreover, BMAA forms triprotic carbamate ions at physiological HCO$_3^-$ concentrations [39,40]. The uptake of BMAA into the mammary gland and the subsequent secretion into milk should therefore not be expected to occur by passive diffusion but rather be mediated by specific transport mechanisms, as has previously been implicated for the transfer of L-BMAA over the blood-brain barrier in rodents [17] and influx to the neuroblastoma cell line SH-SY5Y [41] where the large amino acid transporter (LAT1) were suggested to be involved.
The mammary gland expresses several amino acid transporters, including the sodium-dependent system A and the sodium-independent system L. System A transports small, neutral and N-methylated amino acids, e.g. alanine and serine while system L, which includes LAT1 and LAT2, transports large, neutral, branched and aromatic amino acids with low stereospecificity, e.g. phenylalanine [42–44]. A major distinction between LAT1 and 2 is that LAT2 has a wider substrate specificity than LAT1, and unlike LAT1, transports L-alanine [45,46].
The mouse mammary epithelial HC11 cell line was employed as a model to examine the influx and efflux of L- and D-BMAA in the mammary epithelium in vitro. The level of influx of L-BMAA into differentiated cells was seven times higher than that of D-BMAA, suggesting an enantiomer-selective uptake. Accordingly, the level of influx of L-BMAA increased when the cells were differentiated into a casein-producing phenotype, while the influx of D-BMAA was not altered. In addition, the uptake of L-BMAA increased exponentially to a maximal level within 20 min, while the uptake level for D-BMAA was lower and more flat. These results suggest that the putative L-BMAA transporter was up-regulated by differentiating the HC11 cells into a secretory state; they also conform with the observation that the uptake of $^{14}$C-labeled L-BMAA in the mammary gland of non-pregnant nulliparous mice was very low compared to that of lactating mice (unpublished data). We therefore conclude that the L-enantiomer was favored over the D-enantiomer by the putative BMAA transporter although we cannot rule out that there was a transport also of the D-enantiomer. Other D-amino acids have previously been reported to be transported by common transporters; for instance, D-aspartic acid is transported via the same system as L-aspartic and L-glutamic acid [47]. Notably, the difference in cellular uptake between the L- and D-BMAA enantiomers in the HC11 cell line in vitro was more pronounced than the differences in milk secretion and uptake in the neonatal brain of the two enantiomers in vivo. These observations support the intriguing possibility that racemization [48,49] of D-BMAA into L-BMAA, or vice versa, may take place. If this indeed was the case, racemization should be expected to be more efficient in the physiologically complex in vivo system than in HC11 cells vitro.
The rapid and saturable influx of L-BMAA into differentiated HC11 cells revealed an apparent $K_m$ value of 167 µM and $V_{\text{max}}$ value of 48 pmol/mg protein/min. These values were similar to those recorded for other amino acids in vitro, e.g. cultures of astrocytes and C6 glioma cells has a reported $K_m$ of 224 µM and $V_{\text{max}}$ of 52 µM respectively for L-leucine [50]. The competition experiments further revealed that L-BMAA influx was inhibited both by L-phenylalanine, L-alanine and L-serine, the former amino acid being the most efficient competitor with an apparent IC$_{50}$ of about 200 µM. Based on these data and the seemingly low sodium-dependency of the cellular uptake, we suggest that LAT1 and LAT2 were involved in the transport of BMAA. Further studies are, however, needed to characterize the transporters regulating the influx and efflux of L-BMAA in mammary gland epithelial cells.
The majority of amino acids recruited to the mammary gland are rapidly used for synthesis of milk proteins, e.g. casein, which are secreted via secretory vesicles into the alveolar lumen [51,52]. Yet, approximately 5% are still present as free amino acids in milk and have been suggested to play a beneficial role during early postnatal development [53,54]. The efflux of radioactivity from HC11 cells preloaded with $^{14}$C-BMAA was almost complete within 30 min. Conversely, there was also a novel and efficient efflux mechanism for L-BMAA in the HC11 cell line. Further studies are required to demonstrate whether the efflux of radioactivity represents free L-BMAA or L-BMAA associated/incorporated to/into milk proteins such as casein. BMAA has previously been shown to be bound to cycad seed flour protein and such an association should be a prerequisite for biomagnification of BMAA in the food chain, leading to high levels of BMAA in flying foxes, shark fins, and in the brain and other tissues in fish [6,12,13,15].
Due to the proposed role of BMAA in the etiology of neurodegenerative disease, the search for BMAA in humans and other species has been focused on the central nervous system [2,55]. It is therefore notable that BMAA showed a typical amino acid-like tissue distribution pattern with the highest levels in tissues with a high cell proliferation and/or protein synthesis, i.e. in the thymus and spleen, bone marrow, gastrointestinal mucosa and the pancreas. These findings are compatible with the hypothesis that BMAA may be incorporated as a false amino acid into proteins [56], and that this incorporation could lead to protein misfolding, a hallmark of neurodegenerative disease [37]. In this context it is interesting to note that the uptake of BMAA in the growing fetal and neonatal brain, with high protein synthesis, becomes higher than that of the adult brain in pregnant [21] and lactating mice. The targeting of BMAA to the developing brain and to tissues with a high cell proliferation and protein synthesis could also result from distinct expression of the putative amino acid transporter(s) in these tissues. Experiments are in progress to clarify these possibilities.
**Conclusions**
We have shown for the first time that secretion of BMAA into milk is an efficient exposure pathway in suckling neonatal mice. Following secretion of L-BMAA into milk, the levels of L-BMAA in the neonatal brain significantly exceeded the levels in the maternal brain following 24 h of nursing. The influx of BMAA in cultured mouse mammary epithelial cells was saturable and seemed to be dependent on amino acid transporters, most likely
LAT1 and LAT2. Given the persistent neurodevelopmental toxicity recently described following injection of L-BMAA to neonatal rodent pups, the current results highlight the need to determine whether BMAA is enriched also in human milk and in cow’s milk. In addition to highlighting the exposure of nursed babies, the presence of BMAA in mother’s milk could possibly become a biomarker for exposure and body-burden of BMAA in adults. The HC11 cell line appears to be an attractive in vitro system to further characterize the mechanism of secretion of BMAA into milk.
Acknowledgments
Margareta Mattsson is acknowledged for expert support with autoradiography and Ralfi Engdahl for excellent support during in vivo experiments.
Author Contributions
Conceived and designed the experiments: MA OK UB EB IB. Performed the experiments: MA OK. Analyzed the data: MA OK UB EB IB. Contributed reagents/materials/analysis tools: EB IB. Wrote the paper: MA OK UB EB IB.
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Increase in mean platelet volume in patients with chronic renal failure treated with erythropoietin
P C Sharpe, Z R Desai, T C M Morris
Abstract
Aims—To assess whether r-HuEPO (recombinant human erythropoietin) has any effect on thrombopoiesis in patients with chronic renal failure.
Methods—This was a retrospective study of 78 patients with chronic renal failure undergoing either haemodialysis (n = 57) or intraperitoneal dialysis (n = 21). All patients had a full blood count (in EDTA) measured before starting r-HuEPO and at monthly intervals thereafter up to six months. Variables studied were haematocrit, platelet count, mean platelet volume (MPV) and platelet distribution width (PDW). Other groups of control patients were also studied—patients with chronic renal failure receiving dialysis but not r-HuEPO (n = 40) and a group of patients with normal renal function who were receiving aspirin (n = 30).
Results—There was a significant increase in mean haematocrit (p < 0.01) and in mean platelet volume (p < 0.001) over the six month period, but no change in either total platelet count or platelet distribution width in the patients with chronic renal failure receiving r-HuEPO. In contrast, both the control groups showed no significant change in MPV.
Conclusions—The results suggest that r-HuEPO affects thrombopoiesis and may be part of a group of humoral factors contributing to megakaryocyte development and maturation. Larger platelets are more reactive and may contribute to the increased risk of thrombosis associated with r-HuEPO.
(J Clin Pathol 1994;47:159–161)
Chronic renal failure is associated with bleeding problems, indicated by decreased platelet aggregation and prolonged bleeding times. Patients receiving r-HuEPO (recombinant human erythropoietin) treatment show improved haematocrit and increased platelet aggregation, and one of the most known side effects of r-HuEPO is an increased risk of thrombosis. Recent evidence has shown that larger platelets are more reactive per unit volume than smaller platelets and are more likely to aggregate, leading to thrombosis. Large platelets seem to be an independent risk factor for myocardial infarction, and platelet size is one predictor of recurrent myocardial infarction and death.
It is now known that there are receptors for EPO on the megakaryocytes of rats and mice, and the platelet size is determined at or before the megakaryocyte budding stage. It has also been shown that r-HuEPO acts as a humoral growth factor and promotes differentiation of murine megakaryocytes.
Methods
This was a retrospective study of 78 patients (40 men and 38 women), whose ages ranged from 17 to 84 years (mean age 56 years) with chronic renal failure receiving r-HuEPO (Eprex) under the care of the regional renal unit in Belfast City Hospital. Fifty seven of these patients were undergoing haemodialysis (on a twice to three times a week basis) and the other 21 were receiving intraperitoneal dialysis (IPD). All patients had normochromic, normocytic anaemia associated with renal failure; other causes of anaemia had been excluded by regular measurements of serum ferritin, vitamin B₁₂ and folate. Forty of the 78 patients were receiving regular supplemental iron-dextran injections.
The dose of r-HuEPO began at 50 IU/kg twice weekly (by subcutaneous injection), increasing to 75 IU/kg twice weekly after two to three months if there was an insufficient rise in haematocrit and haemoglobin. It is the policy of the renal unit to give aspirin to all patients starting r-HuEPO. Twelve out of the 78 patients did not receive aspirin during the six month period of study as they had been given r-HuEPO before the establishment of this policy.
All the patients had a full blood count (in EDTA) measured on a Coulter STKS (Coulter Electronics, Northwell Drive, Luton, Beds) at monthly intervals from baseline (before starting r-HuEPO) up to six months. As a result of organisational procedure both within the renal wards and the haematology laboratory, most of the samples would have been analysed within 4 hours of venepuncture, but we cannot exclude a few samples having been analysed at a later time. The variables studied were haematocrit, platelet count, mean platelet volume (MPV) and platelet distribution width (PDW).
Changes in these variables were compared with baseline values and statistically analysed using Student's paired t test. A measure of the difference between the maximum value of a variable achieved over the six month period and baseline was calculated and used in the
analyses of the various subgroups (men/women; age groups; haemodialysis/intraperitoneal dialysis, etc) using the unpaired t test.
A group of 40 patients with chronic renal failure not receiving r-HuEPO but undergoing dialysis was also followed up from baseline (before starting dialysis) up to six months (22 men and 18 women, age range 24–78 years, mean 51·3 years; 29 receiving haemodialysis, 11 intraperitoneal dialysis). Unfortunately we were unable to obtain a full set of perfectly age and sex matched controls due to insufficient numbers.
A group of 30 patients who had had a myocardial infarction (post myocardial infarct) but normal renal function (16 men and 14 women) who were all given aspirin at diagnosis were also studied at baseline, three months, and six months (blood was analysed within 4 hours of venepuncture).
The control patients (those receiving dialysis but not r-HuEPO and the post myocardial infarct group receiving aspirin) were analysed using the paired t test.
**Results (fig 1)**
There was a significant increase in the mean haematocrit of the patients receiving r-HuEPO over the six month period when compared with baseline values (p < 0·01), rising from 0·24 (SEM 0·01) at baseline to 0·28 (0·02) at month 6. There was no significant difference in this increase when the following subgroups were compared: men and women; age groups 17–50 and 51–84; haemodialysis and intraperitoneal dialysis; and those patients receiving iron-dextran and those not receiving iron-dextran injections. Ten of the total 78 patients had less than a 0·05 increase from baseline in haematocrit over the six month period. There was no significant change in total platelet count over the six month period or in platelet distribution width (PDW).
Mean platelet volume (MPV) of patients receiving r-HuEPO showed a significant increase each month compared with baseline values (p < 0·001), rising from 7·322 (0·112) to 8·279 (0·169) at month 6. The 10 patients with a less than 0·05 rise in haematocrit over the six month period had the same degree of increase in MPV as the others (fig 2). These 10 patients plus five others were receiving the higher dose of r-HuEPO (75 units/kg) and this group had no statistically greater increase in MPV compared with the rest on the lower dose (50 units/kg). There were no significant differences in the increase of MPV between the various subgroups (men and women, age groups, etc) or between the 12 patients who did not receive aspirin during the six month period and the other 66 who did. Three of the 78 patients had thrombotic episodes during the six month period. The results of haematocrit, platelet count, and mean platelet volume are given in the table.
The 40 patients receiving dialysis but no erythropoietin (r-HuEPO) showed no significant change in mean platelet volume (MPV) throughout the six month period, neither did the 30 post-myocardial infarction patients receiving aspirin.
**Discussion**
We have shown a significant increase in mean platelet volume (MPV) (p < 0·001) in a group of patients with chronic renal failure treated with r-HuEPO. The dialysis process itself and medications such as aspirin and iron-dextran injections do not seem to affect the MPV. The increase in MPV does not
seem to be dependent on a rise in haematocrit under the effect of r-HuEPO as shown by the group of patients with a small rise in haematocrit, but without an increase in MPV as the others. MPV increased to the same extent under both the low and higher doses of r-HuEPO, suggesting that there is not a linear dose dependent response.
Chronic renal failure is associated with impaired haemostasis manifest in decreased platelet aggregation and prolonged bleeding times.\(^1\) Because larger platelets are more reactive and have been reported to be associated with both cerebral\(^{15}\) and myocardial infarction,\(^{16}\) we suggest that the increase in MPV shown in this study may be one factor in the correction of the haemostatic defect of chronic renal failure and the increased risk of thrombosis which is now recognised as a side effect of r-HuEPO. Platelet volume is seen as a marker for the degree of maturation of platelet\(^7\) and larger platelets are known to produce more thromboxane A\(_2\),\(^8\) contain denser granules, and secrete more serotonin and \(\beta\)-thromboglobulin compared with those of smaller size, while larger platelets are known to aggregate preferentially in the presence of adenosine diphosphate.\(^{18}\)
It used to be believed that larger platelets were younger platelets and that r-HuEPO had a simple thrombopoietin-like action\(^{12,19,20}\) resulting in increased numbers of younger and therefore larger platelets. The process of platelet production is still not fully understood, but platelets seem to be produced by fragmentation of the megakaryocyte;\(^{21}\) they do not seem to change in size as they age, and mean platelet volume (MPV) is determined at the time of megakaryocyte fragmentation into platelets.\(^{13}\)
Platelet production and megakaryocyte regulation seem to occur at multiple cellular levels\(^{22,23}\) and some cytokines are involved in the proliferative process, others with maturation.\(^{22,23}\) Human haemopoietic growth factors—interleukin-3, interleukin-6, interleukin 11, LIF (leukaemia inhibitory factor), KL (C-Kit ligand) and EPO itself—stimulate maturation of megakaryocytes which subsequently show increased size, number, and pliability,\(^{14,15,24}\) but there have been no reports on the size of platelets produced. Recent work has shown the existence of receptors for EPO on the megakaryocytes of rats and mice\(^{11,12}\) and it is possible that these are also present in man.
Our findings suggest that r-HuEPO acts as a cytokine via receptors on the megakaryocyte and that this action is manifest in the increase in MPV. If this is so, r-HuEPO does not seem to be acting as a simple "thrombopoietin"-like factor as we could show no increase in platelet count. In our study platelet count seems to be independent of platelet size, suggesting that r-HuEPO acts stochastically on megakaryocytes to produce larger platelets.
We thank the renal physicians and nursing staff of the Belfast City Hospital for allowing us to study these patients. Thanks also to Mrs Barbara Scott, Mr Derek Sterling, and Mr Cieran Ennis for their assistance with the manuscript.
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Dear Friends of Peace Pilgrim
Fifty years ago, on January 1, 1953, Peace Pilgrim began her Pilgrimage in front of the Rose Parade in Pasadena, California.
Twenty years ago, In February, 1983 when we lived in Whittier, California we received a box of the first printing of our Peace Pilgrim books, to our delight.
This year, Bruce Nichols, our web master, walked the Appalachian Trail to celebrate the fiftieth anniversary of Peace Pilgrim’s walk—she was the first woman to walk the complete trail in one year. In the next newsletter we expect to have Bruce’s report of his walk; he expects to soon have his report on the internet.
Lyudmila Androsova, a woman from St. Petersburg, Russia, is helping us with our Peace Pilgrim project until January 2, 2003. This is a very interesting time for us—working, walking, talking, doing Yoga, with one who grew up in Communist Russia.
What a blessing for old “enemies” to become good friends! We are thankful she will be with us during the Christmas rush of requests for Peace Pilgrim materials. Next time we plan to tell how much she loves Peace’s message and uses STEPS in her workshops.
Ken Lauer from Chicago, dropped by just when we needed someone to cut a huge fallen tree into fireplace size pieces. We hope he will stay longer to help with numerous jobs and to package books, STEPS, tapes and calendars for Christmas gifts that are requested. He keeps us laughing.
Gary Guthrie, a long time periodic volunteer, has taught English in several countries. He taught English in Saudia Arabia many years ago and returned with an Arabic translation of STEPS. Then he taught English in Vietnam and returned with a manuscript of STEPS in Vietnamese, that is waiting to be edited and published. Recently Gary went to Russia to talk with Luda about translating into Russian the Coloring book he and Barbara Werner had compiled.
In Brazil, Gary spoke to groups about Peace Pilgrim and a publishing house became interested. They later published the Peace Pilgrim Coloring book in French, Portuguese and Spanish.
Hello, I just finished reading STEPS TOWARD INNER PEACE and I must admit it is one of the most enlightening things I ever read. Thank you,
2002 REUNION
Sharing in the Way of Inner Peace
by Mayte-Picco-Kline.
On July 19-2002 at the Peace Pilgrim Center in Somerset, California, United States about a dozen people came together and joined in an INNER PEACE ADVENTURE in the company of our hosts Kathy Miller, and John and Ann Rush (part of the initial book compiling team and founders of Friends of Peace Pilgrim). We gathered each day and enjoyed the opportunity to share the love, humor and affection that inspires our souls in our contribution to inner peace.
We had sessions all days with these objectives in mind: (1) bring people together for inspiration and support. (2) Nurture growth for inner peace (including) time alone. (3) Plant the seeds for expansion outward.
In the early mornings we initiated the day with beautiful moments of meditation and songs from Kathy Miller, yoga with Cheryl Canfield or Tai-Chi with Bruce Nichols. Then we gathered in a circle and shared different sessions about the 12 Steps Toward Inner Peace (conducted by Cheryl Canfield), Friends of Peace Pilgrim around the world (lead by Mayte Picco-Kline and Kathy Miller), script for a film about the story of Peace Pilgrim (with Richard Roller, film script writer, and Jemila Ericson, actress), and the valuable contributions of all attendees about a variety of topics related with these areas that bring our inspiration alive.
Saturday evening, Bruce Nichols shared with us his experiences hiking the Appalachian Trail, precisely 50 years after Peace Pilgrim did it. We enjoyed delicious vegetarian meals with a candle lit on the table and quiet moments walking on the Peace Path or around the little pond by the Center. We closed our reunion with the lead of Jemila Ericson, performing some Sufi Dances of Universal Peace. Other adjacent activities included lovely visits with Ann and John Rush.
We shared our perspectives about events in the world: the recently created documentary; the extensive peace library at the Center; the newly created newsletter and the collection of Peace Pilgrim books and booklets translated into more than 25 languages and distributed in over one hundred countries.
All in all, we became inspired by our time together and look forward to new opportunities to meet again in the future.
HUMAN RIGHTS
When Mary Robinson took over as the United Nations High Commissioner for Human Rights in September 1997, she declared that she would be a voice for the voiceless, speaking for the neglected victims of human rights abuse. She kept her promise, and now it has cost her job. She left on September 11.
Robinson came to the U.N. after completing her term as president of Ireland, the first woman to hold that job. She was taking over the office of High Commissioner that had suffered years of mismanagement and neglect. She soon undertook a profound reorganization of the office, making it better able to respond to often urgent and deploring demands. She became a strong, often passionate voice on behalf of human rights and against their abusers.
Some governments, accustomed to being left alone by high-level U.N. officials, were shocked and they retaliated in turn. She particularly infuriated the United States when she issued a statement regretting the U.S. decision to walk out of the Durban race conference, jointly with Israel.
Following the terrorist attack on September 11, Robinson issued a strong condemnatory statement in which she also expressed condolences to the families of victims and pleaded for justice, not revenge in the aftermath of the attacks. And she was among the first public figures to express concerns about the potential threats to civil liberties and human rights posed by the U.S. war on terrorism. When the U.S. offensive started in Afghanistan, she often expressed concern for the civilian population and called for a humanitarian cease-fire.
This obviously did not further endear her within the Bush administration. And following her statements questioning the detention of captured Taliban prisoners held by the U.S. in Guantanamo Bay, Cuba, Washington embarked on a campaign to make sure that her term would not be extended.
She had ruffled many feathers, including those of several major players. Russia had never been her fan, and that country had been further stung by her highly critical statements about Russian military action in Chechnya.
The new High Commissioner of Human Rights faces a huge challenge. He is not only taking on a job that is, by definition, among the most difficult in the public arena, he is also succeeding a woman who made the job very visible worldwide, and who raised his expectations very high. – Excerpts from an article by Joanna Weschler in the Washington Spectator, October 1, 2002.
Almost by definition, and certainly according to its charter, the United Nations exists to promote human rights. Somewhere along the way many in the United Nations have lost this plot and allowed their work to answer to other imperatives. This is the root cause of much of the criticism that is leveled at the organization. There is an opportunity now to recapture the lost purpose of the United Nations.
– From a speech delivered by Mary Robinson
THE SEARCH FOR PEACE PILGRIM FOOTAGE
by Judy Lum
Seeing the new documentary with the original footage of Peace Pilgrim was both inspiring and gratifying. We wish to thank all of the volunteers across the U.S. for their hard work in locating video footage of Peace Pilgrim taken from the 1950’s through the 1970’s.
To Start our search for original footage, we first determined all the states and dates Peace Pilgrim visited on her various walks across the U.S. With this information we contacted as many state and local historical societies, universities and TV stations as possible.
Locating footage was a challenge because we were looking as far back as the 1950’s. Archives were often not well catalogued and Peace Pilgrim did not use her real name. We asked people to review their archives for someone named Peace Pilgrim or “a woman walking for peace.” Once we explained who she was and what she stood for, people became intrigued by her story and were willing to take the time to thoroughly comb their archives.
We also sent Peace Pilgrim’s book to everyone who was interested so they could learn more about her message of peace.
When a video clip was found we waited eagerly for the postman to deliver it, anticipating like a child a gift on Christmas. All told we found 18 separate video clips. In many cases we were allowed to use her footage without charge in our documentary, and we are grateful to those individuals and institutions.
How powerful and inspiring to see Peace Pilgrim in the new documentary “walk her talk” and deliver her message of peace across the US!
I received the six books you sent me. They are already distributed and I hope that the efforts of Peace Pilgrim and yours will multiply. I know that other lives will be touched as well as mine has been. The visions, the experience and wisdom of Peace Pilgrim is already strengthening in me the seed of happiness that I wish in all my friends and enemies.
I really appreciate your help and your love and I hope to continue helping with the search of peace in our souls.
– Elena R Carlson.
A co-worker gave me a copy of Peace’s book and I have worn it out. The back is off part of it and the binding is torn and worn. May I please have another copy.
–Sally Cooke Christian
BOOK REVIEW of PEACE QUEST
written by Kelly Guinan and illustrated by Dorothia Rohner
From the chapters “Your Story” and “Peace for the Planet,” PEACE QUEST provides 148 pages of information and inspiration for teaching peace to children. There are many pages of simple projects dealing with subjects from personal feelings to community action. Lessons can be photocopied for class work. The text is interesting and clear. Pictures are delightful and insightful. I highly recommend this beautiful book published in the United States by Kind Regards LLC, Box 33, Blair NE 68008 402-533-2615 www.celebratingpeace.com., firstname.lastname@example.org.
Reviewed by Kathy Miller.
MUSIC CREDITS
Juliana Howard and Shelly Koffler deserve special appreciation for their original songs which enhance the documentary, “Peace Pilgrim, An American Sage Who Walked Her Talk.” Juliana wrote, “Peace Walk,” which is performed by the Crayons on the CD, “Here I am God.” (World Library Publications, 3825 N. Willow Road, Schiller Park, IL 60100). Shelley wrote and performed, “Peace Pilgrim” and, “Breath of Life” from her CD, “I Become the Eagle.” (Spotted Fawn Music, PO Box 65274, Mt. Washington MD 21209). We apologize for omitting this information from the credits on the documentary. Many have told us how much they like the songs.
Thank you, Juliana and Shelly.
PRISONER – I am currently incarcerated at Wasco State Prison and I have made a few wrong turns in life which found me in prison. I too have decided to change my life, and this little stay in prison has become a stepping stone to better myself. A fellow inmate has a copy of STEPS TOWARD INNER PEACE. I have read it over a couple of times and found myself applying it to my daily practice and found it very helpful. I would like very much to read PEACE PILGRIM and begin to put that into my life.
WHITE MOUNTAINS – I just returned with my wife from a 4 day hike in the White Mountains and was thinking of our beloved Peace Pilgrim who walked in that area, since it is part of the Appalachian Trail. She was the first woman to be a through hiker on the A.T. While staying in the A.M.C. huts we met several people who were open to hear about Peace Pilgrim, and I promised that I will try to arrange for them to receive the book.
UTAH – I’m 21 years old and searching for enlightenment. I had read “Steps Toward Inner Peace” and I must say, there is a lot of spiritual enlightenment in that 32 page book. It helped me to look at life in a whole other light, and I will like to learn more about inner peace to help me with the hard times I must face in learning life’s lesson.
PENNSYLVANIA – Unbelievable! Simply amazing sometimes, and yet quite believable, because I see my good friend Jim living it! Lately he’s really in tune spiritually and it shows.
I’m loyal to my ways of life and I enjoy just seeing others of different beliefs really at peace in here. Since I’m an egotistical odd-ball I search all paths for solid foundations and in doing so I may incorporate some methods so I can deal with life’s “downs” in here.
Well, your books are really working and I’ve seen this first hand! PEACE IN PRISON is a rare thing, but sure enough your people are making an impression. Let Peace Rule.
Thanks for sending the booklets. There was much interest in them and the video at the Pax Christi convention. I’m anxious to distribute the other video to the local schools and churches. Peace’s message is so needed TODAY!! Her STEPS speak in a gentle powerful way to all seekers –Juliana
VOICES IN THE WILDERNESS
On Sunday, November 3 some of us went to the Federated Church in Placerville, CA to hear David Smith-Feri tell of his trip to Iraq to learn what life is and has been like for Iraqi citizens under the threat of a mass invasion, and what it might mean to them if this invasion occurs. He met with UN program directors, doctors, hospital patients, religious leaders, survivors of bombings, teachers, artists, merchants and ordinary Iraqis in their homes and on the streets. He showed slides of sufferings caused by the sanctions imposed on Iraq after the Gulf war. It is disheartening to think that our country is contemplating military action that will cause further widespread suffering. We are encouraged that some churches are opposed to a war with Iraq.
PEACE PILGRIM AND THE GLOBAL INTERFAITH MOVEMENT
Excerpts from an article by Sergei Bedayev
For the last decade of the former century there were some meaningful events marking a significant change in the life of humanity. The means of communications, globalization, planetary changes of the environment, war conflicts and natural disasters push humanity to realize interrelation and interconnection of everyone and everything on this planet. The idea of one human family can’t be any longer an idea of some idealistic thinkers. It becomes a reality of our daily life.
Here is the list of those events:
Parliament of the World Religions (August 28 – September 5, 1993, Chicago, U.S.A.) with its declaration “Towards a Global Ethics” (www.cpwr.org)
Parliament of the World Religions (December 1-8, 1999, Cape Town, South Africa) with its “Call to Our Guiding Institutions” (www.cpwr.org)
Millenium World Peace Summit of Religious and Spiritual Leaders (August 28-31, 2000, New York, U.S.A.) with its “Commitment to Global Peace” (www.millenniumpeace-summit.com)
Millenium Summit of UN (September 6-8, 2000, New York, U.S.A.) with its “United Nations Declaration of Millenium” (www.un.org/millennium/summit.htm)
The main ideas of those events may be summarized as follows:
A cardinal cause for humanity’s numerous problems does not lie in the outside world, it lies inside human souls;
Humanity will not be able to solve those problems unless individuals identify themselves as members of one global family and build their relationships upon global ethical principles;
Religious and spiritual people should be inspiring examples of this trend.
Here we come to Peace Pilgrim who formally has no relation to those international forums. But in fact, she anticipated on a grassroots level what has been declared as international viewpoints.
She believed that world peace would come only when enough people attain inner peace. She called us to look for peace inside.
She used simple and universal language. It was not a language of doctrines and dogmas. It was a language of heart and experience. Her principles of life are not based on some particular community customs and traditions. They are principles of Creation and are in full correspondence with the outlines of Global Ethics.
She showed us that we need not necessarily join any church or organization if we are to follow a spiritual path.
Does it mean that churches and organizations are useless? Not at all. Rather this is a demonstration that there are numerous ways to the same Reality like many paths leading to the same mountain top. Rather this is another way for those who do not feel comfortable joining a church. After Peace Pilgrim they can’t have excuses for stepping aside.
Peace Pilgrim is an outstanding example of global spirituality. Does it mean that inspired with her example we should leave our homes and daily routines and start walking along highways? Not at all. In spite of her specific mission she was not separate from us. She was a part of us, as we are parts of this wonderful universe, which in many spiritual traditions is considered as a Body of God.
I think everyone could benefit from her example taking it as an appeal to internal pilgrimage. To continue her mission, inspired with her life and her words, we can go along the roads of our souls from south to north and back overcoming evil with good, falsehood with truth and hatred with love.
PEACE VILLAGE
This summer [2002] in Portland Oregon, our church where I work, is offering a PEACE VILLAGE, an interfaith, multicultural educational program organized as a summer camp aimed at helping young people create lives of peace. Our goals are for the children to learn how to use non-violent solving skills with peers and adults. The purpose of this program is to encourage young people to find a sense of inner peace and self-confidence from which to handle life in a more peaceful and non-violent way. They will also explore other elements of peaceful living. The children will study the lives of men and women who have led lives as peacemakers, such as the Peace Pilgrim and Gandhi. This program is designed as a summer day camp experience. We hope to have 60 children, many of whom come from low income families.
I am offering a workshop on the Peace Pilgrim. Since Peace Village is designed for children who have completed Kindergarten through Eighth Grades, I am looking for ideas on how best to share her story and inspire these younger children. – Sue Nuhn, Oregon
BACKGROUND OF SUPPORT
We continue to receive the Peace Pilgrim materials sent to our facility. They have been made available to our detainee population and received with much appreciation. Thank you for your generosity and kindness. Please keep us on your mailing list. Your reading material is very much the backbone of support for those seeking help and inspiration at this time of their life. It gives me great pleasure to make it available. Keep up the good work, it is much needed and very much appreciated. – C. Bery, Chaplain at the San Diego Correctional Facility.
THE HEALING POWER OF PEACE PILGRIM’S WORDS
I encountered the life of Peace Pilgrim in 1988. I had been given the book by my brother a couple of years before, but was not intrigued enough to read it. I do remember flipping through it and thinking, “who IS this woman?” Still though, the book sat on the shelf for the next couple of years.
At this time, I was working in Northern Mexico on a project training local health promoters in a squatter settlement outside of Mexicali. I had started a non-profit corporation and believed that a life of service was my calling. Though I believed this intellectually, many things in my life were out of balance (as I would soon find out).
In the midst of trying to help others, I was ignoring my own needs, both physically and emotionally. During one stretch in Mexicali, I was living almost entirely on the sugar and coffee I was offered during my home visits, justifying this unhealthy indulgence by saying I was being polite. Truth was, I loved coffee and sweets. And here I was teaching people about nutrition, hardly a balance.
Shortly after returning home that time, I became sick with viral meningitis and was hospitalized for a few days. I was then pretty much bedridden. For several weeks I would try to get up and walk around but I would feel disoriented, dizzy, basically like I had jet-lag. I was starting to get depressed, thinking I might never get well. After all, some people did have permanent problems from meningitis.
About three weeks into this infirmity, I picked up the Peace Pilgrim book out of boredom. I was immediately captivated. I read nearly half the book in that first sitting, full of wonder and joy and excitement at this remarkable woman and her simple informed message. It felt as though as I had been waiting my entire life to meet this woman.
I remember getting up from my bed that afternoon and noticing that I felt considerably better, for me the first time in weeks within a couple of days I was nearly recovered. This was my first meeting with Peace Pilgrim and her message. She has remained a near constant companion in my heart as I seek to learn about and integrate her simple message into my life. – Paul Astin
PRISONER – Peace Pilgrim’s book was just one of the books that started a new way of living. Although I’ve moved into a comparative religions area of study, it would not have been possible to draw my own conclusion, spiritually, without inspiring books such as Peace Pilgrim’s. This and your volunteers touched this new life in a BIG way. Know that you are all responsible for opening doors that I thought were shut. It took prison to get my spiritual attention, and well worth the painful journey.
PUBLICATIONS WE OFFER (we depend on donations to cover our costs)
Peace Pilgrim, Her Life and Work in Her Own Words.
Standard, Hard Cover, Compact and Spanish.
Steps Toward Inner Peace
English, Spanish and Large Print
Peace Pilgrim, An Extraordinary Life
Peace Pilgrim Book and Steps Album
Audio Cassettes
Campbell House, Salt Lake City, Dallas, Spiritual Growth.
Videos
Special 30 minute
The Spirit of Peace Documentary, An American Sage,
Speaking To A College Class, Answering Questions,
Interviews of Peace Pilgrim, All videos in the PAL system
The Peace Pilgrim Coloring Book
English, Spanish, Portuguese & French
The 2003 Calendar
Some Back Issues of our Newsletter
Addresses of Our Books in Other Languages
Peace Pilgrim Book and Steps Album
Songs using Peace Pilgrim’s words on CD or Cassette
For further information see our offering sheet and check the web site.
✧ ✧ ✧
UTAH – Hello. I am serving a 30-yr sentence here at the Utah St. prison.
I’ve served 3 years already and in that time I’ve caused many problems. I was always getting write-ups, fines and locked-down. Nothing seemed to bother me.
Until one day, last Dec, an inmate who I picked on and tried to hurt came to me and told me God loves me. We wrote letters to each other because I didn’t want my so-called friends to know I was associating with him. I do believe in the Lord, but at that time I was drifting apart. When this inmate told me to let the Lord solve my problems and said he prayed for me. I really felt loved. For a long, long time. We’ve become good friends now.
I asked him, “why are you always smiling and cheerful? This is prison. You’re here for punishment, not to be happy.” He said he read a book about some peace pilgrim. It gave him joy and happiness all the time. He’s been like that for 5 months now. Every one thinks he has mental problems. But I know the truth.
Could you please send me and my other friend a copy of your book! That book must be special because that inmate always keeps reading it.
Thank you so much and God bless.
PEACE PILGRIM’S MESSAGE IN TANZANIA
Peace Pilgrim was first introduced in November 1993 to Mugumu Serengue, Tanzania by Rev. Christopher Nyamuma. He formed a translation committee. The purpose of a committee was to help in translating Peace Pilgrim Books and Steps into Kiswahili, the common language used in most countries in Africa. The translation group was chosen and I was among the translators in 1994. We started translating those books by volunteering ourselves. Friends of Peace Center granted us translation materials and funds for printing books. In 1996 we printed the first Kiswahili edition. 1000 copies of Peace Pilgrim book and 1500 of Steps were printed. We distributed these books in Uganda, Kenya and Tanzania.
It was a wonderful experience in my life. Peace Pilgrim’s message transformed my soul and mind while I was translating the books. The message teaches me how to live a simple life, love and care for others, and build community based on honesty, respect and inner peace.
Peace Pilgrim’s book in Kiswahili (Msafiri wa Amani) did wonderfully since it was translated into Kiswahili, and many people could read and understand it. Many people wrote to me requesting copies of the book in Kiswahili. This is the fact that proves that inner peace is an idea whose Time has Come.
Actually, I need more Kiswahili to distribute them to other African countries who use Kiswahili. These are Burundi, Malawi, Madagascar, Congo, Kenya, Somalia, and the islands of Comoros.
— By Emmanuel C. Karaka, Tanzania Religious Society of Friends.
REV. FR. PETER ADE OTUBUSIN, NIGERIA
Loving Greetings. It is wonderful to keep in touch. Your recent edition, number 35, is indeed wonderful. The idea of A Peace Pilgrim Statue on the university grounds is indeed remarkable. The words of Robert Muller are quite moving.
No doubt peace is the fount of truth and peace is the answer to all our problems. With peace many things could be transformed positively.
I am indeed grateful for the privilege of getting in touch with your Peace Pilgrim publications.
God bless you and success to the work of your hands.
GREECE – Thank you so much for sending me the newsletter; the info is a highlight in my life. Next to Gandhi and Albert Schweitzer, Peace Pilgrim and her work are the most inspiring people to me…! I wish that every prison in the world would have the PEACE PILGRIM material available and all schools would have it and offer it as teaching. Perhaps one day!!!
COMPASSIONATE LISTENING AND LOVING SPEECH
Excerpts from a speech by Thich Nhat Hanh
When you come to a negotiation table you want peace, you have hope for peace. But if you do not master the art of compassionate listening and loving speech it is very difficult for you to get concrete results.
I remember a number of years ago when I went to India and had the opportunity to meet with the chairperson of the Indian parliament, Mr. Narayan. We discussed the practice of compassionate listening and kind speech in the congress. He was very attentive to what I had to say. I said, “A few lines could be read to bring awareness into everyone’s mind, such as ‘Dear colleagues’. The people who have elected us expect that we will communicate with each other deeply using kind and respectful speech and deep listening in order to share our insight. This will enable the congress to make the best decisions for the benefit of the nation and the people. Everytime the debate is too hot, if people are insulting each other and condemning each other, then the chairperson may invite the bell of mindfulness inviting everyone to breathe in and out-breathing in calming, breathing out smiling—until the atmosphere of the congress becomes calm. Then the one who is speaking is invited to continue his or her speech.”
Mr. Narayan was very attentive to what I said. He invited me to come back and address the Indian parliament on that issue. Ten days later there was an article in a newspaper that the President had set up a committee on communication for the parliament to develop the practice of deep listening and loving speech in the congress.
I think that we may like to write our senators and representatives so that in the U.S. Congress they may try to practice deep listening and loving speech.
SOUTH AFRICA – It is so heartwarming that Peace Pilgrim’s message continues to spread in so many directions and in so many ways, radiating outward from your home which is the centre of Peace Pilgrim’s world wide mission.
I received a long interesting and loving letter from Natasha in Russia in response to my letter to her after reading your newsletter and a card on which she had written—“As cold water is to a thirsty soul, so is good news from a far country.”
FROM PORTUGAL
by Ana Sousa
It was only 3 days ago that I came across your website and heard for the first time in my life about Peace Pilgrim and what she did to sow peace in everyone’s heart and to bring peace to the whole world.
For 3 days I did nothing else but read every text I could find on the net about her. I am overwhelmed for I did not know that such a person had existed.
I am so impressed with everything I read that I am facing the possibility of opening a small space to welcome whoever in Portugal wants to become a Friend of Peace Pilgrim.
Last evening I invited 3 friends for supper to tell them about Peace Pilgrim. They were very excited and very interested. It was decided to create on the spot the AMIGOS DE PEACE PILGRIM (PORTUGAL) which will be legalized shortly.
In due time we will face the possibility of writing to the newspapers about her life and her writings.
GLOBAL SILENT PEACE WALKS
The Luther College campus in Ohio will soon (10-12-02) host monthly global silent peace walks, inspired by Peace Pilgrim. Starting Oct. 20, the peace walks will be held the third Sunday of every month. Participants will meet at the Pole on the Bell Green at 2 pm. The group will walk to the Decorah Courthouse and back to the pole in silence in order to focus on thoughts about peace.
“It is a slow peace walk in silence, with no banners, no chanting and no polarizing confrontations to practice peace” explains Nora Vincent. “Its a walk to show that peace is every step and that the voice of peacemaking and peace building is alive and steady step-by-step.”
TALKING TO CHILDREN ABOUT PEACE
by Mayte Kline
Children learn what they live. In my experience giving Peace talks to children in Mexico junior high, and Costa Rica elementary to high school, I have these suggestions:
1. Invite children to be involved from the beginning—find an interesting question for them, according to their age level, to bring alive their curiosity and enthusiasm. It can be as simple as…What do you think PEACE is?
2. Use plenty of examples from the PEACE PILGRIM book.
3. Kids love to ‘touch’ so if you have a PEACE PILGRIM tunic—let them experience it!
4. Show pictures and whatever you may have so children obtain a visual image of PEACE PILGRIM — which later on will become a symbol of peace for them. Sing a song from the PEACE PROGRAM CD.
5. In some occasions, groups of kids greeted me with pretty hand-made posters in which they selected their favorite phrase from the PEACE PILGRIM materials and pasted along a photo of her. The posters were going to be a present for their parents.
6. Make copies of PEACE PILGRIM book and select good PEACE PILGRIM sentences. Cut them in individual pieces and put them in a basket. Let each child ‘select’ a piece of paper from the basket, read it to the group, and share how that sentence relates to him/her. I have found this to be a powerful exercise to raise consciousness. In many cases they read exactly what they need to know to solve a personal situation. Many children have been deeply affected by this exercise. They love it!
7. Let them consider how can they apply what they’ve experienced in the session in their own life. Ask them to share it with the whole group as they feel comfortable doing so.
8. Invite the children to make as many questions as they wish. I have had sessions in which more than twenty hands wanted to have their turn to talk at the same time.
PENNSYLVANIA – Since discovering the “Steps” booklet last January I continue to be inspired and uplifted by Peace Pilgrim. Last year I ordered 100 booklets and I give them out to friends, family and people I don’t know but who I meet when I travel. I also ordered one copy of her book, PEACE PILGRIM. In my opinion, there’s no need for any other book on spirituality. It’s my Bible.
I am a student from Taiwan and studying in California. It is so lucky that I had a chance to read the book, PEACE PILGRIM, HER LIFE AND WORK IN HER OWN WORDS. Her behavior deeply touches me and I do appreciate these words. I decided to introduce her spirit to more people by spreading the book, PEACE PILGRIM. Please send a printers box of standard edition PEACE PILGRIM.
THE PEACE PILGRIM MOVIE PROJECT
by Richard Roller
Dear Friends of Peace Pilgrim,
We are happy to report on the progress in developing a feature film portrayal of the life of Peace Pilgrim.
From the beginning, we have worked with a circle of friends and industry professionals to produce a screen story that would speak not only to those who already consider themselves Friends of Peace Pilgrim, but to the people of the world who long for peace.
Our greatest hope is that Peace Pilgrim will go beyond mere entertainment and serve to inspire a global renaissance of the eternal principles of peace, as taught and lived by Peace Pilgrim and other great souls who came before her and who will follow.
Recently, Jemila Ericson was auditioning for a role in an ABC Hallmark Hall of Fame movie special. Karen Arthur, the director, in looking over Jemila’s resume, noticed she had performed a one-woman show as Peace Pilgrim. She told Jemila that she had worked with Paramount Pictures on some ideas for a Peace Pilgrim movie a few years before Peace passed away. At that time there was no script. Jemila, having read and been moved by our version, recommended us to Karen. Jemila got the part in Karen’s film, The Locket, and since then, Karen has gotten involved with us and will possibly direct the film.
As a result of that fateful meeting between Jemila and Karen, we now have another mentor who feels this is an important movie. She is actively guiding the projects development. Once we are finished processing Karen’s wonderful suggestions, she has offered to connect us with film industry people who may be instrumental in helping to get the Peace Pilgrim story told.
As the initiators of this project, we work on an almost daily basis to absorb and put into action the message we get from Peace’s life. Which is to take the right action and then turn over the results to God. This is not easy, because we want so much to see this movie happen. God willing, it will come to pass—and soon.
In the meantime, we will continue to keep everyone informed of our progress. If you are inspired to help us find the people and funds needed to make this vision come true, please contact us. At the very least, keep us in your prayers.
– Richard Roller, Gregory Bell
email@example.com (818)994-9318
PEACE IN MANY LANGUAGES
by Kathy Miller
A generous monetary gift from a long time supporter is enabling us to print the Arabic and Hebrew “Steps Toward Inner Peace” in the United States. This will make them available to more people. We were also able to assist Friends in Tanzania reprint both “Steps” and the Peace Pilgrim book in Kiswahili.
Other translations of the book in progress are: Chinese, Korean, Danish, Japanese, Greek and Thai. French “Steps” is being revised and reprinted. Monk Krishna Man, from Nepal, plans to come to our Center to translate “Steps” into Neopali. We received manuscripts for the Arabic and the children’s book in Russian.
Most translations are printed and distributed in the country where they have been translated. Manuscripts that are sent to us are held until we have the funding to publish them.
There is a new Peace Pilgrim Center in Lisbon, Portugal. Ana Sousa Amigos de Peregrina da Paz, Pia Principe da Beira, 8-8 Esq. 2735-523 S. Marcos, Portugal. Email: firstname.lastname@example.org.
If you know of any other translations in progress or would like to help in any way, please contact Kathy at the Peace Pilgrim Center. We greatly appreciate the dedication, support and inspiration of our friends around the world.
+ + +
MAINE – I have read the book, PEACE PILGRIM that you sent to me and my only word is “wow”. I thank you all so much. This is the most inspirational book that I have ever read. |
Subpicosecond pump–probe measurements of the electronic relaxation rates of the $S_1$ states of azulene and related compounds in polar and nonpolar solvents
Brian D. Wagner, Marian Szymanski, and Ronald P. Steer
Department of Chemistry, University of Saskatchewan, Saskatoon, Saskatchewan, Canada, S7N 0WO
(Received 7 August 1992; accepted 22 September 1992)
The lifetimes of the $S_1$ states of azulene, azulene-$d_8$, 4,6,8-trimethylazulene, and guaiazulene (1,4-dimethyl-7-isopropylazulene) have been measured in three nonviscous solvents of different polarity and structure using a two-photon, two-color, pump–probe method with subpicosecond time resolution. A significant solvent effect is measured. The rate constants for $S_1 \rightarrow S_0$ internal conversion in all four compounds in all three solvents exhibit one common $S_1 \rightarrow S_0$ energy gap law correlation, indicating that variations in the electronic relaxation rates are governed exclusively by changes in the Franck–Condon factors for the transition. No effect is observed when the exciting wavelength is changed, indicating that vibrational relaxation is occurring on a time scale which is faster than that of electronic relaxation in these systems. No significant deuterium isotope effect is measured in azulene, indicating that high frequency C–H(D) stretching vibrations do not act as significant accepting modes in the radiationless transition.
I. INTRODUCTION
Interest in the dynamic behavior of the electronically-excited, quasiequ-shell states of nonalternant aromatic hydrocarbons has remained high since the discovery of azulene’s “anomalous” $S_2 \rightarrow S_0$ fluorescence nearly four decades ago.\textsuperscript{1,2} Emission-based methods have proved most convenient for studying the relaxation of the $S_2$ states of these compounds, and have been employed in recent re-examinations of the behavior of azulene and some of its simple derivatives in both supersonic jets\textsuperscript{3,4} and in liquid solution.\textsuperscript{5} However, the $S_1$ states are almost nonfluorescent ($\phi_f \sim 10^{-6}$),\textsuperscript{6} and the electronic structures and dynamics of these lower excited states must therefore be deduced from pump–probe, optical-optical double resonance, absorption linewidth and other such measurements. Pump-probe methods have been employed most frequently in the dynamics studies, and recent advances in femtosecond laser technology\textsuperscript{7} have greatly improved the time resolution which such experiments afford.
Despite the widespread attention which has been focused on the $S_1$ states of azulene and related systems, a surprisingly large number of questions about them remain unresolved. First, substantial differences exist among the reported lifetimes of the $S_1$ state of the parent compound.\textsuperscript{5,8–18} Many of these measurements have been made in different media, using different excitation wavelengths. However, even those measurements made under ostensibly the same conditions have not yielded lifetimes which are the same within stated experimental errors. Consider, for example, the recent measurement by Schwarzer \textit{et al.}\textsuperscript{17} of $\tau(S_1) = 1.0 \pm 0.1$ ps for azulene excited at 613 nm in cyclohexane at room temperature compared with the long-accepted value of $1.9 \pm 0.2$ ps measured by Ippen \textit{et al.}\textsuperscript{12,13} under almost identical conditions. Second, the effect of the medium on the rate (and “mechanism”) of electronic relaxation remains uncertain. Lifetimes of the $S_1$ state of isolated azulene as a function of vibrational energy content have been calculated from absorption linewidth measurements in supersonic expansions,\textsuperscript{14–16} and range from 1.1 or 1.0 or 0.8 ps in the zero point level to 0.3 ps at $E_{vib} = 2417$ cm$^{-1}$. Embedding azulene in a liquid solvent is known to result in very rapid vibrational relaxation of the excited solute.\textsuperscript{17,18} However, the measured lifetimes of vibrationally relaxed $S_1$ azulene, in condensed media show no consistent trend. Thus, although Drent \textit{et al.}\textsuperscript{8} originally reported a solvent heavy atom effect, no such effect was observed by Ippen and co-workers\textsuperscript{12,13} who examined azulene in cyclohexane, benzene, benzene-$d_8$, chlorobenzene, and bromobenzene. Schwarzer \textit{et al.}\textsuperscript{17} also observed no effect on replacing cyclohexane by 1,1,2-trichlorotrifluoroethane, but obtained a significantly smaller value of $\tau(S_1)$ than Ippen and Shank.\textsuperscript{12,13} On the other hand Matsumoto \textit{et al.}\textsuperscript{18} have suggested that the difference between their measured $S_1$ electronic relaxation time (3.0 ps) and the lower values of others could be attributed to the high viscosity and/or dielectric constant of their host medium, ethylene glycol. To our knowledge a systematic study of the effect of solvent structure and solvent–solute interaction energy on the electronic relaxation rates of azulene and related compounds has not been undertaken. The intriguing question of the possible involvement of intermolecular, medium-induced perturbations in the relaxation of the $S_1$ state of azulene\textsuperscript{14} has also not yet been satisfactorily addressed.
Finally, the details of the intramolecular interactions which are responsible for the anomalously short lifetimes of the $S_1$ states of azulene and related nonalternant hydrocarbons remain largely unknown. The absence of a significant deuterium isotope effect on $S_1$’s radiationless decay rate in solution,\textsuperscript{13,17} and the large changes in the structure of the carbon skeleton on $S_1 \rightarrow S_0$ excitation\textsuperscript{15} suggest qualitatively that low frequency C–C stretching and C–C–C
bending rather than high frequency in-plane C–H(D) stretching vibrations are the primary accepting modes in the intramolecular radiationless decay.\textsuperscript{19} However, the frequencies of many optically inactive low frequency modes of the $S_1$ and $S_2$ states azulene are unknown,\textsuperscript{15} and detailed calculations of the complete set of Franck–Condon factors for the $S_2 \rightarrow S_0^u$ and $S_2 \rightarrow S_1^u$ processes have therefore not been possible.
In this paper we employ fast time-resolved, pump-probe methods to re-examine the dynamics of the $S_1$ states of azulene and some of its simple derivatives in solution. We assess the effect of solvent and excitation wavelength on their electronic relaxation rates and thus provide information which will be of use in formulating a more satisfactory model for $S_1 \rightarrow S_0$ internal conversion in these compounds.
II. EXPERIMENTAL DETAILS
Azulene (AZ) and guaiazulene (GAZ, 1,4-dimethyl-7-isopropyl-azulene), both from Aldrich, were used as received. Azulene-$d_8$ ($\text{AZ-d}_8$) was kindly supplied by Professor B. Nickel. 4,6,8-trimethylazulene (TMA) was synthesized and purified according to the method of Garst et al.\textsuperscript{20} The laser dyes DCM, pyridine-1, and nNPO (Exciton) were used as received. Acetonitrile and 1,1,2-trichlorotrifluoroethane (MeCN and TCE; both BDH Omnisolv) were used as received. Cyclohexane (CH; BDH Omnisolv) was fractionally distilled before use. $S_1$ energies were determined from the wavelengths of the 0–0 bands in the absorption spectra in each solvent.
The experimental set-up for the pump–probe measurements is shown schematically in Fig. 1. (The sources of the various commercially available components are given in the figure caption.) The output (light-stabilized mode) of a mode-locked Nd:YAG laser (15 W) is passed through a fiberoptic infrared (IR) pulse compressor\textsuperscript{21} and a second-harmonic generating crystal, and is stabilized via an acousto-optic feedback loop, yielding a train of stabilized 532 nm pulses, with an average full temporal width at half-maximum (FWHM) of $\sim 2.5$ ps and an average power of 1.0 W. This output is split into two beams of equal intensity which are used to synchronously pump two fs dye lasers, one using DCM dye (the pump), the other using pyridine-1 (the probe). This arrangement permits the wavelengths of the pump and probe lasers to be varied independently, albeit at the expense of some time resolution in the system. Each dye laser produces between 70 and 100 mW of average power, depending on the wavelength. The output pulses have a sech$^2$ shape, with a FWHM of 0.4–0.6 ps as measured by the autocorrelation technique.\textsuperscript{22}
The experiment is located on a floating table (Newport), to isolate the system from external vibrations and hence reduce the relative temporal jitter between the two trains of dye laser pulses.
The pump beam is passed through an optical delay line, consisting of a fixed mirrored right-angle prism, and a mirror retroreflector mounted on a motor-driven translation stage which has a 25 mm range. This arrangement provides a maximum delay time of 166 ps. The probe beam is passed through a polarization rotator consisting of a fresnel double rhomb mounted on a motor-driven 360° rotation stage, in order to control angle between the planes of polarization of the pump and probe beams. Both the translation and rotation stages are under computer control.
The pump and probe laser beams are collinearly counterpropagated into the sample chamber and are focused onto the sample (0.1 or 0.2 mm path length) using a pair of 3 mm diam, 1 in. focal length lenses. This gives a peak power density for each laser of $\sim 1 \times 10^5$ W/cm$^2$ at the
focus. The sample emission is collected by a spherical reflector (on the probe side) and a flat reflector (on the pump side) which direct the collected light through a focusing lens and a set of filters (to remove the fundamental laser wavelengths) to a photomultiplier tube (PMT) (cf. inset of Fig. 1). Both reflectors have 2 mm diam holes drilled through their centers, to allow passage of the laser beams. This configuration of the optics provides an emission collection solid angle of $10.5^\circ$. The PMT signal is passed through a preamplifier and a constant fraction discriminator. The resulting signal intensity is displayed as a count rate (cps) by a digital ratemeter, and is sent via an IEEE-488 interface to a computer for storage.
An experiment consists of moving the translation (or rotation) stage in appropriate increments, and collecting an average count rate at each stage position. In general, each recorded value is the average of 10 (or more) such individual readings, although if the intensity is low the single total of 10 readings may be used. Unlike other pump–probe experiments, the pump and probe beams are not chopped and a lock-in amplifier is not used for signal to noise enhancement. In this way we ensure that the whole system remains stable over the course of an entire experiment. In these circumstances, however, considerable background is generated by one-beam, two-photon absorption. The scan range is chosen so as to give a good measure of this flat base line before and after the peak, in order to permit accurate background subtraction prior to data analysis.
Deconvolution of the instrument response function is required in order to recover the sample excited state lifetime from the intensity (cps) vs stage position data. To do this, the cross-correlation function of the pump–probe system is measured using the ultraviolet (UV) laser dye $\alpha$NPO, which has a significant two-photon absorption cross section and fluoresces from its $S_1$ state with $\lambda_{\text{max}} = 390$ nm. The instrument response curve is obtained by scanning a solution of $\alpha$NPO in methanol under the same conditions and scan increment as the azulene sample. The deconvolution is performed with the standard Marquardt algorithm, using one of two equations, depending on the experiment, and assuming a single exponential function for the sample excited state decay in both cases. For the case of identical pump and probe wavelengths, a symmetrical curve of intensity vs delay is obtained, and the following equation is used:
$$I(t) = \int_{-\infty}^{\infty} G(t') \exp(-|t-t'|/\tau) dt', \quad (1)$$
where $I(t)$ is the measured intensity curve (minus the base line), $G(t)$ is the measured cross-correlation curve, and $\tau$ is the $S_1$ lifetime of the sample. For the case in which the pump wavelength is less than the probe wavelength (such that the probe laser does not promote the $S_1-S_0$ transition), an unsymmetrical curve is obtained, and the following equation is used:
$$I(t) = \int_{0}^{t} G(t') \exp[-(t-t')/\tau] dt'. \quad (2)$$
Although the fits were performed by minimizing the reduced $\chi^2$, the final $\chi^2$ value thus obtained is not reflective of the quality of the fit. Since each data point is an average of $\sim 10$ intensity (cps) readings, the data are not Poisson-distributed (as it would be for a true single photon counting experiment), and the value of the reduced $\chi^2$ cannot be used to evaluate the fit. Hence, the goodness of fit was determined by visual inspection of the fit and the plot of weighted residuals.
A typical $\alpha$NPO peak has a FWHM of 2.5 ps. Since the dye laser pulses are typically 0.5 ps wide, most of the measured cross-correlation width arises from the relative jitter between the two trains of pulses. The cross-correlation FWHM can be related to the dye laser pulse widths and the relative temporal jitter between them by the following working expressions:
$$\text{FWHM}_{\text{CC}}^2 = \text{FWHM}_{\text{DL1}}^2 + \text{FWHM}_{\text{DL2}}^2 + (\text{jitter})^2, \quad (3)$$
where DL1 and DL2 refer to the two dye lasers. Solving this using typical FWHM data gives a jitter of 2.4 ps. A typical scan of an azulene sample has a peak:base line ratio of 1.8–2.0. The maximum intensity obtained from a $6 \times 10^{-3}$ M solution of azulene was $\sim 1700$ cps (base line $\sim 1000$ cps). The emission intensity from $\alpha$NPO was very high, and a $4 \times 10^{-4}$ M solution was used to keep the peak count rate under 10 000 cps.
III. RESULTS AND DISCUSSION
Figure 2 shows the measured emission intensity and the instrument response function (two photon fluorescence...
FIG. 3. Relative emission intensity vs relative delay time and plot of weighted residuals for (a) guiazulene in CH ($\tau = 0.58$ ps); (b) guiazulene in MeCN ($\tau = 0.48$ ps); (c) trimethylazulene in CH ($\tau = 4.47$ ps); and (d) trimethylazulene in MeCN ($\tau = 5.69$ ps). Pump and probe laser wavelengths at 685 nm for guiazulene, 630 and 700 nm, respectively for trimethylazulene; $\cdots \cdot \cdot$ sample emission; --- $\alpha$NPO emission; — fit to sample emission. The base line has been subtracted from the sample and $\alpha$NPO data.
from $\alpha$NPO) as a function of the relative time delay between pulses for AZ and AZ-$d_8$ in CH and MeCN. The pump and probe wavelengths are nominally the same (685 nm) in these experiments. However, because they are generated by two different dye lasers and because the jitter between the two trains of pulses is substantial, the coherence spike observed when a single dye laser is used to produce both pump and probe beams is absent here.
Figure 3 shows the measured emission intensity as a function of relative time delay between the pulses for GAZ and TMA in CH and MeCN. For GAZ, the laser wavelengths were the same as those employed for AZ. However, in the case of TMA, different pump (630 nm) and probe (700 nm) wavelengths were used, since this compound does not exhibit measurable $S_1 \leftarrow S_0$ absorption at 685 nm (the central wavelength of overlap for the two laser dye tuning curves). The use of different pump and probe wavelengths leads to an unsymmetrical decay curve, because only the pump can promote the $S_1 \leftarrow S_0$ transition. The lifetimes of GAZ are slightly shorter, while those of TMA are significantly longer, than those of AZ and AZ-$d_8$. A significant solvent effect is again observed for TMA. In the case of GAZ, the $S_1$ lifetime is much shorter than the temporal width of the instrument response function, making accurate deconvolution difficult. The GAZ lifetimes therefore lie close to the time-resolving limit of this apparatus when it is used in the two laser, pump–probe mode. For this reason the relative error in these lifetimes is too large to permit an evaluation of a possible solvent effect in GAZ.
Table I summarizes the $S_1$ lifetime data, and also presents the measured $S_1 \leftarrow S_0$ electronic energy spacings and the values of the overall rate constants for the radiationless decay of $S_1$. The latter may be calculated accurately from $\Sigma k_{NR} = 1/\tau(S_1)$ because radiative decay contributes negligibly to the $S_1$ relaxation rate in all the systems examined here. Inspection of these data and comparison of them with previous work reveals the following:
(1) The lifetimes of AZ and AZ-$d_8$ in CH and TCE reported here are the same as those measured by Schwarzer et al., under conditions which are identical other than excitation wavelength, $\lambda_{ex}$ (685 nm vs 613 nm). These lifetimes are, however, significantly smaller than the oft-quoted value of $1.9 \pm 0.2$ ps (for $\lambda_{ex} = 615$ nm) which Ippen and co-workers report is solvent-independent.
(2) The $S_1$ lifetimes of AZ, AZ-$d_8$, and TMA are significantly longer in acetonitrile, a polar solvent, than in the two nonpolar solvents, CH and TCE. The longer lifetimes correlate qualitatively with the larger $S_1 \leftarrow S_0$ energy gaps in the more polar solvents.
(3) The lifetimes of AZ and AZ-$d_8$ are identical within a small experimental error ($\sim \pm 10\%$) in a given polar or nonpolar solvent, in agreement with previous reports. The deuterium isotope effect on $S_1$'s nonradiative electronic relaxation, $\Sigma(k_{NR})_H / \Sigma(k_{NR})_D$, is therefore $1.0 \pm 0.1$ for azulene itself in fluid solution.
TABLE I. Pump–probe results for the $S_1$ decay of azulene, azulene-$d_8$, and 4,6,8-trimethylazulene in several solvents at room temperature.
| Compound | Solvent | $\Delta E(S_1 \leftarrow S_0)/10^3$ cm$^{-1}$ | $N_{\text{meas}}^a$ | $\tau_{S_1}$/ps | $\Sigma k_{NR}/10^{11}$ s$^{-1}$ |
|-------------------|---------|---------------------------------------------|---------------------|-----------------|-------------------------------|
| guiazulene | CH | 13.72 | 4 | 0.56 $\pm$ 0.13 | 17.8 |
| | MeCN | 13.90 | 5 | 0.44 $\pm$ 0.10 | 22.7 |
| azulene | CH | 14.37 | 15 | 1.03 $\pm$ 0.10 | 9.71 |
| | TCE | 14.40 | 7 | 1.02 $\pm$ 0.13 | 9.80 |
| | MeCN | 14.66 | 6 | 1.42 $\pm$ 0.14 | 7.04 |
| azulene-$d_8$ | CH | 14.40 | 5 | 0.93 $\pm$ 0.05 | 10.3 |
| | MeCN | 14.62 | 4 | 1.40 $\pm$ 0.09 | 7.14 |
| trimethyl-azulene | CH | 15.53 | 6 | 4.0 $\pm$ 0.3 | 2.50 |
| | MeCN | 15.90 | 4 | 5.6 $\pm$ 0.1 | 1.78 |
$^a N_{\text{meas}}$ is the number of independent experiments performed in each case.
The fact that the semilogarithmic plot of Fig. 4 yields a single straight line over the available 2200 cm\(^{-1}\) span of \(\Delta E\) suggests that \(S_1 \rightarrow S_0^0\) internal conversion (IC), not intersystem crossing (ISC), is the principal radiationless relaxation process in the \(S_1\) states of these compounds. Thus \(\Sigma k_{NR} = k_{IC} > k_{ISC}\), a conclusion which is now uniformly supported,\(^{18-19}\) notwithstanding an early report to the contrary.\(^8\) The excellent energy gap law correlation also suggests that changes in \(F\) for the \(S_1 \rightarrow S_0^0\) internal conversion process are solely responsible for the observed variations in the nonradiative decay rates. Why the additional torsional states apparently do not enhance the rates of nonradiative decay of the alkyl-substituted compounds remains an open question.
Variations in \(\Delta E\) and consequent variations in \(F\) brought about either by changing the polarity of the solvent or by introducing substituents on the azulene chromophore have the same effect on \(k_{IC}\). Thus \(B_d\) appears to be the same for all four molecules, AZ, AZ-\(d_3\), TMA, and GAZ, i.e., the substitution of alkyl groups has no effect other than that of modifying the electronic energy gap. Furthermore it appears to be immaterial whether the solvent is polar (acetonitrile), nonpolar (cyclohexane), or lacks high frequency C–H oscillators (TCE). That is, the structure of the solvent is irrelevant (at least for these nonviscous liquids at room temperature), and apart from the small modification of \(\Delta E\) the medium acts as a classical inert heat bath.\(^{29}\) Within the framework of the standard theory of radiationless transitions, such a medium is one which provides for efficient vibrational thermalization of a solute, but which itself does not significantly distort or displace the solute potential surfaces. In such a medium the electronic relaxation rate should not be a function of solvent structure for the same energy gap, a condition which is clearly fulfilled for AZ in CH and TCE. Furthermore, in an inert heat bath the nonradiative electronic relaxation rate from the origin should differ from that of the isolated molecule only by an amount related to the difference in \(\Delta E\) between the solution and gas phase. Using absorption linewidth measurements Kulkarni and Kenny,\(^{16}\) Amirav and Jortner,\(^{14}\) and Suzuki and Ito\(^{15}\) have shown that the lifetime of isolated AZ \(S_1(v=0)\) lies between 1.1 and 0.8 ps. It is thus of interest to note that the value of \(k_{IC}\) for the \(v=0\) level of the \(S_1\) state of isolated azulene falls squarely on the line in Fig. 4 if the point is plotted at \(\Delta E=14.284\) cm\(^{-1}\), the electronic origin of the \(S_1 \rightarrow S_0\) transition in the gas phase.\(^{15}\) In solution at room temperature azulene molecules will, on average, possess several hundred cm\(^{-1}\) of vibrational energy (disposed largely in the optically inactive, low frequency modes\(^{15}\)). Moreover, the value of \(k_{IC}\) increases approximately linearly with increasing vibrational energy in the isolated molecule. Nevertheless, the observations that the medium appears to be "inert" and that \(k_{IC}(v=0)\) for isolated AZ falls on the solution phase energy gap correlation line suggest that \(S_1 \rightarrow S_0^0\) might occur preferentially from \(v=0\) even when \(S_1\) is in solution at room temperature. The implication of this suggestion is either that the population of low frequency optically inactive nontotally symmetric vibra-
FIG. 4. Plot of log (\(\Sigma k_{NR}\)) vs \(S_1-S_0\) energy gap for azulene and derivatives in several solvents at room temperature. Line of best fit, slope \(=-0.51 \times 10^{-3}\) cm; y-int \(=19.3\); correlation \(=0.989\). The filled symbols are for azulene-\(d_3\).
tional states in $S_1$ does not enhance the $S_1 \rightarrow S_0$ radiationless decay rate or that vibrational relaxation and redistribution occur in solution on a time scale which is fast compared with the rate of electronic relaxation. Support is available for both suggestions (vide infra).
The present results are also consistent with the observation that the lifetime of the $S_1$ state of AZ is significantly longer ($>3.3$ ps) in a naphthalene host\textsuperscript{20} in liquid He than in either the isolated molecule or fluid solution. Based on Fig. 4 the value of $\tau(S_1)$ expected for AZ-$h_2$ in an inert medium in which $\Delta E = 14.652$ cm$^{-1}$ (the $S_1-S_0$ gap in a naphthalene host\textsuperscript{20}) should be $\sim 1.4$ ps. Amirav and Jortner\textsuperscript{14} have suggested that this difference is due to "clamping" of the high amplitude, low frequency accepting modes of the azulene guest by the solid host. This suggestion is completely consistent with both spectroscopic evidence of the sensitivity of the frequency of mode 39 (C–C–C in-plane bend of $b_1$ symmetry; the molecule lies in the $xz$ plane) to the nature of the host environment,\textsuperscript{15,30} and the present results which show that the increase in $\Delta E$ should contribute no more than 20% of the increase in $\tau(S_1)$ on proceeding from the cold isolated molecule to the naphthalene host at 1.2 K. The diminished importance of low frequency vibrations as accepting modes in the solid is also consistent with the observation of a small isotope effect $(k_{IC}H^+)/k_{IC}D = 1.27$, for AZ in solid naphthalene\textsuperscript{30} compared with 1.0$\pm$0.1 in fluid solution where vibrational clamping would be negligible.
The present results are also consistent with earlier suggestions\textsuperscript{15,13,17} that the rate of vibrational relaxation of azulene in solution is considerably faster than its rate of electronic relaxation following $S_0 + h\nu \rightarrow S_1^*$ excitation, and that internal conversion occurs from the equilibrated $S_1$ state irrespective of $\lambda_{ex}$. Thus $\tau(S_1)$ for azulene in a given solvent (CH or TCE) is the same for excitation at $\lambda_{ex} = 613$ nm (Ref. 17) or 685 nm where the initial excess vibrational energy in $S_1$, $E_{vib}^*$ ranges from $\sim 1900$ cm$^{-1}$ to $\sim 230$ cm$^{-1}$, respectively. Recent direct measurements give values of the vibrational relaxation times of the first excited singlet state of azulene in ethylene glycol of 50 fs at 617 nm to 300 fs at 648 nm,\textsuperscript{18} and confirm this suggestion. Note, however, that the electronic relaxation time measured in the same study,\textsuperscript{30} 3.0 ps independent of $\lambda_{ex}$ appears to be unusually long even for a polar, viscous fluid medium.
Finally we address the question of the nature of the preferred accepting modes in the $S_1 \rightarrow S_0$ process. The complete absence of a measurable deuterium isotopic effect suggests that, unlike the alternant aromatic hydrocarbons,\textsuperscript{28} high frequency in-plane C–H(D) stretching vibrations are not important accepting modes for azulene and its derivatives in solution. By default this suggests that lower frequency oscillators which suffer the greatest distortion and/or displacement must be involved. Only nine $a$, and two $b$, vibrations are optically active in the $S_1 \leftarrow S_0$ spectrum\textsuperscript{15} and only one of these, mode 39 (C–C–C bend), undergoes a frequency change of more than 6%.\textsuperscript{15,31,32} However, from an examination of the $S_2 \rightarrow S_0$ spectra of azulene vapor in a bulb at room temperature, Ito and co-workers\textsuperscript{15,31} conclude that many low frequency out-of-plane C–C–C bending modes (three of $a_2$ symmetry and four of $b_2$ symmetry\textsuperscript{32}) also undergo substantial frequency changes between $S_0$ and $S_1$ or $S_2$.
Thus the simple energy gap law formalism developed by Engelman, Jortner, and Freed\textsuperscript{26,29} cannot be applied directly to the radiationless relaxation of azulene in its $S_1$ state. Physically meaningful results are not obtained when the slope of Fig. 4, $-0.51 \times 10^{-3}$ cm, is used together with any of the low frequency vibrations to calculate values of the exponential parameter, $\gamma = \ln(2\Delta E/\Sigma k_B\omega^2) - 1$, from the energy gap law.\textsuperscript{26}
IV. CONCLUSIONS
A significant solvent effect has been observed on the $S_1$ lifetime of azulene and three of its derivatives using a pump–probe technique with subpicosecond resolution. The rate constants for the radiationless relaxation of $S_1$ of all four compounds in three solvents of different structure and polarity all exhibit the same "energy gap law" correlation with $\Delta E(S_1-S_0)$. From this we conclude that the changes in the rates of internal conversion of the $S_1$ states are governed exclusively by changes in the Franck–Condon factors for the transitions, and that both solvent-induced and substituent-induced shifts in $\Delta E$ operate in the same fashion in this respect. Because $k_{IC}$ is the same in solvents having the same $\Delta E$ but different structure and because the value of $k_{IC}$ for isolated vibrationless azulene also correlates well with the solution phase data, we conclude that the solvent is acting as a classical heat bath in our experiments.
Changing the excitation wavelength, and hence the initial excess vibrational energy in $S_1$, has no effect on the electronic relaxation rate for $E_{vib}^*$ up to at least $\sim 2000$ cm$^{-1}$. We conclude that vibrational relaxation occurs on a time scale which is fast in comparison with that of electronic relaxation, so that $S_1$ decays from an equilibrated ensemble of molecules in these fluid solutions at room temperature.
Finally, in agreement with previous suggestions, we conclude from a measurement of the deuterium isotope effect of 1.0$\pm$0.1 that the radiationless decay of azulene $S_1$ does not involve high energy C–H(D) stretching vibrations as accepting modes to a significant extent.
ACKNOWLEDGMENTS
We are grateful to Dr. Bernhard Nickel, Max–Planck Institut für Biophysikalische Chemie, Göttingen, for supplying purified samples of azulene and azulene-d$_8$, and to Mr. Dietrich Tittelbach-Helmrich for synthesizing the 4,6,8-trimethylazulene. The research was made possible by a grant funded by the Network of Centers of Excellence Program in association with the Natural Sciences and Engineering Research Council of Canada (NSERC) and by a NSERC operating Grant. B. D. W. gratefully acknowledges the award of a NSERC Postdoctoral Fellowship.
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A REVIEW OF THE LITERATURE ON
ATTRITION FROM THE MILITARY SERVICES:
RISK FACTORS FOR ATTRITION
AND STRATEGIES TO REDUCE ATTRITION
USACHPPM REPORT NO. 12-HF-01Q9A-04
U.S. Army Center for Health Promotion and Preventive Medicine
Aberdeen Proving Ground, MD
Center for Accessions Research
Ft Knox, KY
20041108 162
Approved for public release; distribution is unlimited
Readiness Thru Health
U.S. Army Center for Health Promotion and Preventive Medicine
The lineage of the U.S. Army Center for Health Promotion and Preventive Medicine (USACHPPM) can be traced back over 50 years. This organization began as the U.S. Army Industrial Hygiene Laboratory, established during the industrial buildup for World War II, under the direct supervision of the Army Surgeon General. Its original location was at the Johns Hopkins School of Hygiene and Public Health. Its mission was to conduct occupational health surveys and investigations within the Department of Defense’s (DOD’s) industrial production base. It was staffed with three personnel and had a limited annual operating budget of three thousand dollars.
Most recently, it became internationally known as the U.S. Army Environmental Hygiene Agency (AEHA). Its mission expanded to support worldwide preventive medicine programs of the Army, DOD, and other Federal agencies as directed by the Army Medical Command or the Office of The Surgeon General, through consultations, support services, investigations, on-site visits, and training.
On 1 August 1994, AEHA was redesignated the U.S. Army Center for Health Promotion and Preventive Medicine with a provisional status and a commanding general officer. On 1 October 1995, the nonprovisional status was approved with a mission of providing preventive medicine and health promotion leadership, direction, and services for America’s Army.
The organization’s quest has always been one of excellence and the provision of quality service. Today, its goal is to be an established world-class center of excellence for achieving and maintaining a fit, healthy, and ready force. To achieve that end, the CHPPM holds firmly to its values which are steeped in rich military heritage:
- Integrity is the foundation
- Excellence is the standard
- Customer satisfaction is the focus
- Its people are the most valued resource
- Continuous quality improvement is the pathway
This organization stands on the threshold of even greater challenges and responsibilities. It has been reorganized and reengineered to support the Army of the future. The CHPPM now has three direct support activities located in Fort Meade, Maryland; Fort McPherson, Georgia; and Fitzsimons Army Medical Center, Aurora, Colorado; to provide responsive regional health promotion and preventive medicine support across the U.S. There are also two CHPPM overseas commands in Landstuhl, Germany and Camp Zama, Japan who contribute to the success of CHPPM’s increasing global mission. As CHPPM moves into the 21st Century, new programs relating to fitness, health promotion, wellness, and disease surveillance are being added. As always, CHPPM stands firm in its commitment to Army readiness. It is an organization proud of its fine history, yet equally excited about its challenging future.
**REPORT DOCUMENTATION PAGE**
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| 1. AGENCY USE ONLY (Leave blank) | 2. REPORT DATE October 2004 | 3. REPORT TYPE AND DATES COVERED Technical Report |
|----------------------------------|-----------------------------|--------------------------------------------------|
| | | |
| 4. TITLE AND SUBTITLE |
|------------------------|
| A Review of the Literature on Attrition from The Military Services: Risk Factors for Attrition and Strategies to Reduce Attrition |
| 5. FUNDING NUMBERS |
|---------------------|
| |
| 6. AUTHOR(S) |
|--------------|
| Joseph J Knapik, Bruce H Jones, Keith Hauret, Salima Darakjy, Eugene Piskator |
| 7. PERFORMING ORGANIZATION NAME(S) AND ADDRESS(ES) |
|---------------------------------------------------|
| US Army Center for Health Promotion and Preventive Medicine |
| Aberdeen Proving Ground, MD |
| 8. PERFORMING ORGANIZATION REPORT NUMBER |
|-----------------------------------------|
| 12-HF-01Q9A-04 |
| 9. SPONSORING / MONITORING AGENCY NAME(S) AND ADDRESS(ES) |
|----------------------------------------------------------|
| Center for Accesions Research |
| Ft Knox, Ky |
| 10. SPONSORING / MONITORING AGENCY REPORT NUMBER |
|-------------------------------------------------|
| |
| 11. SUPPLEMENTARY NOTES |
|-------------------------|
| |
| 12a. DISTRIBUTION / AVAILABILITY STATEMENT |
|-------------------------------------------|
| Approved for public release; distribution unlimited |
| 12b. DISTRIBUTION CODE |
|------------------------|
| |
| 13. ABSTRACT (Maximum 200 words) |
|----------------------------------|
| Attrition is the failure of an enlisted service member to be retained in service within the first term of enlistment. This paper emphasizes health/fitness-related aspects of attrition but also covers demographic and psychosocial factors. Overall 3-year military attrition steadily rose from 26% in 1985 to 31% in 1995. Demographic and psychosocial risk factors for attrition include lower educational attainment, female gender, White ethnicity, lower Army Forces Qualification Test scores, lower moral character (less conformance to laws, rules and regulations), moral waivers, previous job instability, and more time in the Delayed Entry Program. The age-attrition relationship appears to be bimodal with higher attrition when youngest, decreasing in 19-23 year olds, and rising again after that. Attrition for mental health reasons is associated with pre-service physical/sexual abuse, previous mental health counseling, previous treatment with medication, previous psychiatric hospitalization, low motivation, pessimism toward training, depression, lack of self-reliance, and referral to a mental health facility. Attrition is also higher among those waivered for hearing problems, skin disorders, back disorders, and prior knee injuries. Other health-related risk factors include pre-service injury, injuries during basic training, a history of prior cigarette smoking, low physical activity prior to service, greater body weight, higher body mass index and lower physical fitness. Strategies to reduce attrition include prescreening by biographical questionnaires, compensatory screening, individual behavioral health counseling, and realistic job previews. Senior leadership initiatives have a powerful effect on attrition. Attrition also appears to be reduced by increasing physical fitness prior to basic training, the Physical Training and Rehabilitation Program, and the Pre-Initial Entry Training Program (for National Guard). |
| 14. SUBJECT TERMS |
|-------------------|
| Demographics, Body Composition, Physical Fitness, Cigarette Smoking, Job History, Injury, Epidemiology, Waivers, Biographical Questionnaires, DEP, Leadership, Policy |
| 15. NUMBER OF PAGES |
|---------------------|
| 104 |
| 16. PRICE CODE |
|----------------|
| |
| 17. SECURITY CLASSIFICATION OF REPORT |
|---------------------------------------|
| Unclassified |
| 18. SECURITY CLASSIFICATION OF THIS PAGE |
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| Unclassified |
| 19. SECURITY CLASSIFICATION OF ABSTRACT |
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| Unclassified |
| 20. LIMITATION OF ABSTRACT |
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| |
# Table of Contents
Executive Summary ........................................................................................................ ES-1
1. REFERENCES .................................................................................................................. 1
2. INTRODUCTION ............................................................................................................. 1
a. Limitations to the Review ............................................................................................ 3
b. Special Considerations ............................................................................................... 3
c. Definitions ................................................................................................................... 3
3. PATTERN OF ATTRITION OVER TIME & REASONS FOR ATTRITION ........ 4
4. RISK FACTORS FOR ATTRITION .............................................................................. 5
a. Demographic Factors ................................................................................................. 5
(1) Educational Attainment ....................................................................................... 5
(2) Gender .................................................................................................................. 7
(3) Age ....................................................................................................................... 7
(4) Race or Ethnic Group .......................................................................................... 8
(5) Marital Status and Dependents .......................................................................... 8
b. Cognitive/Psychosocial Factors ............................................................................... 9
(1) Armed Forces Qualification Test (AFQT) Score ............................................. 9
(2) Moral Character .................................................................................................. 11
(3) Moral Waivers .................................................................................................... 12
(4) Prior Job History ................................................................................................. 13
(5) Military Job Satisfaction ..................................................................................... 14
(6) Participation in the Delayed Entry Program (DEP) ........................................ 14
c. Mental Health-Related Factors .............................................................................. 15
(1) Physical or Sexual Abuse .................................................................................... 16
(2) Mental Health History ........................................................................................ 17
(3) Attitude and Motivational Variables .................................................................. 17
(4) Depression and Other Mood States .................................................................. 18
(5) Personality Factors .............................................................................................. 18
(6) Suicide Ideation and Self Harm ......................................................................... 18
(7) Referral to Mental Health Facility ...................................................................... 19
(8) Mental Health Hospitalization ............................................................................ 19
d. General Health-Related Factors ............................................................................. 20
(1) Medical Waivers ................................................................................................ 20
(a) Attrition Associated with Any Medical Waiver ........................................ 20
(b) Waivers for Hearing Deficiencies ............................................................... 21
(c) Asthma Waivers ............................................................................................. 21
(d) Attention Deficit/Hyperactivity Disorder Waivers .................................... 21
(e) Skin and Cellular Tissue Waivers ............................................................... 22
(f) Waivers for Depression and Related Disorders ......................................... 22
(g) Waivers for Back Disorders .......................................................................... 22
(h) Waivers for Prior Knee Injury ....................................................................... 22
(2) Drug/Alcohol Use ............................................................................................... 23
(3) Cigarette Smoking .............................................................................................. 24
(4) Injury .................................................................................................................. 25
e. Physical Activity and Physical Fitness ................................................................. 26
(1) Physical Activity ......................................................................................... 27
(2) Physical Fitness ......................................................................................... 28
(3) Body Weight and Body Composition ....................................................... 31
f. Other Risk Factors ............................................................................................. 32
(1) Military Occupational Specialty .............................................................. 32
(2) Traditionality of MOS for Women ............................................................ 33
(3) Differences among Services ..................................................................... 34
g. The Interaction of Attrition Risk Factors in an Operational Setting ........... 35
h. Attributable Risk of Attrition in Relation to Fitness, Injury, and Educational Status ................................................................. 35
5. STRATEGIES TO REDUCE ATTRITION .......................................................... 37
a. Biographical Questionnaires ........................................................................... 37
(1) Concerns with the Use of Biographical Questionnaires ....................... 38
(2) Biographical Data Studies in the Military ............................................... 39
(3) Temperament Surveys .............................................................................. 42
(4) Biographical Questionnaire Items ............................................................ 44
(5) Recent Biographical Questionnaire Studies ............................................ 45
b. Compensatory Screening .............................................................................. 47
c. Psychiatric Screening ..................................................................................... 49
d. Retaining Mild Asthmatics ............................................................................ 50
e. Psychological Counseling and Stress Management Training ....................... 50
f. Realistic Job Previews ..................................................................................... 51
g. Leadership Policy, Attitudes, and Beliefs ...................................................... 53
h. Service Member Remedial Programs ............................................................ 56
(1) Overview of Basic and Advanced Training Remedial Programs ......... 56
(2) Association of Remedial Programs and Overall Attrition ..................... 57
(3) Improving Physical Fitness before Basic Training ................................. 57
(4) Army Physical Fitness Test Enhancement Program ............................... 60
(5) Army Physical Training and Rehabilitation Program ............................. 61
(6) Navy Sports Medicine and Rehabilitation Therapy Center .................... 62
(7) Functional Academic Skills Training Program ....................................... 62
(8) English as a Second Language Program ................................................ 63
(9) Conclusions Regarding Service Member Remedial Programs ............... 63
i. Incentives to Remain in Service ..................................................................... 63
(1) The Army Continuing Education System .............................................. 63
(2) Enlistment Bonuses .................................................................................. 64
j. Injuries and Attrition ....................................................................................... 65
(1) Training-Related Strategies ..................................................................... 65
(2) Equipment Modification Strategies ....................................................... 68
k. Pennsylvania Pre-Initial Entry Training Program .......................................... 71
6. SUMMARY AND CONCLUSIONS .................................................................. 71
Appendix A – References .................................................................................. A-1
Appendix B - Attrition from the Delayed Entry Program (DEP) .................. B-1
Appendix C – Acknowledgements ..................................................................... C-1
Executive Summary
A Review of the Literature on Attrition from the Military Services:
Risk Factors for Attrition and Strategies to Reduce Attrition
USACHPPM Report Number 12-HF-01Q9A-04
1. INTRODUCTION. The Center for Accessions Research (CAR) requested that the U.S. Army Center for Health Promotion and Preventive Medicine (CHPPM) review the literature on military attrition. For the purposes of this paper, attrition was defined as the failure of an enlisted service member to be retained in service during their contracted first term of enlistment. This manuscript reviews a wide range of factors influencing attrition but the primary interest is in health-related factors.
2. PATTERN OF ATTRITION OVER TIME AND REASONS FOR ATTRITION. Overall 3-year military attrition steadily rose from 26% in 1985 to 31% in 1995. About 1/3 of attrition occurred in the first 6 months of service, about ½ within the first year, and the remainder in the subsequent 2 year period. Separations within the first 6 months of service were associated with performance problems (34%), medical/physical problems (26%), erroneous or fraudulent enlistments (23%), and other reasons (17% including misconduct, excessive body weight or body fat, character or behavioral disorders, alcoholism, drug abuse and homosexuality). Separations within 7 to 48 months were associated with misconduct (34%), physical problems (15%), drug use (10%), performance problems (8%), and character or behavioral disorders (7%).
3. RISK FACTORS FOR ATTRITION. The largest volume of research has centered on demographic and psychosocial factors probably because of the large amount of personal information contained in readily available databases.
a. Demographic Factors. Individuals without a high school diploma are about twice as likely to attrite in their first term compared to those that do have a diploma. Other demographic risk factors include female gender, and White ethnicity/race. With regard to age, attrition seems to be highest for 17 or 18 year olds, decreases for 19-23 year olds, and then increases again beyond about age 24. There is conflicting data on marital status although most studies suggest higher attrition risk among married individuals.
b. Psychosocial Risk Factors. Psychosocial risk factors include lower Armed Forces Qualification Test (AFQT) scores, moral character (less pre-service conformance to laws, rules and regulations), moral waivers (enlistments granted to individuals who have minor or major legal offenses and/or pre-service illegal drug/alcohol use), pre-service job instability (unemployment when enlisted, many job changes), and less time in the Delayed Entry Program (DEP).
(1) With regard to moral character, attrition is associated with self-reported past expulsions or suspensions from school, times late for school, rebelliousness, self-reports of being charged with or suspected of a crime, traffic violations, fighting while intoxicated, and being arrested for a crime. Recruits with demonstrated felony convictions, felony arrests or non-felony convictions or arrests are more likely to receive an unsuitability/adverse discharge than those without such a history.
(2) Satisfaction with military jobs does not appear to affect 6-month attrition or attrition from basic or advanced training, possibly because trainees have not actually worked in their specialties in an operational unit. Once an individual is in an operational unit, job satisfaction does appear to be related to attrition but is more related to the organization climate and the characteristics of the job (sense of control, variety, and meaningfulness).
c. Mental Health-Related Factors. A number of studies have examined risk factors for mental health-related attrition in basic training and advanced training personnel. A history of pre-service physical or sexual abuse is a consistently demonstrated risk factor for mental health-related attrition. Previous mental health counseling, previous treatment with medication and previous psychiatric hospitalization are associated with higher attrition risk. Using questionnaires, items relating to low motivation, pessimism toward training, depression, and lack of self-reliance are associated with higher risk of attrition. About 2/3 of individuals referred to a mental health facility during basic training attrite within the first term. Within 6 months after a mental-health related hospitalization, 61% of those hospitalized attrite.
d. General Health Factors.
(1) Attrition is higher for those receiving a medical waiver of any type. Examining individual types of waivers shows that attrition is higher for those waivered for a hearing problem, a skin/cellular tissue disorder, depression, back disorders (Army only) and prior knee injury (Army only). Attrition tended to be lower for those receiving an asthma waiver. There are no differences in attrition between those waivered and not waivered for attention deficit/hyperactivity disorder.
(2) The influence of prior drug and alcohol use on attrition are conflicting possibly because various studies define drug and alcohol use/abuse differently. Heavy pre-service alcohol use does appear to increase attrition. A history of prior cigarette smoking is associated with higher attrition in basic training; a dose-response relationship can be demonstrated such that as the number of packs/day increases, attrition increases.
(3) Pre-service injury or injuries during basic training increase the likelihood of attrition. Individuals hospitalized for an injury within the first 3 months of service are about twice as likely to be discharged as those not hospitalized.
e. Physical Activity and Physical Fitness. The literature is unanimous in demonstrating low physical activity prior to service is associated with higher discharge rates in basic training. Most studies also indicate that greater body weight, higher body mass index, or less fat free mass is associated with higher attrition. Low aerobic fitness or low muscle strength is also associated with attrition in most studies but there is conflicting information. Many studies not showing a relationship between attrition and aerobic fitness have used inappropriate statistical procedures and/or used heart rate to predict aerobic capacity. Heart rate can be elevated by stress, especially in new situations, and this questions the validity of this measure in a basic training setting. It may be more appropriate to use performance tests of fitness (e.g., 1-mile run or push-ups) because individuals who achieve high scores on performance tests of fitness may demonstrate both higher physical capacity and higher motivation.
f. Other Risk Factors.
(1) Different military occupational specialties (MOS) or different groupings of MOS have different attrition rates. For the Air Force, attrition by MOS ranged from 4% to 84%. It is difficult to make broad generalizations about MOS and attrition because different studies categorize MOS differently and there are differences in jobs across the services. Physical hazards, environmental conditions, enlistment bonuses, and the potential for employment outside the military are latent factors that may influence attrition differences among MOS. Women in less traditional military occupational specialties (MOS) are more likely to attrite than women in more traditional MOS.
(2) Attrition is lowest in the Air Force. Attrition rates for the Army, Navy and Marines shift depending on the year examined. Differential attrition rates among services may reflect different policies, different leadership styles within services and/or the more physically demanding nature of some jobs.
4. STRATEGIES TO REDUCE ATTRITION. Two major categories of attrition-reduction strategies include 1) interventions that prescreen individuals before
they enter service and 2) providing special assistance or incentives to service members who are already in service.
a. Biographical Questionnaires.
(1) Biographical questionnaires (biodata) include questions regarding demographics, self-history, attitudes, behaviors, and other factors. Questionnaire responses are empirically linked to attrition. The criterion-related validity of biodata questionnaires for predicting attrition is about 0.3. There are numerous concerns with the use of biodata questionnaires including scoring techniques, changes in validity over time and across samples, reliability issues, and problems relating to coaching and faking. Instruments tested or implemented in operational settings included the Air Force History Opinion Inventory, the Navy Recruiting Background Questionnaire, the Army Military Applicant Profile, and the Department of Defense (DOD) Educational and Biographical Information Survey. A 1982 General Accounting Office (GAO) report supported the validity of biodata instruments and recommended the services consolidate their biodata instruments for cost savings and efficiency. The Armed Services Applicant Profile (ASAP) was tested and validated as a consolidated instrument. In 1989, a DOD committee postponed use of the ASAP and DOD eventually declined operational implementation because of concerns with the limitations mentioned above.
(2) Some biodata instruments contain more items relating to individual dispositions and self-perception and may be termed temperament surveys. The Assessment of Background and Life Experiences (ABLE) was developed as an instrument of this type but it was not operationally adopted because of concerns with coaching and faking. Efforts to create a faking-resistant questionnaire resulted in the Assessment of Individual Motivation (AIM) which is currently undergoing operational testing.
(3) Other biodata instruments that have been related to attrition in the peer-reviewed medical literature in the last 5 years include the Biographical Evaluation and Screening of Troops (BEST) questionnaire and the Sailor Health Inventory Program (SHIP) questionnaire. Studies show that items related to demographic, medical/physical and psychosocial factors have some ability to predict attrition and quantify risk of attrition.
c. Compensatory Screening. Compensatory screening involves mathematical models that counterbalance personal characteristics that increase attrition with personal characteristics that favor retention in service. Verifiable personal characteristics are used. Instruments adopted have included the Odds for Effectiveness (OFE), Success Chances for Recruits Entering the Navy (SCREEN), Compensatory Screening Model (CSM) and the High Performance Predictor Profile (HP3). Criterion-related validities for predicting attrition are as high as 0.20.
d. Psychiatric Screening. At the beginning of WWII, the U.S. Navy performed a 2- to 3-minute psychiatric screen of new Naval and Marine recruits. The validity of the clinical prediction from this screen was no greater than prediction from educational level, age, or aptitude.
e. Psychological Counseling and Stress Management Training. Intensive one-on-one sessions with behavioral specialists may reduce attrition in early military training. However, stress management classes involving large groups of basic trainees at high risk for attrition do not appear to be effective.
f. Realistic Job Previews. Realistic job previews (RJP) are films that are designed to provide recruits a balanced picture of the positive and/or negative aspects of the military training and operations. Some RJP provide trainees with information on how to react to specific training experiences. Most civilian and military studies show RJPs are associated with reduced attrition but further work is needed in this area.
g. Incentives To Remain in Service. Participation in tuition assistance within the first year of enlistment reduced 2-year attrition by about 5%. Studies on enlistment bonuses are conflicting.
h. Leadership Policy, Attitudes, and Beliefs. These factors affect attrition since leaders either make the final separation decisions or influence those decisions. Limited data on senior leadership initiatives have shown that they can double attrition or lower attrition by half compared to baseline attrition. When basic training attrition was reduced by senior leadership initiatives, later attrition was not different or was actually lower than baseline levels.
j. Service Member Remedial Programs. These are courses/programs put in place to assist service members in solving specific problems. Although there are numerous programs, only a few have been evaluated.
(1) Fitness- and Injury-Related Programs. The Fitness Assessment Program (FAP) evaluates the fitness of recruits on entry to basic training and provides a special physical training program for those of low fitness before they enter basic training. The FAP has been shown to reduce basic training attrition. The Army Physical Fitness Test Enhancement Program (APFTEP) provides soldiers who fail the final Army Physical Fitness Test (APFT) with a physical training program to assist them in passing the test. Trainees who entered the APFTEP had slightly lower overall basic training graduation and higher 1-year attrition than those who did not have to enter the program because they passed the final APFT. However, the APFTEP did retain a large number of soldiers who would otherwise been discharged for APFT failure. The Physical Training and Rehabilitation Program (PTRP) provides supervised training and rehabilitation for trainees severely injured in basic training. Trainees who successfully complete the PTRP had graduation rates and 2-year attrition similar to basic training.
graduates who were not injured to the extent they had to enter the PTRP. The Marine Sports Medicine and Rehabilitation Therapy (SMART) Center is for the conservative treatment of non-surgical musculoskeletal complaints and is designed to care for Marines as athletes (rather than patients) to rapidly treat and/or rehabilitate them so they can return to duty. Preliminary data suggested a large reduction in medical attrition.
(2) Academic/Cognitive-Related Programs - The Functional Academic Skills Training Program (FAST) is a voluntary program delivered by accredited civilian institutions in a typical classroom lecture setting at Army Education Centers. FAST graduates were one-tenth as likely to attrite compared to a comparison group. Individuals enrolled in the English-as-a-Second-Language program are about half as likely to attrite as a comparison group.
j. Injuries and Attrition. There are several methods or approaches to reducing injuries in military populations. Reducing the amount of running in recruit training considerably reduces injuries with little or no effect on improvements in aerobic fitness. The common practice of stretching prior to exercise does not appear to influence injury rates. Special sock systems reduce the likelihood of foot blisters. Ankle braces reduce ankle injuries during airborne operations. Promising injury-reduction strategies that require further investigation include the use of antiperspirants to reduce foot blisters, the use of special insoles in footwear, and matching running footwear to individual foot characteristics.
k. Pennsylvania Pre-Initial Entry Training Program. Designed for the National Guard, this program was a 4-day, pre-basic training course that covered basic training topics, physical fitness training and mechanical training on the M-16 and 45-caliber pistol. It emphasized identifying pre-existing and disqualifying legal and physical problems. Attrition rates for the Pennsylvania National Guard decreased from 30% to 4% after the program was initiated.
5. SUMMARY AND CONCLUSIONS.
a. There has been a considerable amount of research done on the association of demographic and psychosocial factors with attrition. Less work has been done on health- and fitness-related factors but available information suggests that many of these factors result in higher attrition risk than the demographic and psychosocial factors. Demographic and psychosocial risk factors increasing attrition risk by a factor between about 1.1 to 2.0 include lower educational level, female gender, white ethnicity, lower AFQT scores, less pre-service conformance with laws, rules, and regulations (moral character), moral waivers, factors relating to prior job history, and less time in the DEP. Health-related factors increasing risk of attrition risk by about the same amount include enlistment medical waivers, heavy pre-service alcohol use, pre-service injury, injuries in basic training, lower pre-service physical activity, higher body weight
on entry to service, and pre-service mental health history. Health- and fitness-related risk factors that appear double, triple or increase attrition risk even more include pre-service physical/sexual abuse, heavy pre-service cigarette smoking, referral to a mental health facility in basic training, a mental-health hospitalization early in service, and low physical fitness on entry to service.
b. Much of the demographic and psychosocial risk factor information has been successfully exploited to reduce attrition through the use of biographical questionnaires and compensatory screening that successfully identify individuals likely to attrite but at the risk of also screening out a number of individuals likely to succeed (false positives). Other successful attrition-reducing strategies for basic training include one-on-one behavioral counseling sessions, RJP, the FAP, the PTRP and Pre-Initial Entry Training Program (for National Guard). One of the most powerful strategies influencing attrition appears to be senior leadership initiatives. Limited data suggests that senior leadership initiatives can double attrition or lower it by half in basic and/or advanced training; this reduction does not influence later attrition although some studies suggest it may further lower later attrition. Soldiers that voluntarily take advantage of the tuition assistance program, the FAST program, and the ESL program have lower attrition but individuals enrolled in these programs may just be the more motivated service members.
c. What is missing from the literature is a comprehensive study that examines a large number of risk factors in a single investigation so their interaction and relative importance can be determined. It is possible that a number of these factors interact in ways that decrease (due to multicollinearity) or increase (due to synergistic effects) their influence on attrition risk.
1. REFERENCES. Appendix A contains the references used in this paper.
2. INTRODUCTION. Attrition has been defined as the failure of a service member to meet his or her contractual enlistment obligation ([Laurence, 1996 #1980). A more practical definition might be the failure of a service member to be retained in service during their contracted period. There are many points in a service member's military career when attrition can occur. After signing a service contract the potential recruit may be lost because he cannot obtain a contractual choice such as the desired military occupational specialty (MOS) or station of his choice. He or she can be disqualified in the Military Entrance Processing Station (MEPS) for a mental or physical problem. The recruit may decide not to join the military while awaiting a training slot in a Delayed Entry Program (DEP). Once the trainee begins basic training, he or she may encounter a number of challenges that may result in attrition. These might include psychological problems in adjusting to military life, inadequate performance on critical military tasks, or serious injury. Similar problems may manifest once the military member enters an operational unit leading to later attrition.
In the voluminous literature on attrition, the most common career points that have been examined include basic training and the "first-term". First-term attrition can be defined as a service member's separation from service before completion of his or her first contractual agreement. Other common points that have been examined include 6-months and 1, 2, 3, or 4 years. Other time points are not uncommon (e.g., 30 months, 35 months).
The Center for Accessions Research (CAR) requested that the U.S. Army Center for Health Promotion and Preventive Medicine (CHPPM) review the literature on military attrition as part of a project to determine whether or not attrition can be reduced by pre-accession physical fitness screening. The attrition review was requested to assist in understanding factors that might influence attrition in the larger context.
The purpose of this paper is to review the published literature on attrition emphasizing demographic, cognitive/psychosocial, medical, and fitness-related factors. Demographic and psychosocial factors have been covered in previous reviews (160, 177) but the current review updates and further analyzes these factors. This paper is organized to first determine the size of the attrition problem, second, to examine risk factors for attrition, and finally, to examine strategies that reduce attrition.
a. Limitations to the Review. This review is limited to attrition studies that have involved enlisted military personnel in any of the three services (Army, Navy, Air Force) including Marines. Civilian literature is sometimes cited to reinforce a point. The review is focused on attrition within the first-term and does not consider retention/attrition beyond the first-term except in a few cases where studies have included this as part of their criteria for evaluating first-term attrition (e.g., a criterion involving first-term retention plus eligibility for reenlistment). Only studies available in the published medical literature or studies/reports available at the Defense Technical Information Center (DTIC) were reviewed. In the case of a few key studies, requests to specific organizations or individuals were pursued. This cannot be considered a comprehensive review of the topic of attrition because some subject areas could not be exhaustively researched. However, this report does serve as a starting point for a more comprehensive review of specific attrition topics covered.
b. Special Considerations. Where the data is relatively consistent, a large number of studies are grouped together. Where data is conflicting, attempts are made to resolve discrepancies where possible and studies are discussed in more detail. More detailed presentations of studies are made in many cases because many studies are unique in methods, findings, or insights. In some cases, authors presented data that could be further analyzed to determine the magnitude of a relationship or size of the differences between groups. When these "secondary analyses" were performed, they are specified in the report. Where individual authors have hypothesized about possible reasons for particular associations or where it is possible for the present authors to speculate, this is included in the report.
c. Definitions. The initial training period where individuals learn the common skills for a particular service is called Basic Combat Training in the Army and Basic Military Training in the Air Force. In this review, the term "basic training" will be used to refer to this common period for all services. The period after basic training is called Advanced Individual Training in the Army and Technical training in the Air Force. For the purposes of this paper this period will be referred to as Advanced Training. When individuals leave Advanced Training they will enter what will be referred to as an operational unit. Service members in the Army, Navy, Marines and Air Force are referred to as Soldiers, Sailors, Marines, and Airmen, respectively.
3. PATTERN OF ATTRITION OVER TIME & REASONS FOR ATTRITION
Table 1 shows cumulative first-term enlisted attrition assembled by the General Accounting Office (GAO) based on analysis of data from the Defense Manpower Data Center (DMDC). It is apparent that at all career points examined, attrition is rising over the 10 year period of time. This attrition should be viewed in the context of total attrition from civilian jobs in the U.S. Individuals entering the Army tend to be relatively young with 70-76% of recruits falling into the 17-21 year old age category (137,143). Civilian literature indicates that 29% of 16-19 year olds and 22% of 20-24 year olds hold jobs for less than a year (42). Ten years after entry into the job market young men (18 years or younger) have held an average of 7 jobs and only 20% will have held a single job for this time period (248).
| Year | Career Points |
|------|---------------|
| | 0 to 6 Months | 7 to 12 Months | 13 to 24 Months | 25 to 36 Months | 37 to 48 Months |
| 1985 | 10.0 | 13.2 | 20.7 | 26.3 | 29.6 |
| 1986 | 11.1 | 14.4 | 21.5 | 27.4 | 31.4 |
| 1987 | 10.0 | 13.3 | 20.4 | 26.2 | 30.5 |
| 1988 | 10.5 | 13.9 | 20.8 | 26.6 | 31.4 |
| 1989 | 10.4 | 14.5 | 21.8 | 28.1 | 33.9 |
| 1990 | 10.4 | 14.3 | 21.4 | 28.7 | 34.2 |
| 1991 | 11.1 | 14.7 | 22.3 | 28.6 | 33.6 |
| 1992 | 11.4 | 14.8 | 22.1 | 28.2 | 33.2 |
| 1993 | 13.6 | 17.4 | 24.6 | 30.9 | 35.9 |
| 1994 | 13.5 | 17.6 | 24.7 | 31.2 | 36.9 |
| 1995 | 13.9 | 17.7 | 25.1 | 31.2 | 36.8 |
Table 1 shows that most first-term attrition occurs during the early part of service, especially during basic and advanced training. When looked at as a whole, about 1/3 of attrition occurs in the first 6 months (25,67,70,75,127), about ½ within the first year (70,75,156), and the remainder in the subsequent 2 year period (61,70). One study examining attrition for adverse reasons showed that about ½ of female attrition for adverse reasons occurred in the first 6 months (127).
Klein et al. (127) reviewed discharge packets for a stratified random sample of military members from all services who separated from service for adverse reasons. They found that mental health problems like emotional instability and failure to adapt to the military were more likely to surface early and more likely in women than in men. Mental health problems tended to decrease with longer times in service. Training-related reasons for discharge were more prevalent early in service while drug/alcohol problems tended to surface later in service as a reason for separation. This may simply relate to the fact that early in service (basic and advanced training) there is limited access to alcohol and drugs. Major and minor offenses were also more likely to emerge as reasons for discharge later in service. Over half of discharged recruits had more than 2 identifiable reasons for separating with a modal number of 3.
A GAO investigation using Fiscal Year (FY) 1998 data from the Defense Manpower Data Center (75) found that separations within the first 6 months of service occurred for 4 major reasons. Performance problems accounted for 34% of separations and included inability to adapt to the military, loss of motivation, and failure to pass mandatory training evaluations such as the physical fitness tests. Medical/physical problems accounted for 26% and included medical conditions that existed prior to service or medical problems that developed in training. Erroneous or fraudulent enlistments accounted for 23% of separations and these included detection of disqualifying conditions that were not found earlier or applicant’s deliberately withholding disqualifying information. Other reasons accounted for 17% of separations and included such disqualifications as misconduct, excessive body weight or body fat, character or behavioral disorders, alcoholism, drug abuse, and homosexuality. The GAO report (75) indicated that separations after 6 months (7 to 48 months) are more related to discipline, performance, and medical problems. In using FY 1995 data, they found that 7 to 48-month attrition was associated with misconduct (34%), physical problems (15%), drug use (10%), performance problems (8%), and character or behavioral disorders (7%).
4. RISK FACTORS FOR ATTRITION
Many factors that increase the likelihood of attrition have been examined. By far, the largest volume of research has centered on demographic and psychosocial factors. This is probably because of the large amount of personal information of this type that is contained in readily available databases like those of the DMDC.
a. Demographic Factors
(1) Educational Attainment
Perhaps the factor that is most commonly associated with early attrition is low educational attainment (14,19,36,42,43,60,61,64,67,70,72,91,92,106,111,114,121,133,145,150,153,155,157,158,163,167,172,173,176,196,197,199,200,220,236,247,252,253,262,268). A classic study of Air Force recruits (69) demonstrated that individuals possessing a high school diploma were much less likely to be discharged for unsuitability than those without a high school diploma. Subsequent work showed that those without a high school diploma were about twice as likely to attrite in their first term as those that do have a diploma (about 50% vs. 25%) (61,70,176,268). The difference between graduates and non-graduates strongly persists even after controlling for race, gender, and service (70).
Laurence (157) traces the history of educational standards and military selection from the original Flyer study (69) through the early 1990s. Prior to about 1975, no distinction was made between those that had a high school
diploma and those with alternate high school educational credentials. However, research in the 1960s and 1970s indicated that not all academic credentials were equally related to attrition (157). Other academic credentials included Certificates of Attendance, Certificates of Competency, home study certificates, non-state accredited diplomas, adult education diplomas, and other types of certificates. The difference among credentials with regard to attrition is illustrated by the General Education Development (GED) certificate. Those with GEDs have been found to have attrition rates about twice as great as those with high school diplomas (61,133,157,158,176). GED holders thus had likelihoods of success similar to non-graduates (158). The difference in attrition between GED holders and high school diploma graduates was independent of AFQT score, gender, age, race, or MOS category, and was consistent across services (61,176). In multivariate discriminate function analysis, demographics (age, AFQT, race), work history, socioeconomic factors, MOS matching and satisfaction, and socioeconomic factors did not diminish the size of the effect of high school graduation on 6-month attrition (25). However, one study (133) showed that physical fitness on entry to service and injuries in training were stronger predictors of discharge in basic training suggesting that the GED may be serving as a marker for other factors.
Currently, educational credentials are placed in three tiers, partially based on research accumulated over the last 50 years. TIER 1 consists of traditional high school graduates, alternative/continuation high school graduates, those with one semester of college (without high school diploma), or those with an adult high-school diploma graduate. TIER 2 consists of test-based equivalency diploma graduate (i.e., GED), high school certificate of attendance, alternative/continuation/ correspondence high school, and home study diploma. TIER 3 includes individuals who are non-high school graduates (no high school diploma or alternative educational credential). The services also include in TIER 1 associate degrees and higher (baccalaureate, master, nursing degrees, etc.) (155). These tiered educational categories have been shown to be systematically related to Marine basic training attrition and first-term attrition with TIER 1 having the lowest attrition and TIER 3 the highest (98). Laurence and Ramsberger (155) performed a detailed analysis of 2-year attrition in a 1988 to 1993 cohort across all the services. This analysis indicates that those with one semester of college and those with an adult education diploma have attrition similar to others in TIER 2. One semester of college with no high school diploma may reveal a continuation of the pattern of dropping out of school (155). Laurence and Ramsberger (155) also highlighted problems in the coding of educational categories in military databases.
Hypotheses about why the high school diploma is such a powerful predictor of attrition centers on the similarities between the high school and military environments. Those who achieve high school diplomas demonstrate some degree of perseverance, and cooperation with instructors and peers, and an ability to conform to rules and regulations. This achievement may
demonstrate some degree of maturity, ambition, and goal orientation. It is possible that individuals without high school diplomas have problems completing their education in formal environments where maturity, persistence, conformance, and adaptation to rules and regulations are required. The highly structured setting of basic training and the focus on task performance may be a difficult environment for dropouts (58,157,160). Providing some support for this idea, McCraw and Bearden (174) found that what distinguished Air Force recruits who were and were not discharged were psychological measures related to persistence and achievement in environments where conformance was a positive behavior. Laurence (158) noted that GED holders have not been successful in the structured and disciplined classroom environment with its rules, regulations, and cooperative necessities; GED holders may have similar problems in the structured and disciplined military environment.
(2) Gender
Women are more likely to leave the service early than are men (20,36,60, 67,70,92,133,150,220,244,247,252,268). Female attrition rates are 1.1 to 1.8 times higher than male rates depending on the study and service (20,36,60, 67,133,150,220,228,244,252,268).
Several factors about female attrition are significant. Women are typically separated for family and administrative reasons, primarily pregnancy, while men more often have attrition for adverse reasons such as alcohol/drugs, infractions, and failure to meet minimum behavioral or performance criteria (20,68,70,72,92, 220,228,244). One study of Soldiers found that when pregnancy cases were eliminated from the analysis the first-term attrition rate for men and women were identical (220). Data from a study of Sailors (228) indicated 2-year attrition rates of 32% for men and 36% for women; however, 14% of total female attrition was categorized as "pregnancy." It is possible that pregnancy may be a marker for other factors such as risk-taking or a desire to leave service but this has not been explored in any study.
The Black female attrition rate has been found to be similar to or lower than the overall male attrition rate (70,220). Women with high school diplomas or higher AFQT scores attrite at higher rates than men with high school diplomas and higher AFQT scores. The gender difference among non-diploma holders or those with lower AFQT scores is smaller (220).
(3) Age
The association between age and attrition appears to be confusing at first glance. Most studies show that older age is associated with higher attrition (25,36,114,145,148,150,153,163,196,199,200,244,253,268), but some studies show no relationship (67,133,205), no consistent relationship (43,60,172), or actually show that younger individuals are more likely to attrite (64,91). Much of
this apparent discrepancy is resolved by looking at studies that use finer age graduations. These studies show that association between age and first-term attrition is bimodal. That is, attrition seems to be highest for 17 or 18 year olds, attrition decreases for 19-23 year olds, then attrition increases again for recruits over ages 23 (70,172,200,247). A study that compiled age data by 17, 18, 19, and >19 year age groups generally supports this concept when all services were combined (25). One study that stratified first-term attrition by gender showed this pattern in men, but for women there was a more linear association such that attrition increases with age (70). Zook's (268) examination of the Project A data (discussed later) was an exception in that she showed that attrition was 22%, 23%, 27% and 33% in age categories 17, 18-20, 21-25, and 26+. In Marines, basic training attrition was higher in older individuals but older age was associated with less attrition in the first-term (114).
The explanation of the bimodal relationship between age and attrition may lie in life experience. The youngest service members have little experience with the job market and they may be more likely to make an inappropriate choice in joining the services leading to efforts to exit their contractual obligation. Older individuals may be those that have failed in other types of jobs and also fail in the military environment (25). Older individuals may also have more social maladaptive problems (160).
(4) Race or Ethnic Group
White racial/ethnic group is associated with higher attrition when compared to Blacks, Hispanics, and other racial/ethnic minorities in most studies (25,42,43, 60,67,73,91,114,133,150,167,220,244,245,247,252,268) but not all (8,19,36,63, 64,70,111,114,236). The differences among some studies may be attributed to gender. Where lower attrition rates are found among Blacks, this appears to be largely accounted for by lower attrition among Black women. Attrition among Black and White men is about the same (63,70,220,252). There is lower attrition among Black women than White women even after controlling for educational level and AFQT category (70). Black women are less likely to be discharged for failure to meet minimum behavioral or performance criteria or for pregnancy (70). It has been suggested that economic opportunity may be higher in the military for most minorities (25,220), especially Black women, and this may account for the lower attrition rate (220). The lowest overall attrition among racial/ethnic categories is for Asians (63).
(5) Marital Status and Dependents
Most studies show that service members who are married or have dependents are more likely to exit the service before completion of their enlistment contracts when compared to non-married service members (61,64,67,70,82,114,150,153,172). The higher first-term attrition among married service members is independent of age, gender, or race with one exception:
married and single Black women have similar first-term attrition (70). Georgoulakis (82) hypothesized that married individuals may be more accustomed to the social support that families provide and the lack of this in the basic training environment may be related to attrition. The overall effect of marital status on attrition is relatively small (risk ratio (married/single)~1.1) (61, 67, 70, 172).
There is some conflicting data. One study (133) found no significant association between basic training attrition and marital status but the sample size was small and this limited statistical power. The trend was in the expected direction (higher attrition among the married) with risk ratios (married/single) of about 1.1 (men) to 1.3 (women). Thomas (247) found that single Army Soldiers with one dependent had the longest time in service for first-term enlistment. Married Soldiers had longer enlistment times than single Soldiers (247). Other studies (72, 163) found a slightly lower attrition rate among Navy men with dependents regardless of education, age, race or AFQT category. The reasons for these conflicting data are not clear.
b. Cognitive/Psychosocial Factors
(1) Armed Forces Qualification Test (AFQT) Score
The AFQT is an offspring of two prior tests. In WWI the Army Alpha and Army Beta tests were developed for managers to gauge the aptitude of recruits for assignments to particular jobs. The Army General Classification Test (AGCT) replaced the Army Alpha and Beta tests during WWII. The AGCT was described as an evaluation of "general learning ability" and examined vocabulary, mathematics, and spatial relationships. From 1948-1950 the services developed the AFQT to use as a single screening device for all services. In subsequent years, the AFQT has been modified with some items dropped and others added. Some services included other tests. Since 1980, the AFQT has placed increased emphasis on verbal and quantitative items while a spatial relationships section was dropped (58).
In 1974 the Department of Defense (DOD) required all services to use a single test for screening applicants and assigning them to military occupational specialties. In 1976 this single test was used DOD-wide and was called the Armed Services Vocational Aptitude Battery (ASVAB) (58). The current AFQT is part of the ASVAB. The ASVAB consists of 9 scales derived from a 200-item questionnaire. The 9 scales are 1) General Science (25-items measuring knowledge of life science, earth and space science, and physical science), 2) Arithmetic Reasoning (30-items measuring ability to solve basic arithmetic word problems), 3) Word Knowledge (35 items measuring ability to understand the meaning of words through synonyms), 4) Paragraph Comprehension (15 items measuring ability to obtain information from written material), 5) Mathematics Knowledge (25 items measuring knowledge of mathematical concepts and
applications), 6) Electronics Information (20 items measuring knowledge of electrical current, circuits, devices, and electronic systems), 7) Auto and Shop Information (25 items measuring knowledge of automotive maintenance and repair, and wood and metal shop practices), and 8) Mechanical Comprehension (25 items measuring knowledge of the principles of mechanical devices, structural support, and properties of materials). A Numerical Operations and Coding Speed (84 items measuring speed of matching symbols and numbers) scale was recently deleted from the test despite data showing that dropping the items reduced job classification efficiency and adversely affected women (267).
The AFQT is calculated from 4 scales of the ASVAB including 1) Word Knowledge, 2) Paragraph Comprehension, 3) Arithmetic Reasoning, and 4) Mathematics Knowledge. The AFQT is computed as the standard scores of the Arithmetic Reasoning and Mathematics Knowledge scales and twice the sum of the standard scores on the Word Knowledge and Paragraph Comprehension scales. The AFQT scores are subcategorized by percentile as shown in Table 2. The AFQT categories have been used in many studies of attrition.
Table 2. AFQT Percentiles and Categories
| AFQT Percentile | AFQT Category |
|-----------------|---------------|
| 93-99 | I |
| 92-65 | II |
| 50-64 | III-A |
| 31-49 | III-B |
| 10-30 | IV |
| 1-9 | V |
Higher AFQT scores are associated with lower attrition (19,25,36,42,43,60,63,64,70,92,111,114,121,145,150,163,167,172,199,208,220,236,247,251,253,268), but the effect is not a strong one. Several studies found that the effect of AFQT on first-term attrition among Sailors and Marines was not diminished when high school diploma status was considered (43,61,70,98). Navy high school diploma graduates in AFQT Categories IIIA and lower have first term attrition rates 1.4 times higher than Categories I and II; this ratio is only 1.1 for non-high school diploma holders. Similar though weaker relationships were present for graduate and non-graduate women (61,70). The AFQT-attrition relationship is stronger in non-Blacks than in Blacks. Blacks show little or no difference in attrition across AFQT categories (63,70).
Other tests examining general knowledge have also been associated with attrition. Individuals scoring lower on the Navy General Classification Test (GCT) were at much higher first-term attrition risk than those scoring higher (153,200). McCraw and Bearden (173) found that recruits in Air Force Technical Training reporting to the mental health clinic were 2.1 times more likely to be discharged if their Intelligence Quotient was below 100 compared to above 116.
(2) Moral Character
Various studies have examined the association between attrition and what has been commonly referred to in the literature as "moral character". Moral character is generally defined in the literature as conformance to laws, rules and regulations. Moral character can be assessed from self-reports but more objective measures can be obtained from background checks that provide reports of arrests, traffic violations, detentions, and felony or misdemeanor charges and/or convictions. As part of the enlistment process, recruiters are required to ask enlistees about felonies, misdemeanors, and traffic violations (78).
Several studies have shown that self-reported past expulsions or suspensions from school were risk factors for attrition (20,106,153,154,199). Studies that have performed multivariate analysis have found that expulsions from school independently increased the risk of first-term attrition when other potential attrition risk factors were included in the model such as demographics, service satisfaction variables, education, family stability measures, physical health measures, and cognitive test scores (20,153,154,199).
Other risk factors for basic training attrition included self-reports of being charged with or suspected of a crime (106), traffic violations, times late for school (153), fighting while intoxicated, rebelliousness (244), and being arrested for a crime (20,154,253). Self-reported fighting while intoxicated was an independent risk factor for psychiatric/behavioral and legal discharges but not medical or inadequate performance discharges (244). Self-reported rebelliousness was an independent risk factor for attrition of all types (244). Self-reported arrest for a crime was independently related only to behavioral attrition (20). Self-reports of being jailed or being in a detention home were not related to basic training attrition (106).
Laurence (156) examined the association of 1-year attrition with several indicators of moral character. These included unfavorable information in the Defense Central Index of Investigations (DCII), and two scales derived from a questionnaire called the Educational and Biographical Information Survey (EBIS). The EBIS included an Arrest Scale (19 items covering self-report of fines, arrests, traffic violations, disorderly conduct, misdemeanors and felonies) and a Drug/Alcohol Use Scale (13 items covering frequency of alcohol and illegal drug use). In this study, many moral character variables were found to be significantly related to attrition. Those with unfavorable information in the DCII were 1.6 times more likely to attrite than those without unfavorable information (23% vs. 14%). Individuals with high scores on the EBIS Arrest Scale were 1.1 times more likely to be separated, while those with high scores on the Drug/Alcohol Use Scale were 1.2 times more likely to be separated.
Another study (41) performed criminal background checks on Navy recruits. The author found that recruits with felony convictions or felony arrests were 1.7 to 1.8 times more likely to receive a first-term unsuitability discharge than those without a felony history. Recruits with non-felony convictions or arrests were 1.4 to 1.7 times more likely to receive an unsuitability discharge than those without such a history. Another study (72) also performed criminal background checks on Navy recruits and found similar results. Recruits with felony pre-service legal encounters were 2.4 times more likely to be discharged in their first-term than those without such histories. Those with misdemeanors were also more likely to be discharged.
(3) Moral Waivers
Moral waivers are enlistments granted to individuals who have minor or major legal offenses and/or pre-service illegal drug/alcohol use. As noted above, recruiters are required to ask enlistees about past legal offenses and potential recruits with certain types of transgressions are required to obtain waivers before they can enter service. Offenses that can be waived differ by service (78). In FY 1990-97 moral waivers accounted for 62% of all waivers granted across the services and moral waivers were granted to 13% of all personnel enlisted. Almost 75% of moral waivers were for serious misdemeanors and pre-service drug use. Traffic offenses and minor non-traffic offenses accounted for about 20% (78).
Those with moral waivers are more likely to be discharged from service than those without moral waivers in most (19, 68, 92, 98, 145), but not all studies (152, 156, 175). Part of the discrepancy among studies is resolved by looking at the type of discharge. As might be expected, the relationship between moral waivers and attrition is weaker when all discharges are considered (175), but is stronger when the discharge is of the adverse/unsuitability type (failure to meet minimum behavioral or performance standards) (68, 92, 175). Another part of the discrepancy in the literature is due to the different treatment of Marine recruits with regard to moral waivers. Several studies have shown that Marines with and without moral waivers have 1-year and first-term attrition rates that are similar (68, 152, 156). Waivers for minor traffic violations are granted much more often for the Marines than in the other services. When minor traffic violations were removed from the data, Marines with other moral waivers had higher attrition rates than those without waivers (68, 152). The risk of attrition is generally about 1.4 times higher among service members with moral waivers compared to those without in all services except the Marines (68, 92).
AFQT category and educational level moderate the moral waiver-attrition association. Those in higher AFQT categories with a waiver had lower attrition than those in lower AFQT categories with a waiver. Waivered high school graduates were more likely to be discharged than non-waivered high school
graduates; the difference in waivered and non-waivered non high school graduates was much smaller (19,68,98,175).
The effectiveness of the moral screening process has been investigated. Moral waivers do not often match the recruit's criminal history. Two studies of Navy recruits (41,72) showed that 31% of non-felony convictions and 91 to 98% of felony convictions identified from police background checks did not match the moral waiver received by the recruit. This could be either because the recruit did not reveal the information or because the recruiter did not properly pursue the correct waiver (41).
The overall impact of this mismatch may be small. A study (225) compared two groups of naval recruits. One group was composed of recruits who revealed information about themselves that required a background check (n=78). The other group was composed of recruits who did not reveal information about themselves requiring a background check (n=510). Police background checks were performed on both groups. New information was found on 12% of the group that revealed information and 5% of the group not revealing information requiring a background check. The additional background checks required a DEP discharge for 4% of the group disclosing information and 0.2% of the group not revealing information requiring a background check.
(4) Prior Job History
It is possible that individuals who have had problems in prior employment situations may have problems with their employment in the military. However, as noted earlier, it is not unusual for younger individuals to attempt a number of jobs to see which of them matches their goals, temperaments, and skills (153,248).
Bauer et al. (14) examined Army basic and advanced trainees who were entry level separation discharges and compared these to non-discharges. Discharges were: 1) 2.3 times more likely to have been unemployed when they enlisted, 2) 0.63 times less likely to have held a supervisory position if they did work, 3) 2.5 times more likely to have been dissatisfied with previous jobs, and 4) 2.2 times more likely to have had social problems in previous jobs. Discharges were more likely to join the Army to obtain a steady job or get away from financial problems while non-discharges were more likely to have joined to receive special training.
Questionnaires that include items related to prior employment, work history, or work orientation have been shown to have criterion-related validity for attrition (73,81,252,261). Unfortunately, none of these studies provide the validity coefficients for the employment questions by themselves. One study (159) that reviewed 11 item types from questionnaires used in a military setting found that work history items ranked among the best for predictors of 6-month attrition.
Other questionnaires have suggested that prior job instability is associated with attrition. On the Life Path Questionnaire the scale most related to basic training discharge or recycling was the Authority Scale which contained a question on the number of jobs quit because of problems with a supervisor (81). Antel (8) found that joblessness at the time of enlistment or, if employed at the time of enlistment, having been jobless at least once in the last year, were associated with 6- and 36-month attrition.
(5) Military Job Satisfaction
Satisfaction with military jobs does not appear to affect 6-month attrition or attrition from basic or advanced training (25,266). Separation rates were not associated with: 1) overall job satisfaction, 2) whether or not the recruit got the job desired, or 3) other pre-enlistment knowledge of MOS (25). It is possible that those who cannot obtain the exact MOS they desire are much less likely to enter the military and that those who do take a less desirable position are merely less selective in their choice (25). Also, in the first 6 months many individuals are still in training or have just left training and have not actually worked in their specialties in an operational unit.
Once an individual is in an operational unit, job satisfaction does appear to be related to attrition. LaRocco et al. (153) evaluated job satisfaction using a questionnaire administered to Sailors who were in the operational Navy. A Need Satisfaction Scale evaluated the degree to which the Sailor's job satisfaction needs were met and a Job Involvement Scale evaluated the degree of identification with the job. Both scales were lower among those that left service before the end of their first term. Overall job satisfaction with the Navy was also lower among those who left early. Youngblood et al. (266) administered the Job Diagnostic Survey to a group of Marines and found that those who had less overall job satisfaction were more likely to leave service after assignment to a duty station than Marines who had higher job satisfaction. Allen and Bell (4) analyzed a survey given to 8,140 Soldiers assigned to 60 battalions in the continental U.S. and Europe. They found that job satisfaction was most related to organization climate and characteristics of the job (sense of control, variety, and meaningfulness). Correlations between unit-combined job satisfaction measures and unit discharges were obtained and found to be low (<0.19) and not statistically significant.
(6) Participation in the Delayed Entry Program (DEP)
The DEP has been in place since the mid-1960s. It allows individuals to sign up for the services and delay their entry into service for up to one year. The DEP is now the way over 80% of individuals enter the services (101). The program allows for better basic and advanced training planning since the flow of trainees into training can be more effectively regulated. It also provides time that trainees can use to prepare mentally and physically for military service.
Individuals in the DEP remain in their local neighborhoods and they may influence their peer group to join the services. However, the DEP does take up recruiter time since all services require at least biweekly communication and monthly face-to-face meetings between the recruiter and the DEP participant (189). The average time in the DEP was about 3-4 months in FY90-93 (167).
Longer participation in the DEP is associated with lower attrition (8,19, 25,42,43,60,70,114,145,167,208,236). The difference in attrition rates remains after controlling for educational level, AFQT category, gender, and other factors. The effect is stronger for men than for women (8,70,167). One study that examined finer time graduations (months in DEP) showed that there was a U-shape relationship between time in the DEP and subsequent basic and advanced training attrition. From about 0 to 6 months in the DEP there was a steady decrease in basic and advanced training attrition. After this attrition began to gradually increase such that by 11-12 months attrition was similar to that seen at 4-5 months in the DEP (167).
One hypothesis for the DEP-attrition association is that those who remain in the DEP longer are those waiting for more desirable MOS and when they obtain these MOS they are more likely to stay in service (8,25). However, Buddin tested this hypothesis and found no evidence for it (25). It has also been hypothesized that while in the DEP, recruits have more time to consider their selection of the military and those less committed to their initial decision drop out of the DEP before beginning active duty (8,25). Part of the DEP-attrition association appears to reflect disqualifications of seniors with low AFQT who do not graduate from high school (25). This increases the "quality" of the individual who enters from the DEP pool since they are more likely to be high school graduates with higher AFQT scores.
There are studies that have examined risk factors for attrition from the DEP and these studies are reviewed in Appendix B. These tend to be similar to risk factors for attrition once individuals begin their training but there are some unique findings.
c. Mental Health-Related Factors
A large number of studies have examined risk factors for attrition among Air Force trainees who were referred to mental health facilities. In a few cases, mental health attrition has been studied in services other than the Air Force and beyond the advanced training period (e.g., 6-months or the first-term); these studies are reviewed in the appropriate subsections. This section will first review the size of the Air Force subpopulation to define how large the problem is, then risk factors for mental health attrition.
About 4% to 6% of all Air Force recruits are referred to mental health facilities for evaluation during basic training (34,62,239). About 2/3 of these are
returned to duty and about 1/3 recommended for discharge (34,62,239). A diagnosis of adjustment disorder accounts for about ½ of all mental health referrals and slightly over ½ of referrals that are eventually discharged from service. For discharges, depressive disorders and anxiety disorders are the next most common diagnoses accounting for about 17% and 5%, respectively, of all discharges (62).
As might be expected, some demographic risk factors such as lower aptitude and White race, also found in the studies cited above using broad recruit samples, have also been found in these mental health investigations (173). Unique risk factors identified in mental health investigations include a history of physical and/or sexual abuse, past mental health history, negative attitudes, low motivation, certain mood states, personality characteristics, suicide/self-harm ideation, and the referral to the mental health facility itself.
(1) Physical or Sexual Abuse
A history of pre-service physical or sexual abuse is a consistently demonstrated risk factor for mental health-related attrition from basic training (20,30,34,46,235,239). The two studies on the prevalence of physical or sexual abuse among service trainees have found widely different prevalence values probably because of the different questionnaire instruments that have been used and different definitions of abuse. One study that administered a series of questionnaires to Naval recruits found that 41% of women and 39% of men reported parental physical violence before the age of 18. Childhood contact sexual abuse was reported by 48% of women and 35% of men. Another study (235) examined responses of Air Force recruits to the question "I believe I have been sexually abused" on the History Opinion Inventory (HOI). Prevalence of positive responses was 1.5% for men and 15.1% for women. Basic training attrition rates were higher for men who responded positively than those who did not (12% vs. 4%, p<0.01) and results were similar for women (10% vs. 6%, p<0.01).
Crawford and Fiedler (46) matched 25 Air Force recruits about to be discharged from basic training with 25 basic trainees who successfully completed training. They found that 40% of the discharged group and 4% of the control group reported physical or sexual abuse (p<0.01). Abusers were predominately male and family members. Of subjects reporting abuse, 91% said they had mental health treatment while only 23% of non-abused gave such histories.
Negative mental health symptoms may arise in basic training among those with former abuse because of the close quarters, close contact with other trainees, and the physical and emotional demands of training. Training instructors often present as harsh and aggressive individuals and trainees with previous abuse may feel they are again being abused. They may be unable to emotionally tolerate the stress (46,239).
(2) Mental Health History
The association between mental health histories and basic training attrition of trainees referred to the mental health service has been examined (34, 239). The authors of one study (34) did not provide a statistical analysis of their data but sufficient information was provided for a secondary analysis (chi-square). The following pre-service factors were significantly different ($p<0.01$) between those discharged and those not discharged (risk ratios (RR) are those with characteristic/those without characteristics): a previous mental health counseling (RR=1.7), previous treatment with medication (RR=3.3), previous psychiatric hospitalization (RR=2.8), previous physical or sexual abuse (RR=1.7), and a family member with either mental health counseling (RR=1.5), treatment with medication (RR=1.5), psychiatric hospitalization (RR=1.8), and/or drug treatment (RR=1.4). It was not possible to perform a secondary multivariate analysis. It is possible that physical/sexual abuse may be confounded with previous mental health history considering the results of Crawford et al. study cited above (46).
A previous history of alcohol or drug treatment has produced conflicting results with regard to mental health-related discharge (34, 239). A history of this type appears to be related only to psychiatric hospitalizations and recommendations for immediate discharges, but this type of discharge makes up less than 16% of all outcomes in the mental health service (239).
(3) Attitude and Motivational Variables
Attitude and motivational variables among Air Force basic training mental health referrals have been studied using biographical questionnaires (30, 34). Variables reflecting low motivation, pessimism toward training, and lack of self-reliance were associated with higher risk of attrition. In a multivariate analysis involving 59 variables, 7 variables were found to be independent risk factors for attrition. Questions most related to successful completion of basic training were expectancy of graduation ("I will graduate from training"), optimism toward training ("I look forward to learning new skills") and self-reliance ("No one is willing to listen or understand me" [scored in opposite direction]). Individuals responding negatively to these questions had adjusted odds ratios of discharge that were 1.4, 1.5 and 1.3 times higher, respectively, than those who responded positively (30). With regard to self-reliance, another study demonstrated that basic trainees who are over-dependent at the start of training were less likely to graduate (209). Mental health referrals who were discharged were more likely to have joined to escape problems back home or to please someone else and less likely to have joined for education or travel (173).
(4) Depression and Other Mood States
A higher rating of Depression on the Minnesota Multiphasic Personality Inventory (MMPI) has been shown to be an independent risk factor associated with mental health discharges (30,239) and discharges of all types (17,165,166). However, a look at a wider variety of mood states suggests other factors may be important (17,166). One study (166) found that Anxiety, Hostility, Affect, Sensation Seeking, and Depression were all related to discharge. The authors of this study noted that "it may be that young men and women who are simultaneously more anxious, depressed, hostile, and sensation seeking are more sensitive to the effects of environmental and psychological stress [of basic training]. An individual who fits this profile may engage in more acting out, increasing the likelihood of getting unwanted attention from authority figures (e.g., punishment), or engage in more self-destructive behavior or perform poorly in situations requiring cooperative teamwork, therefore increasing the likelihood of early discharge".
(5) Personality Factors
Some personality factors associated with basic training attrition have been identified. One study (28) used the Millon Clinical Multiaxial Inventory (MCMI) to predict discharges among 175 Air Force recruit referrals. The MCMI is a self-report instrument designed to help the clinician assess personality disorders and clinical syndromes. Responses to the MCMI were subjected to a factor analysis and 4 factors were identified that were termed Distress, Social Activity, Social Submissiveness, and Suspiciousness. The factors were able to correctly discriminate 77% of the return to duty Airmen and 83% of the discharged Airmen.
Another study (174) administered the California Psychological Inventory (CPI) to individuals in Air Force advanced training. The CPI is designed to assess relatively enduring personality traits reflected in 18 empirically derived scales. The scale of Dominance and the scale of Achievement via Conformance were the two that most effectively discriminated between the discharged and not-discharged Airmen or Airmen having adjustment problems. Dominance assesses factors like leadership, persistence and social initiative; low scores reflect a lack self-confidence and avoidance of stress and decision making. Achievement via Conformance is associated with achievement in settings where conformity is a positive factor; those scoring low tend to be "stubborn, insecure, opinionated, pessimistic about their occupational futures, and easily disorganized under stress or pressure to conform" (174).
(6) Suicide Ideation and Self-Harm
Another factor associated with mental health-related discharge is a self-report of suicide ideation or planning to hurt/kill self (34,239). Given 1) the command emphasis on reducing suicide incidence, 2) the amount of medical
attention that has been directed at the study of suicides, and 3) the possibility that recruits use suicide ideation as a method to obtain a discharge from service (105,218,219), this is not surprising. Suicidal intent is the single factor most associated with psychiatric hospitalization (to prevent self-injury) and immediate discharge (239). It should be noted that the clinical decision to hospitalize the trainee is based not only on ideation of suicide or self-harm but also on previous history of self-harm, family history, religious beliefs, and other factors (239).
(7) Referral to Mental Health Facility
Two studies have examined the longer-term attrition of Airmen who were returned to duty after being referred for mental health evaluations during basic training (33,214). A 5.7-year follow-up of 48 trainees found that 30 (63%) did not complete their first term (214). A follow up of 261 trainees found that 172 (66%) did not complete their 4 years of service (33). Many in this latter cohort (99 of 261) did not complete basic training (38% vs. 8% who were not referred). The simple fact of referral to the mental health clinic in basic training appears to be a strong predictor of first-term attrition.
(8) Mental Health Hospitalization
One study (149) examined the association between early hospitalization and attrition from the services. Cases were active duty service members who were hospitalized within the first 6 months of entry to service. Hospitalizations were grouped by International Classification of Diseases-Version 9 (ICD-9) codes as follows: mental disorders (ICD-9 codes 295-302.9 and 306-316), alcohol and drug dependence/abuse (ICD-9 codes 303-305.9), injuries and poisoning (ICD-9 codes 800-999), acute respiratory illness (ICD-9 codes 460-496), and other (all other ICD-9 codes). These accounted for 26%, 10%, 7%, 2% and 56%, respectively, of all hospitalizations during the first 6 months. Table 3 shows the 1- and 6-month loss rates by category. By far, mental disorders account for the largest proportion of loss after hospitalization. More than half of those hospitalized for mental disorders were lost in the first month in all services but the Marines. Over 75% of those hospitalized for mental disorders were lost within the first 6-months. A follow up study (7) confirmed that 6-month attrition was much higher among those hospitalized for psychiatric reasons, regardless of the psychiatric diagnosis. Psychiatric hospitalization was 3 times more likely than non-psychiatric hospitalization to result in attrition in 3 months and those with psychiatric hospitalization had 90% overall attrition.
Table 3. Proportion (%) of Service Members Lost from Service After Hospitalization Within the First Six Months of Service (From Reference 150)
| | 1-Month Attrition | | | 6-Month Attrition | | |
|---------------------|-------------------|-------|-------|-------------------|-------|-------|
| | Army | Navy | Marines | Air Force | Army | Navy | Marines | Air Force |
| Mental Disorders | 53 | 63 | 31 | 78 | 83 | 89 | 77 | 95 |
| Alcohol and Drug | 11 | 14 | 0 | 10 | 54 | 55 | 48 | 33 |
| Injuries/Poisoning | 10 | 11 | 9 | 20 | 28 | 27 | 32 | 38 |
| Acute Respiratory | 6 | 14 | 8 | 10 | 17 | 29 | 12 | 23 |
| Other | 8 | 11 | 7 | 12 | 24 | 24 | 21 | 23 |
Between 1990 and 1999, 13% of all hospitalizations in the four services included a diagnosis of a mental health disorder (104). Hoge et al. (104) examined attrition of all service members who were hospitalized for any reason during 1996. Hospitalizations (n=7902) with a diagnosis of a mental health disorder (ICD-9 codes 290-319) were compared to hospitalizations (n=59,969) with a diagnosis of virtually any other injury or illness (ICD-9 codes 001-289, 320-759, 780-999). Table 4 shows the results. In all categories, individuals hospitalized with a mental health disorder had much higher attrition. Two years after the hospitalization only 26% of the former mental health patients were still serving. For 1997 hospitalizations, those with mental health diagnoses had 27% attrition after 6 months while those with any other diagnosis had 9% attrition after 6 months. The authors report that these differences remained after controlling for age, gender, and length of service but they did not present these data.
Table 4. Attrition after Hospitalization in 1996 (All Military Services Combined) (From Reference 104)
| Follow-Up Period | Mental Health Disorder Hospitalization (%) | Other Than Mental Health Disorder Hospitalization (%) |
|------------------|--------------------------------------------|-----------------------------------------------------|
| 3 Months | 33 | 6 |
| 6 Months | 47 | 12 |
| 12 Months | 61 | 22 |
| 24 Months | 74 | 28 |
d. General Health-Related Factors
(1) Medical Waiver Process
Since 1814, individuals who desire to enter the services have had to meet the certain standards of medical fitness to assure they are free of contagious diseases or conditions that would involve excessive medical treatment. Since 1996, the Army Accessions Medical Standards and Analysis and Research Activity (AMSARA) has had the mission of assuring that medical accessions standards are based on the best available medical evidence (38). AMSARA has performed several studies examining the attrition among service members who have received medical waivers of various types. The most common waivers among those who entered the service were hearing loss (10%), asthma (9%), refraction error (9%), essential hypertension (5%), flat feet (5%), musculoskeletal condition (4%), knee derangement (4%), knee ligament repair (3%), neurotic disorders (2%), bone/cartilage disorder (2%), attention deficit/hyperactivity disorder (2%), and cardiovascular symptoms (2%) (150).
(a) Attrition Associated with Any Medical Waiver. One-, 2-, and 3-year attrition was compared among those who received a waiver for any medical condition and those who did not require a waiver. Table 5 shows the discharge rates adjusted for age, race, marital status, BMI, and AFQT. Attrition was 1.1 to 1.3 times higher for the waivered group compared to the non-waivered group and these differences were statistically significant for all services but the Air Force (150).
Table 5. One-, Two- and Three-Year Attrition (%) for Service Members With and Without Medical Waivers (From Reference 150)
| Attrition Years | Waiver | Army | Navy | Marines | Air Force |
|-----------------|--------|------|------|---------|-----------|
| 1 | No | 17 | 20 | 16 | 14 |
| | Yes | 21 | 22 | 18 | 15 |
| 2 | No | 23 | 26 | 20 | 18 |
| | Yes | 28 | 28 | 24 | 19 |
| 3 | No | 36 | 36 | 32 | 28 |
| | Yes | 45 | 39 | 37 | 30 |
(b) Waivers for Hearing Deficiencies. As indicated above, more waivers are granted for hearing deficiencies than for any other single medical condition accounting for 10% of all medical waivers. A study (7) examined attrition among those granted a hearing waiver. The waivered group was compared to a control group which was matched on service, gender, race, age, AFQT score, BMI, and month beginning active duty. Results are shown in Table 6. After adjusting for control variables, the relative risk of attrition for those with a hearing waiver was higher than the controls as shown in Table 6. Air Force data was not analyzed because of the small number of hearing waivers (n=12).
Table 6. Relative Risk of Attrition Among Service Members with a Hearing Deficit Waiver Compared to A Matched Control Group without a Waiver (from Reference 7); values are relative risk (waivered/not waivered); numbers in parentheses are 95% confidence intervals.
| | 6-Month Attrition | 12-Month Attrition | 36-Month Attrition |
|------------------|-------------------|--------------------|--------------------|
| Army | 1.3 (1.1-1.5) | 1.3 (1.1-1.4) | 1.2 (1.1-1.3) |
| Navy | 1.4 (1.1-1.7) | 1.4 (1.2-1.7) | 1.4 (1.2-1.6) |
| Marines | 1.1 (0.8-1.4) | 1.1 (0.9-1.4) | 1.1 (0.9-1.4) |
(c) Asthma Waivers. The medical condition that has the second highest number of waivers is asthma accounting for 9% of all medical waivers. Several reports (36,39,150) describe preliminary results of a study examining recruits who were waivered for asthma. In a peer reviewed analysis, Clark et al. (37) compared 587 waivered asthmatics to a control group matched on service, gender, month started training, and race. Over a 3-year period, discharge rates were similar, though slightly lower, for those who were waivered compared to the matched control (waivered = 22%, controls=25%, p>0.05). The probability of an asthma-related event (EPTS, hospitalization, disability discharge) was higher in the asthma group (waivered=4.3%, control=0.8%, p<0.01). A follow-up study (149) examining a total of 1,510 asthma waivers with 4,529 controls showed that the waivered group continued to have a slightly lower attrition rate (waivered=23%, not waivered 25%, p=0.09 by secondary analysis). These data generally indicate that the waiver process for asthmatics seems successful.
(d) Attention Deficit/Hyperactivity Disorder Waivers. Three studies (36,39,149) examined a total of 508 cases of attention deficit/hyperactivity disorder (ADHD) that were waivered for this problem. These ADHD waiver cases were compared to all service members who entered the military in this same time period. Discharge rates were not different for those waivered (22%) when compared to all service members (24%). In another study (39), ADHD cases (n=132) were compared to a control group matched for service, gender, race, age and month and year of service entry. Discharge rates were not
different for those waivered (22%) when compared to the matched controls (23%). These data suggested that the current waiver policy was justifiable.
(e) Skin and Cellular Tissue Waivers. There are 26 skin and cellular tissue conditions that do not allow an individual entry to the service. Waivers for these conditions can be applied for and granted. A study (150) examined attrition in 334 cases that were waivered for skin diseases and that entered any of the 4 services. The cases were matched to a control group on the basis of service, gender, race, age, and entry date to service. The two groups initiated training between January 1995 and December 1997 and were followed through September 1998. A secondary analysis performed on the data showed that 11.1% of the cases received either an EPTS or disability discharge compared to 7.2% of the controls (p=0.02).
(f) Waivers for Depression and Related Disorders. A study (149) examined individuals who were granted a waiver for "neurotic mood, somatoform, dissociative or factitious disorders". Individuals (n=502) who were waivered were compared to another group of service members (n=1501) matched for age, race, service branch, and month of entry to service. Survival analysis showed that waivered service members were much more likely to attrite than controls regardless of service.
(g) Waivers for Back Disorders. A study (150) examined attrition among service members who received a waiver for back conditions. The waivered group (n=248) was compared to another group matched on branch of service and month/year of entry into service. For the Army, waivered Soldiers had a higher probability of attrition over the study period (about 600 days). No differences were found for the Marines or Navy but the number of waivered individuals were small in these services reducing the statistical power and possibility of finding a difference. Differences for the Air Force were not analyzed because of the very small number of waivers (n=12).
(h) Waivers for Prior Knee Injury. A study (44) examined attrition among service members who received a waiver for a prior knee injury. The waivered group (n=281) was compared to a control group matched on branch of service, gender, race, age, and month and year of entry into service. Follow-up times ranged from 6 months to 30 months depending on the date of entry. Waivered Soldiers were 2.3 times more likely to get an EPTS discharge (9% vs. 4%) and 6 times more likely to get an EPTS discharge for a knee condition (6% vs. 1%) than the control group. When portioned into 3 services, survival analysis showed that the Army waivers had higher risk of attrition than Army controls but the other services did not differ with regard to waivers and controls.
(2) Drug/Alcohol Use
It is difficult to determine the influence of drug and alcohol abuse on attrition because of the conflicting data. All studies have used self-reports (questionnaires) and the various studies define drug and alcohol abuse differently.
In studies of Air Force basic trainees referred for mental health evaluation, those self-reporting a history of drug and alcohol treatment had similar discharge rates compared to those who had no such history (34). In a more detailed analysis of these mental health referrals, it was found that a history of alcohol treatment was associated with a recommendation for an immediate discharge but was not associated with a later administrative discharge. Immediate discharges made up only 8% of recommended discharges while administrative discharges made up 84% (239).
Several studies have looked at attrition in basic training in association with pre-service drug and alcohol use. Guinn et al. (90) examined a 29-item scale called the Prediction of Drug Use Admission (PDA) that was part of a questionnaire called the Health Opinion Inventory (HOI). The PDA was designed to "measure those characteristics associated with the admission of previous drug usage and subsequent discharge" (151). Trainees scoring high on the PDA scale were 4.4 times more likely to be discharged from Air Force basic training than those scoring lower.
A study of Air Force basic trainees (244) found that pre-service alcohol consumption of 8 or more drinks per day was independently related to a "legal" discharge (fraudulent enlistment or discovery of the commission of a serious offense). Those reporting 8 or more drinks per day had an adjusted risk of legal discharge 1.2 times higher than those not reporting consumption at this level (adjusted for demographics and health/psychosocial variables). Legal discharges made up 20% of total discharges in this study and heavy alcohol consumption was not independently related to discharges for psychiatric, medical, or inadequate performance reasons. A secondary analysis of the data from a study of Naval basic training (154) showed that individuals who reported pre-service alcohol use on a weekly or daily basis were 1.8 times more likely to be discharged for any reason compared to individuals who never used alcohol. Bauer et al. (14) found that discharges and non discharges from Army basic training reported the same level of pre-service drug and alcohol use except for marijuana use. For marijuana use, non-discharges were more likely to have used marijuana prior to basic training.
A study of 1-year Naval attrition (20) found that Sailors reporting frequent pre-service alcohol use were 1.4 times more likely to be discharged for any reason, 1.2 times more likely to be discharged for medical reasons, and 1.6 times more likely to be discharged for behavioral reasons; discharges for administrative
reasons were similar for frequent and less frequent alcohol users. In multivariate analysis that included 39 variables, frequent alcohol use was an independent risk factor for discharge for any reason (adjusted risk ratio=1.1) and discharge for behavioral reasons (adjusted risk ratio=1.2). Frequent alcohol use was not defined in this study.
Klein et al. (127) examined the individual discharge packets of Soldiers to obtain detailed information on their reasons for discharge. Of the 10 leading causes of discharge examined, drug and alcohol use ranked sixth and seventh, respectively, accounting for only a small proportion of the total discharges. Drug and alcohol problems became a more predominant reason for discharge the longer the Soldier was in service.
As the above review suggests, the influence of drug and alcohol use/abuse on attrition is not clear. Pre-service treatment for drug and alcohol abuse does not appear to influence overall attrition in basic training. In basic training, the influence of pre-service drug and alcohol abuse is conflicting. Beyond basic training an association between attrition and drug use would be expected because of the military policy begun in 1981 of discharging those with positive results on routine and random drug testing (179). This policy is likely to discourage those with major drug abuse problems from entering service in addition to rapidly screening out those with drug problems. Alcohol abuse beyond basic training does appear to be associated with a higher risk of discharge.
Another consideration in studying this relationship is interaction between alcohol and drug abuse with other psychosocial factors that are measured in some of the questionnaires used in the studies cited above. Kolb et al. (146) found that pre-service drug abuse in Navy men admitted to a rehabilitation center was associated with adverse family background characteristics (leaving home at an early age, negative relationships with father, living with person other than parent), police problems, school adjustment problems, and personal adjustment problems.
(3) Cigarette Smoking
A history of prior cigarette smoking is associated with higher attrition in basic training (145,154,208,238,244) and after one year in the Navy (20). Two studies found that cigarette smoking was related to Naval basic training attrition in a dose-response manner. In one study, smoking 0, 1, 2, and 3 packs/day were associated with attrition of 8%, 12%, 23%, and 28%, respectively (208). In the other study, smoking 0, 1, 2, and 3 packs/day were associated with attrition of 18%, 32%, 43%, and 54%, respectively (154).
Several hypotheses can be explored in an attempt to explain this association. It is possible that smokers have more trouble performing long-term
physical activity in basic training because of their lower aerobic capacity. However, the aerobic capacity of young smokers in basic training is similar to that of non-smokers (48,144) and a history of not running and smoking are independent risk factors for basic training attrition (145). Alternately, individuals who are smokers have been shown to be more susceptible to injuries (119,144) and illnesses (13,183) and they may have more medical problems in basic training that contribute to attrition. However, two studies (20,244) found that cigarette smoking was a risk factor for only "legal" (fraudulent enlistment or the commission of a serious offense) or "behavioral" (substandard performance, personality disorder, drug/alcohol abuse, fraudulent entry and misconduct) discharges. The association with medical attrition was very weak (20,244). This may suggest that cigarette smoking may be a marker for some yet undefined psychosocial factors (e.g., risk taking) that is linked with attrition.
(4) Injury
Pre-service injury has been found to be associated with attrition from service. In univariate analysis, naval recruits who reported a pre-service history of recurrent knee pain, limitations from past bone or joint injury, recurrent back pain, flat feet, painful shoulder/elbow, or broken bones had odds of attrition that were 1.5, 1.4, 1.4, 1.4, 1.4, and 1.3 times higher than those who did not report these histories, respectively (154). Among Sailors reporting a pre-service history of recurrent back pain or broken bones, odds of 1-year attrition were 3.7 and 2.0 times higher, respectively, than Sailors not reporting these histories (20). In multivariate analysis involving 4 demographic variables (gender, ethnicity, education, age) and 35 physical health and psychosocial variables, adjusted odds ratios were 1.5 for recurrent back pain (pain/no pain) and 1.5 for broken bones (broken bones/no broken bones) (20).
Not only does injury prior to basic training increase attrition risk, but injury during basic training increases the odds of attrition. One study (133) found that men who experienced an injury of any type during training were 3.3 times more likely to be discharged than men who were not injured. Women who experienced an injury of any type during training were 1.2 times more likely to be discharged than women who were not injured. Discharges were 2.6 to 3.8 times higher among trainees (men and women, respectively) with injuries severe enough to temporarily remove trainees from basic training, even when rehabilitation and the potential for return to training was offered to recruits who experienced these injuries.
It would be expected that a hospitalization for injury would indicate a serious injury that would increase the likelihood of attrition. One study (7) quantified this relationship. About 9% of enlisted hospitalizations within the first year of service were for an injury. Service members who were hospitalized for an injury within their first 2 years of service were compared to service members who were not hospitalized in their first 2 years of service. The 2 groups were matched on
gender, age, race, and month beginning active duty. Kaplan-Meier survival curves were presented and showed that regardless of when service members were hospitalized, those with injury hospitalizations were more likely to attrite. Attrition differences between injury hospitalizations and controls became smaller if the injury occurred later in service. Because not all demographic factors could be controlled in the matching process, Cox regression was used to adjust for other factors such as BMI, educational level, and marital status. After adjustment, attrition among those hospitalized within the first 3 months of service was found to be 1.7, 1.8, 2.6 and 2.4 times higher for injury hospitalizations compared to controls for the Army, Navy, Marines, and Air Force, respectively.
Another study (187) examined attrition among those with an injury hospitalization within the first 6-months of service. Table 7 shows the results. Sprains and strains, open wounds, other injuries and dislocations accounted for the highest 6-month attrition. Other injuries, sprains and strains, and dislocations accounted for the highest attrition after 1 year. After controlling for gender, race, age, BMI, education and AFQT performance, 12-month attrition after injury hospitalization was low compared to hospitalization for mental illness and poisoning.
Table 7. Proportion (%) of Service Members Lost from Service (6-Month and 12-Month Attrition) After Hospitalization within the First Six Months of Service (From Reference 187) (Refer to Table 1 for baseline attrition)
| Hospitalization Cause | 6-Month | 12-Month |
|----------------------------------------|---------|----------|
| Injury Hospitalization | | |
| Sprains and Strains | 33 | 45 |
| Open Wound | 33 | 38 |
| Dislocation | 29 | 43 |
| Intra cranial | 22 | 32 |
| Fracture | 20 | 35 |
| Internal Injury | 20 | 30 |
| Superficial Injury | 14 | 22 |
| Other Injury | 30 | 47 |
| Non-Injury Hospitalizations | | |
| Poisoning and Toxic | 66 | 70 |
| Mental Health | 89 | 91 |
| Respiratory Illness | 17 | 23 |
| Other | 25 | 31 |
e. Physical Activity and Physical Fitness
Physical fitness and physical activity have often been confused in the literature so a definition of these terms is an appropriate starting point. Physical activity can be defined as "any bodily movement that results in the expenditure of energy" (31). Physical fitness can be defined as "the ability to carry out daily tasks with vigor and alertness, without fatigue, and with ample energy to enjoy leisure-time pursuits and to meet unforeseen emergencies" (1). Physical activity of sufficient frequency, intensity and duration can improve physical fitness but physical activity is conceptually distinct from physical fitness. Physical activity is a behavior, fitness is a physical state produced by a particular type and amount of physical activity.
The major components of performance-related physical fitness include muscular strength, muscular endurance, cardiorespiratory endurance (aerobic capacity) and body composition. Most of these fitness components can be characterized behaviorally by types of physical activity performed, and physiologically by the energy systems used to fuel them. Muscle strength is the ability of a muscle group to exert a maximal force in a single voluntary contraction (e.g., manually lifting a box that contains as much weight as it is possible for an individual to handle). Energy is derived primarily from adenosine triphosphate (ATP) and creatine phosphate (CP) in the active muscles. Muscular endurance is the ability of a muscle group to repetitively perform short-term, high-power physical activity (e.g., manually lifting heavy boxes so that fatigue occurs in several seconds). Energy is derived primarily from glycogen in the active muscle. Cardiorespiratory endurance is the ability to sustain long-term, low-power physical activity (e.g., manually lifting boxes for several minutes or hours). Cardiorespiratory endurance depends on the functioning of the circulatory and respiratory systems and energy is primarily derived from carbohydrates and fats, some located in the active muscles, and some in other body locations (31,87,107). Body composition is an important component of fitness because muscle mass is highly correlated with absolute strength (112,113,169), power production (93), cardiorespiratory endurance (255), and the performance of many physical tasks (94,255). Individuals with more fat tend to have more difficulty performing certain tasks, especially those requiring weight bearing activity and cardiorespiratory endurance (47,255). "Physical Fitness and Military Bearing" has been identified as one of the 5 major military job performance criteria in the Army (258,268).
(1) Physical Activity
Despite differences among studies with regard to how physical activity is defined, the literature in unanimous in demonstrating low physical activity prior to service is associated with higher attrition in basic training. An early study noted that naval recruits who reported taking an active part in school sports were less likely to be discharged for unsuitability (197). Jones et al. (120) found that Army basic trainees who had not been physically active within 6 months of basic training were 3.6 (men) and 1.9 (women) times more likely to be discharged than those who were active in the 6 months before training. Snoddy and Henderson (238) noted that self-reported running and weight training in the 6 months before entry to service were associated with lower attrition in infantry basic training. Talcott et al. (244) administered a lifestyle and behavioral questionnaire to new Air Force recruits and found that recruits with low physical activity levels were 1.3-1.4 times more likely to be discharged than those with higher activity levels. In all Marine recruits reporting to boot camp from October 1995 to December 1997, Knox (145) found that individuals who reported running or jogging at least 3 times per week were much less likely to be discharged. The time prior to basic training that the exercise was performed was not specified in the article.
(2) Physical Fitness
The data on the association of fitness and attrition are not totally consistent. Some studies suggest that low physical fitness is associated with discharge but other investigations have found mixed results. It may be possible to resolve these differences.
There are 5 studies that show low fitness is associated with higher attrition in basic training. One study (133) found that men and women who scored at or below the 25\textsuperscript{th} percentile on any of the APFT events at entry were 1.9 to 3.3 times more likely to be discharged than those scoring at or above the 75\textsuperscript{th} percentile. A dose-repose was demonstrated such that progressively lower fitness levels were systematically associated with progressively higher discharge rates. Fitness was independently associated with discharge when race, educational level, marital status and injuries in basic training were considered in a multivariate analysis. An Australian study (205) demonstrated that the least aerobically fit basic trainees (based on a progressive 20-meter shuttle run) were about 6 times more likely to be discharged than trainees of average fitness. A study involving Army infantry basic trainees (238) showed that men with lower performance on any one of the three APFT events in infantry basic training were at 4.1 to 8.0 times higher risk of discharge. A study cited in a 1998 GAO report (77) indicated that those who failed the initial Marine physical fitness test were 1.8 times more likely to be discharged than those who passed the test (24% vs. 13%). Army basic training data from Ft Jackson South Carolina in 2003 shows that those who fail their first APFT were 2.2 times more likely to be discharged (7.3 vs. 3.3%) (Knapik, 2003, Unpublished data from Reference 135).
Not only is lower fitness on entry associated with higher attrition in basic training but Army trainees who have great difficulty achieving the basic training Army Physical Fitness Test (APFT) graduation standards have higher attrition later in service. One study (139) examined individuals who did not pass the APFT by the end of basic training and were sent to a special program where they worked exclusively on their fitness (the APFT Enhancement Program). The final graduation rates of these individuals were lower than recruits who graduated "on time". One-year attrition for men in this program was 26% compared to 8% for men who were not in the program; 1-year attrition for women in the program was 37% compared to 16% for women not in the program.
Three studies (32,148,245) on associations between attrition and fitness have found mixed results. In the first of these studies, Kowal et al. (148) examined the influence of a number of physical fitness factors (aerobic fitness, body composition, muscle strength) on discharges from basic training. The analysis of each fitness variable alone was not shown but discriminate function analysis indicated that for men, self perception of fitness (fitness rated on 5 point scale) distinguished between men who were and were not discharged. Self-perception of fitness, isometric trunk strength and isometric leg strength
discriminated between women who were and were not discharged. VO$_2$max, predicted from a progressive step test, did not independently discriminate between those discharged and those not discharged. It should be noted that discriminate function was not the most appropriate statistic to use to demonstrate associations with attrition. Epidemiologically-related tests of association like chi-squares, Fisher Exact Tests, or logistic regressions would have been more appropriate.
The second study showing mixed results was that of Tate (245). She examined the association of 6-month attrition with push-up performance for men; for women, attrition and an index composed of push-ups and flexed arm hang was studied, but it is not clear how this index was calculated. Unfortunately, other APFT measures were not investigated. For men, push-ups were associated with all separations from the Army but the strength of the relationship was considerably diminished when examining non-medial separations suggesting the association was stronger for medically-related separations. For women the push-ups/flexed arm hang index was not associated with 6-month attrition.
In the final study showing mixed results, Chin et al. (32) examined associations between attrition from Air Force basic training and passing the Air Force cycle ergometry test and/or two-mile run times. The Air Force cycle test estimated VO$_2$max on the basis of changes in heart rate to specific power outputs. Basic training attrition rate (which included discharges, medical holds and recycles) was 13%. Failure on the cycle test based on Air Force standards (indicative of very low fitness) was not related to attrition ($p=0.72$). However, secondary analysis indicated the small sample size ($n=50$ men and $50$ women) and low attrition rate resulted in a statistical power of only 0.14. Chin et al. (32) also examined associations between attrition and two-mile run times. Those completing basic training had faster 2 mile run times than those not completing basic training (21.3±1.4 vs. 22.5±0.4 minutes) but the 1.2 minute difference was reported as not statistically significant. Risk of attrition based on specific run times were not calculated and could not be calculated from the data provided in the article.
The discrepancy between studies which do and do not show a relationship between fitness and attrition may be resolved by examining differences between performance tests and physiological tests. A performance test can be defined as an evaluation that requires a particular fitness component or a number of fitness components and is related to the accomplishment of a specific task under the volitional control of the individual (e.g., 2-mile run, push-up). A physiological test can be defined as one that measures a specific physiological capability or condition (VO$_2$max measuring cardiorespiratory endurance, or densiometry to measure body composition). The two studies that did not show a relationship between aerobic fitness and attrition used heart rate to predict aerobic capacity just prior to basic training (32,148). Heart rate can be elevated by stress,
especially early in new situations (88,162,243) and new trainees are under considerable initial stress in basic training (188). The bicycle test used by Chin et al. can generate higher heart rates among non-cyclists than field or treadmill tests at similar power outputs (11). An elevated heart rate at a set work load on predictive VO\textsubscript{2}max tests is an indicator of lower fitness and thus if a new trainee has an elevated heart rate due to conditions other than his/her fitness level, that trainee may be incorrectly classified (32). Further, the use of heart rate to predict VO\textsubscript{2}max can be subject to errors, as great as 30% among the very fit, probably due to the asymptotic nature of the relationship between heart rate and VO\textsubscript{2} (171). However, this may not be a problem where the goal is merely to determine whether or not the individual meets a minimum fitness level (191).
Most studies that have used performance tests of aerobic fitness or muscular strength/endurance (77,133,205,238, Knapik, Unpublished data) have demonstrated that those scoring higher have less attrition. The two exceptions (32,245) have methodological problems. One study had mixed results (245), but the performance test that did not show a relationship with attrition used an undefined index of push-ups and flexed arm hang. The Chin et al. study (32) reported that those who did not complete basic training ran a 2-mile distance 1.2 minutes slower than those who did complete basic training but they provided insufficient information to calculate risk of discharge based on lower fitness levels. Individuals who achieve high scores on performance tests of fitness may demonstrate both a higher level of physical capacity and a higher level of motivation. The higher fitness level eases their effort in performing physical tasks while their higher motivation helps them complete what they start. This may be a partial explanation of the association of fitness and attrition.
Many studies and reports have recommended that new recruits should have a physical fitness test prior to entry to basic training (74,77,103,238,249,256). A 1984 TRADOC-directed study group which was reviewing the Army Trainee Discharge Program (now called an Entry Level Separation) noted that many recruits arrived in poor physical condition and that this lack of physical conditioning was a major reason for discharges. They recommended a physical fitness prescreening in the MEPS (249). A 1999 report on basic training discharges noted that 26% of recruits given an entry level separation failed their first APFT and over 70% of these failed multiple events. APFT failure was among the 3 most common items found on counseling statements. Analogous to the requirement for educational and intelligence credentials required for service entry, the report recommended a fitness screening prior to service (256). A 1998 GAO report (77) indicated that service officials acknowledge that the poor physical condition of recruits contributes to attrition. The GAO recommended that the Secretary of Defense implement a policy of administering fitness tests to recruits before basic training and the Acting Assistant Secretary of Defense concurred with this recommendation. The Secretary noted that the Army was developing a physical training plan for DEP members as well as running shoe guidance and APFT standards. However, the Acting Assistant Secretary's reply
did not directly address the issue of pre-accession testing for physical fitness (77).
(3) Body Weight and Body Composition
Several studies have examined associations between attrition and various aspects of body weight or body composition (27, 67, 114, 133, 148, 155, 224). These findings should be considered in the context of current military screening for body weight. Individuals who desire entry into the services are screened by the use of specific charts that provide maximal weights for specific heights. Individuals with excessive weight for their height are tested for body fat and if estimated body fat is excessive they are not allowed to enter the services. Thus, service studies involve a population that has been pre-screened for excessive body weight and excessive estimated body fat.
Body weight in the upper 5th percentile increased 6-month attrition risk in the Army by 1.4 (men) or 1.5 (women) times and was independent of educational status, demographics, gender, AFQT category, and other factors. This may simply be associated with an inability to meet the Army height-weight standards later in training (67). Body mass index (which is a surrogate measure of body fat (132) was not found to be associated with basic training discharges in men, but women in the upper 25th percentile of BMI were 1.6 times more likely to be discharged than women in the lower 25th percentile (133). Jones et al. (120) also found that females in the upper 25% percentile of body fat were 1.6 times more likely to be discharged than those in the lower 25th percentile (no data was reported for men). Individuals who were discharged from Marine basic training were found to be heavier than those who graduated (164 vs. 152 lbs, p<0.01) (224). Kowal et al. (148) found that fat-free mass was one variable (among others) that discriminated between men who were and were not discharged in a multivariate analysis.
Laurence and Ramsberger (155) performed an analysis of a modified TIER 2 educational category and performed a multivariate analysis of this cohort that included age, gender, marital status, AFQT category, educational status, race, dependents, waiver status, and BMI. They found that BMI was independently associated with higher attrition in the Army and Air Force, but not the Navy. In the Army, each unit change in BMI increased the odds of attrition by about 5%.
Jackson (114) performed a multivariate analysis of failure to meet the Marine Corps active duty weight standard on attrition from basic training and in the first term. He developed two multivariate logistic regression models that included AFQT category, educational TIER, age, training location, dependents, race, year of entry, enlistment program (air, ground, open contract), and whether or not the weight standard was met. The latter factor was found to be the variable that had the strongest association with basic training attrition and was also a strong independent predictor of first term attrition.
Buddin (27) examined BMI in men and women in the 4 military services. He showed that for men in all of the services, attrition increased as BMI increased above a value of about 27 kg/m$^2$. For Army men, those with BMI of 31 kg/m$^2$ had 3 times the attrition rates of those with BMI of 23 kg/m$^2$. For advanced training or while in the operational military, only Army men with higher BMI had higher attrition than Army men with lower BMI. BMI differences among women had little influence on attrition, possibly because BMI entry standards were much more restrictive than that of the men.
f. Other Risk Factors
(1) Military Occupational Specialty
Different MOSs or different groupings of MOSs have different attrition rates (26,66,167,228,247,258). Buddin (26) studied first-term post-training (basic and advanced training) male attrition in the Army and Air Force in a FY 1978 cohort. For the Army, attrition ranged from 5% for teletypewriters to 28% for combat engineers. For the Air Force, attrition ranged from 10% for radio communication/security to 45% for audiovisual services. After controlling for demographics, aptitude, duty location and career turbulence, MOS was found to be an independent predictor of attrition.
Finstuen and Alley (66) found 3-year Air Force attrition rates ranged from 3% (Flight Engineer) to 84% (Linguist/Interrogator) with an average of 36%. Personal characteristics resulted in higher multiple regression correlations with attrition ($r=0.22$) than MOS alone ($r=0.15$). Adding the MOS to personal characteristics minimally increased the correlation ($r=0.25$). The authors demonstrated that if they included the interaction effects of numerous personal characteristics and MOSs the correlation was highest ($r=0.31$). However, this analysis resulted in 5,208 independent variables that only added modestly to the prediction. Correlations were an inappropriate statistical test to use in this case; more appropriate would have been tests for dichotomous outcomes (chi-squares, logistic regression) that would distinguish between those who did and did not attrite.
Sealey (228) examined 4-year attrition across groups of Navy MOSs using a standard DOD 10 category classification system. Attrition rates varied from 28% to 39% for women and 24% to 33% for men (exclusive of the "non-occupational" category which included patients, prisoners, and personnel in training). The MOS category with the highest attrition for women was "Infantry/Gun Crew/Seamanship" and that for men was "Electrical/Mechanical Equipment Repairers".
Lukasiewicz (167) categorized U.S. Army MOS into Combat Arms and Non-Combat Arms. Combat Arms (comprising about 1/3 of all accessions) included
MOS relating to Aviation, Air Defense Artillery, Armor, Engineer, Field Artillery, Infantry, and Special Forces. Combat Arms MOSs overall tended to have lower basic and advanced training attrition rates than other Non-Combat Arms. However, when infantry MOSs were partitioned out, individuals in these MOSs tended to have slightly higher basic and advanced training attrition rates.
Thomas (247) examined time in service (up to 4 years) of non-high school graduates in selected Army MOSs representing Combat Arms, Combat Support, and Combat Service Support. Combat Arms (Infantryman, Artilleryman) had the longest time in service followed by Combat Service Support (Supply Specialist, Food Service Specialist), with Combat Support (Motor Transport Operator, Multichannel Communications Operator) having the highest attrition.
On the other hand, White et al. (258) found that Soldiers in combat MOSs had higher 3-year attrition than non-combat MOSs but it is not clear exactly which MOSs were included in this analysis. Also, Smith et al (236) noted that Army Soldiers that had a DOD occupational code of "combat" had higher attrition than the 5 other DOD occupational codes. Buddin (26) found that Soldiers with a DOD code of "Combat" had attrition rates 1.3-1.5 times higher than those in 4 other DOD occupational codes.
It is difficult to make generalizations about MOSs and attrition because different studies categorize MOSs differently and there are differences in jobs across the services. Physical hazards, environmental conditions, and the potential for employment outside the military are factors that may influence attrition differences among MOSs. Because direct combat-related MOS are less desirable, enlistment bonuses are more common in these specialties (167). The more arduous nature of direct combat work and the high probability of injury (129,216) may also influence attrition.
(2) Traditionality of MOS for Women
"Traditionality of MOS" indicates whether or not an MOS has been populated by women in the past. Ross et al. (220) examined the influence of traditionality of MOS on first-term female attrition in the Army in a 1976 cohort. An independent evaluation by the Army Deputy Chief of Staff for Personnel divided Army MOSs into 3 job traditionality categories: traditional, less traditional, and non-traditional. Ross et al. found that first-term female attrition increased from 37% to 43% to 47% in traditional, less traditional and non-traditional jobs, respectively. Male attrition rates did not differ across these categories. Women in non-traditional MOSs were 1.3 times more likely to leave service early than men in these same MOSs; in traditional MOSs women were only 1.1 times more likely to leave service early. Women in more traditional MOSs may have more role models and a more supportive social structure that has developed coping strategies and traditions over time.
In an examination of a FY 1986-90 cohort of male and female Sailors, Sealey (228) found that women in support/administration MOS were less likely to attrite over a 4-year period than women in other occupational categories. However, health care (another traditional MOS for women) had the fifth highest attrition rate out of 10 MOS ranking categories. One problem with this study was the broad categorization of MOS that may not have adequately reflected MOS traditionality. In the health care area for example, nursing would be considered a traditional MOS for women but corpsman may not.
(3) Differences among Services
Table 8 shows first-term attrition rates over an 11 year period from data assembled by the GAO (75). These data are consistent with other studies (25, 60, 70, 172, 252) indicating that attrition rates are lowest in the Air Force with mixed results for other services, depending on the year examined. This may suggest that over the long term, attrition rates are similar among the Army, Navy, and Marines. More recently, attrition rates in the Army and Navy seem highest (75). One study that examined 3-year attrition and separated the data by gender showed that the highest female attrition rates were in the Marines followed by the Army and then the Navy. In this same study, male attrition was similar for these three services (70).
| FY* of Enlistment | Army | Navy | Marines | Air Force | DOD |
|-------------------|------|------|---------|-----------|-----|
| 1985 | 30.5 | 30.6 | 33.7 | 24.6 | 26.0|
| 1986 | 31.3 | 31.8 | 35.4 | 28.3 | 31.4|
| 1987 | 31.4 | 31.5 | 33.0 | 25.3 | 30.5|
| 1988 | 33.7 | 31.8 | 30.4 | 25.5 | 31.3|
| 1989 | 35.3 | 34.0 | 32.7 | 30.1 | 33.7|
| 1990 | 36.4 | 32.6 | 36.2 | 30.4 | 34.2|
| 1991 | 36.8 | 30.5 | 34.2 | 31.7 | 33.6|
| 1992 | 35.9 | 32.2 | 32.2 | 30.0 | 33.2|
| 1993 | 39.3 | 35.8 | 31.5 | 32.5 | 35.6|
| 1994 | 40.1 | 37.8 | 33.2 | 32.7 | 36.9|
| 1995 | 39.0 | 39.6 | 33.2 | 31.9 | 36.8|
*FY=Fiscal Year
Differential attrition rates between services may reflect different policies or different leadership styles within services (160). Alternatively, specific job characteristics within the services may affect attrition rates. The Marines, Army, and Navy may have more physically demanding jobs than the Air Force. Army Regulation 611-201 (9) rates the physical demands of each Army MOSs, placing them into one of five categories based on U.S. Department of Labor guidelines (9). Sixteen percent of entry-level Army MOS are classified in the "heavy" category (lift 100 lbs occasionally and 50 lbs frequently) and nearly 50% are rated "very heavy" (lifts exceed 100 lbs occasionally and 50 lbs frequently) (230). Of the 300 Air Force enlisted jobs, 1/2 have minimum physical demand ratings and only 13 jobs have what the Air Force considers high physical demands (100).
g. The Interaction of Attrition Risk Factors in an Operational Setting
Despite the requirements for more high school diploma holders, attrition did not decline and actually rose from 1985 to 1995 as noted earlier (60,76). Part of this may be due to the distribution of demographics in the population and offsetting policy decisions. For example, there have always been more high school graduates than non high school graduates and thus graduates account for a much greater part of the total attrition. Lower AFQT cut scores and moral waivers are more likely to be applied to high school graduates and these factors are known to increase attrition. Also it is possible that the relationship between the diploma and perseverance, discipline, and dependability has been diluted over the years as students move into the next grade despite problems and deficiencies that would have held them back in the past (social promotion) (160).
Elis (60) noted how the interaction of attrition risk factors over time can influence attrition rates. Between 1984 and 1994 the proportion of non-high school graduates/GED holders decreased by 3.1% and AFQT scores rose by 5.9 points. Based on these changes alone a 1.3% decrease in attrition should have occurred based on statistical modeling. However, in this same time there was an increase in the number of women recruited and time in the DEP decreased, both factors known to increase attrition.
h. Attributable Risk of Attrition in Relation to Fitness, Injury, and Educational Status
In an attempt to more fully explore associations between attrition, physical fitness, injury and educational status we calculated attributable risk of discharge from data in two studies (133,135). Attributable risk is that proportion of discharges that can be ascribed to a particular factor (116). For example, if we compare the most physically fit 25% of new recruits to the least fit 25% we can estimate the reduction in discharge risk if the least fit reached the level of the most fit. One weakness with this analysis is that the relationship has to be "causal" (low fitness has to cause higher discharge, not just be associated with it in some unspecified manner) and this has not been demonstrated for the risk factors we will discuss (2). However, this analysis can provide some insight into the relative strength of particular risk factors.
Tables 9 and 10 show the attributable risk of discharge for men and women, respectively, from one published BCT study (133); Tables 11 and 12 show the attributable risk for men and women, respectively, from another BCT study (135). For men, injury accounted for the largest proportion of the attrition risk. PUs, SUs and the 2-mile run also accounted for appreciable proportions of the attrition risk. Holding a GED (as opposed to a high school diploma) had attributable risk similar to that of the fitness measures. For women, more of the attrition risk could be attributed to the fitness measures, especially the 2-mile run,
than could be attributed to injury or the GED. This may not be surprising since women have less fitness relative to men and BCT will be more physically taxing for women.
Table 9. Attributable risk (AR) of Discharge by Selected Fitness Risk Factors for Men (From Reference Number 133)
| Risk Factor | Relative Risk of Discharge (95% Confidence Interval) | Prevalence of Risk Factor Among Discharged | Attributable Risk of Discharge |
|----------------------------------------------------------------------------|------------------------------------------------------|--------------------------------------------|-------------------------------|
| Lowest performance quartile, first diagnostic APFT run (19.18-31.58 minutes/2 miles) | 1.67 (1.07-2.62) | 0.36 | 0.14 |
| Lowest performance quartile, initial APFT push-ups (0-22 reps/2 minutes) | 2.22 (1.46-3.37) | 0.44 | 0.24 |
| Lowest performance quartile, initial APFT sit-ups (0-32 reps/2 minutes) | 1.84 (1.20-2.82) | 0.41 | 0.19 |
| Highest quartile of body mass index (26.81-38.12 m/kg²) | 1.02 (0.66-1.59) | 0.26 | 0.01 |
| General Educational Development (GED) | 1.82 (1.16-2.86) | 0.37 | 0.17 |
| Injury (one or more) during basic training | 3.30 (2.20-4.96) | 0.66 | 0.46 |
Table 10. Attributable risk (AR) of Discharge by Selected Fitness Risk Factors for Women (From Reference Number 133)
| Risk Factor | Relative Risk of Discharge (95% Confidence Interval) | Prevalence of Risk Factor Among Discharged | Attributable Risk of Discharge |
|----------------------------------------------------------------------------|------------------------------------------------------|--------------------------------------------|-------------------------------|
| Lowest performance quartile, initial APFT run (23.49-28.68 minutes/2 miles) | 2.27 (1.49-3.46) | 0.43 | 0.24 |
| Lowest performance quartile, initial APFT push-ups (0-2 reps/2 minutes) | 1.79 (1.16-2.76) | 0.43 | 0.19 |
| Lowest performance quartile, initial APFT sit-ups (0-22 reps/2 minutes) | 1.70 (1.09-2.64) | 0.37 | 0.15 |
| Highest quartile of body mass index (28.02-33.21 m/kg²) | 1.55 (1.09-2.21) | 0.34 | 0.12 |
| General Educational Development (GED) | 2.15 (1.27-3.64) | 0.18 | 0.10 |
| Injury (one or more) during basic training | 1.17 (0.82-1.68) | 0.67 | 0.10 |
Table 11. Attributable risk (AR) of Discharge by Selected Fitness Risk Factors for Men (Previously Unpublished Data From Reference Number 135)
| Risk Factor | Relative Risk of Discharge (95% Confidence Interval) | Prevalence of Risk Factor Among Discharged | Attributable Risk of Discharge |
|----------------------------------------------------------------------------|------------------------------------------------------|--------------------------------------------|-------------------------------|
| Lowest performance quartile, first diagnostic APFT run (minutes/2 miles) | 1.00 | 0.35 | 0.13 |
| Lowest performance quartile, initial APFT push-ups (reps/2 minutes) | 1.19 | 0.26 | 0.04 |
| Lowest performance quartile, initial APFT sit-ups (reps/2 minutes) | 1.25 | 0.29 | 0.06 |
| Highest quartile of body mass index (m/kg²) | 1.44 | 0.32 | 0.10 |
| Injury (one or more) during basic training | 2.05 | 0.43 | 0.22 |
Table 12. Attributable risk (AR) of Discharge by Selected Fitness Risk Factors for Women (Previously Unpublished Data From Reference Number 135)
| Risk Factor | Relative Risk of Discharge (95% Confidence Interval) | Prevalence of Risk Factor Among Discharged | Attributable Risk of Discharge |
|--------------------------------------------------|------------------------------------------------------|--------------------------------------------|-------------------------------|
| Lowest performance quartile, first diagnostic APFT run (minutes/2 miles) | 2.10 | 0.41 | 0.21 |
| Lowest performance quartile, initial APFT push-ups (reps/2 minutes) | 1.42 | 0.32 | 0.09 |
| Lowest performance quartile, initial APFT sit-ups (reps/2 minutes) | 1.75 | 0.31 | 0.13 |
| Highest quartile of body mass index (m/kg²) | 1.36 | 0.31 | 0.08 |
| Injury (one or more) during basic training | 1.30 | 0.57 | 0.14 |
5. STRATEGIES TO REDUCE ATTRITION
There are 2 major categories of attrition-reduction strategies that have been studied. One category involves prescreening of individuals before they enter service in order to select those most likely to succeed. Screening procedures that have been examined include the use of biographical questionnaires, compensatory screening, and psychiatric screening. Another approach provides special assistance or incentives to service members who are already in service. Assistance programs that have been examined include job previews, psychiatric counseling/stress management training, enlistment bonuses, educational opportunities, leadership initiatives, special remedial training, efforts to reduce injuries, and pre-basic training programs.
a. Biographical Questionnaires
Biographical surveys or biodata are self-reported personal information provided by individuals on questionnaires. Questionnaire responses are empirically linked to attrition. Items on biodata questionnaires might include demographics (education, age, race), self-history (family relations, prior job history), attitudes, behaviors (school behaviors, alcohol/drug use), temperaments, and other factors. Various biodata instruments may emphasize different types of items.
Biodata questionnaires tested in the military have well-established validity. The criterion-related validity correlation between attrition and biodata surveys are generally in the range of 0.30 (161). The reason biodata questionnaires have some validity in predicting attrition probably relates to content areas that are assessed. As noted above, some questionnaires contain items on demographics and other factors known to be associated with attrition. Some questionnaires sample particular attitudes or temperaments that may be less compatible with military service and individuals who have these attitudes or temperaments may be more likely to leave service early. Some biodata questionnaires tap into past behaviors and these may be predictive of future behavior. For example, an
individual who has had many job changes in the past may be likely to leave the military to change jobs; an individual who has had many arrests and traffic violations may be a discipline problem in the military and is likely to be discharged. The reasons individuals leave service is generally complex and multifactorial and biographical questions sample this multifactorial space (110, 161, 252)
(1) Concerns with the Use of Biographical Questionnaires
There are a number of concerns with the use of biodata that have been reviewed in several reports (161, 251, 252). These concerns include the empirical nature of the questionnaires, validity issues, reliability issues, and problems relating to coaching and faking.
The first concern is that biodata questionnaires are based on empirical relationships that do not always have a sound theoretical basis. The main approach for scoring biodata instruments is called "empirical scaling" in which individual items are weighted according to their ability to predict attrition. In developing biodata questionnaires, items are retained only if they increase the ability to predict attrition regardless of why or how they contribute to the prediction. Criticisms of the atheoretical empirical scaling approach has led to alternative scoring approaches (161) including rational scaling, factorial scaling, and subgrouping. In rational scaling, the behaviors involved in a job are determined and questionnaire items are developed that capture similar behaviors earlier in a person's life. In factorial scaling, questionnaires are subjected to factor analysis to see what constructs the questionnaire is measuring. In subgrouping, the factorial structure of the questionnaire is established, a profile is determined for each individual based on this factorial structure, then cluster analysis is used to identify subgroups with similar characteristics (182). Although one study showed that rational scaling and the factor analytic techniques have higher predictive ability, other studies have shown similar criterion-related validity for all techniques (110).
The second issue of concern with biodata is the reduction in validity with new samples and over time. As noted above, the correlation between attrition and biodata questionnaire scores is about 0.30 for military questionnaires that have been cross-validated (153, 212). Similar results have been reported for other non-military questionnaires when predicting training success (53). However, cross-validation tends to lower the validity coefficient possibly due to chance relationships in the initial sample (161). Other factors that could influence validity are changes in the characteristics of potential recruits over time that are not fully understood (e.g., social promotion in high school, population movement from rural to urban centers, reduced physical activity in youth) that alter the relationship between the item responses and attrition. Changes in personnel policies and performance assessment criteria (e.g., reductions in force, changes in moral waiver policy, changes to the APFT, elimination of the
Skills Qualification Test) can also affect validity. To maintain stability over time it is necessary to reevaluate empirically-derived items and develop new items that measure similar constructs. Questionnaires developed using factorial scaling tend to be more stable over time than those derived using the empirical approach (182).
Test-retest reliability is a critical concern but it has not been examined very often. Reliabilities in military biodata studies have ranged from 0.3 to 0.8 with a median of about 0.70 (161,258). Other empirically-keyed questionnaires have reported test-retest reliabilities of 0.80 or higher while those using factorial scaling report somewhat higher reliability values (182).
Another issue is faking. Respondents can answer questionnaires in socially desirable ways or in ways more likely to allow them to achieve a specific objective (e.g., enter the military). Studies have shown that faking on biodata questionnaires was possible (15,109,264,265), but it is also possible to reduce the effects of faking (15,264). More objective and verifiable items were less amenable to faking and items faked in practice were less historical and more job related (15). Other techniques for minimizing faking include warning that items will be verified, the development of lie scales to detect inaccuracies in self reporting, and special scoring techniques (161,251,252,264).
A final issue is one of coaching. Once item responses more favorable to achieve an objective are known (e.g., enter the military) it may be possible to coach individuals on these favorable responses. The effects of recruiter coaching are a concern since recruiters have a vested interest in contracting high numbers of recruits (161,251,252).
(2) Biographical Data Studies in the Military
Published studies on biodata as a predictor of attrition in the military has a long history dating back to the 1960s and much of this history has been reviewed by Laurence (161). Plag (197) in 1962 reported on a 195-item questionnaire administered to Naval recruits. He showed that items relating to educational background/behaviors, age, and sports participation had the strongest relationship with unsuitability discharge in validation and cross-validation samples. In the 1970s and 1980s a number of questionnaires were developed with the goal of predicting attrition. These included work with the Life Path Questionnaire (81) and the Enlisted Profile and Early Experience Questionnaire (73). Instruments that were tested or implemented in operational settings included the Air Force History Opinion Inventory (HOI), the Navy Recruiting Background Questionnaire (RBQ), the Army Military Applicant Profile (MAP), the DOD Educational and Biographical Information Survey (EBIS), and the Armed Services Applicant Profile (ASAP) (161,241).
The original Air Force HOI was a 100-item true-false survey that covered school adjustment, family stability, social orientation, emotional stability, physical complaints, motivation and expectation for achievement, and response to authority (89,90,151,159). The HOI was tested on 15,252 Airmen in 1972 and it was shown that two scales had predictability for attrition from basic training. These scales were the Prediction of Emotional Instability and the Prediction of Drug Use Admission. A third scale called the Adaptation Index combined these 2 former scales. Correlations between undesirable discharges and the 3 indices ranged from 0.22 to 0.31 (89). A follow-up of the 1972 cohort did not report the validity coefficient with first-term attrition alone but rather reported on HOI data with composites of other aptitude and demographic data. A combination of 122 variables from enlisted files and 64 items from the HOI produced a validity coefficient of 0.50 (90). In 1975, the HOI was reduced to 50 items and called the Military Service Inventory (MSI). The MSI was administered to all Air Force recruits when they arrived for basic training to assist in identifying individuals who may have problems adjusting to military life (79). In a subsequent study in 1977, the MSI was shown to be related to basic training attrition (159).
Development of the Navy RBQ began in 1975 with a 370-item questionnaire that was subsequently reduced to 2 alternative forms each containing 55 items. This survey covered school and work experiences, hobbies, interests and family history. The format was multiple choice with 3 to 5 response categories. The RBQ was administered to 15,430 Naval recruits in 1979 and 1980. Correlations with 6-month attrition ranged from 0.28 to 0.38 for male high school graduates, 0.17 to 0.21 for male non-high school graduates, 0.28 to 0.34 for minority samples, and 0.18 to 0.26 for women. The RBQ was combined with another screening instrument called the Success Chances for Recruits Entering the Navy (SCREEN) which used aptitude, education, and age to determine the odds of early Navy attrition. Validity coefficients for men rose from 0.28 with the SCREEN alone to 0.34 for the RBQ plus the SCREEN. It was estimated that the RBQ could reduce overall attrition by 1% to 1.5% (12,79,159).
The Army MAP was developed from work performed by the Army Research Institute during the Korean War and subsequent work on the Early Experience Questionnaire (57,73,159,252). The development of the MAP began in 1972 (79) with an initial version containing 240 items (251). A 60-item MAP was administered to 4,282 male recruits at Fort Dix, New Jersey, and Fort Sill, Oklahoma, during 1976-1977. The questionnaire consisted of items relating to family, academic and work experiences, athletic and physical competence, self confidence, and socialization. Neither race nor age interacted with the MAP X 6-month attrition relationship but educational status did. The MAP could much more effectively predict 6-month attrition among non-high school graduates (57). The MAP was used operationally beginning from 1979 to screen 17-year old male non-high school graduates and its use was continued into 1984 (79,159,251).
The DOD EBIS was a 34-item questionnaire that contained items related to educational credentials, high school behaviors and achievements, adjustment to the school environment, criminal offense data (traffic violations, arrests), alcohol and drug use, employment history, family background, and demographic data (177,241). It was administered to 40,000 recruits in 1983 and 6-month attrition was tracked (159). We could not locate the final studies on this instrument.
A 1982 GAO report supported the validity of biodata instruments and recommended the services consolidate their biodata instruments. Consolidation was recommended because of the cost savings and the efficiencies that could be obtained. The questionnaire could be updated as new knowledge developed in the biodata area and as the potential recruit population changed (79,252). An ad-hoc committee called the Adaptability Screening Group (ASG) reviewed the 3 questionnaires (HOI, RBQ, MAP) that were under development or in use at the time. Because of problems with the original sample used to develop the HOI (89,151), ASG did not consider the HOI items any further. The ASG took 360 questionnaire items from the RBQ and MAP added another 21 for an initial questionnaire to develop what was called the Armed Services Applicant Profile (ASAP). Reviews by outside agencies (for item sensitivity, bias reviews, intrusiveness, etc.) reduced the questionnaire to 206 items and further work reduced the questionnaire to 130 multiple choice items (252).
The ASAP asked questions related to educational achievement, arrests and youthful transgressions, family relations, work history, and drug and alcohol use (161). Two forms of the questionnaire were administered to 55,675 service members and they were tracked through their first 21 and 36 months of service. Based on this work, the questionnaire was reduced to 50 items (252). Factor analysis of two forms of the questionnaire showed that 13 or 14 components accounted for 43% to 44% of the variance in the questionnaire but 6 components accounted for 27% of the variance. These components were School Achievement (academic involvement/achievement, non-delinquency), Delinquency (drinking, smoking, police/arrest involvement), Work Ethic (employment status/duration/quality), Independence (age, independent friends, economic self-sufficiency, self-esteem, motivation), Social Adaptation (self-esteem, dominance, sociability, risk-taking, problem solving), and Physical Involvement (athletic activities/involvement, preference for white or blue collar work) (251). Individuals who completed their first term were compared to those who failed to complete their enlistment contracts for adverse reasons. The correlation between attrition and the ASAP was 0.29, compared to 0.20 for attrition and a high school diploma. A logistic regression model that included educational attainment, AFQT, and the ASAP was developed and the correlation with service completion was 0.29. Using this model, a cut score that would make 10% of service applicants ineligible would result in a correct classification of 78% of individuals (i.e., they would successfully complete their service), but 52% would be falsely rejected. Savings (1979 dollars assuming $18,400/recruit) would be $54 million annually. In 1989, a DOD committee postponed use of the
ASAP and DOD eventually declined operational implementation because of concerns with recruiter coaching, faking of answers, and changes in validity over time (251).
(3) Temperament Surveys
Some biodata instruments contain more items relating to individual dispositions and self-perception and may be termed temperament surveys. Early military temperament surveys were designed primarily for psychiatric screening. A 100-item "personality inventory" was given to Army recruits by Danielson and Clark (49) and showed promise in that it correctly identified 63% of psychiatric discharges and 68% of other discharges. The Navy tested a 115-item yes-no questionnaire called the Recruit Temperament Survey (RTS) (24,106). A cluster of 17 RTS items, score on the Navy General Classification Test, score on a Mechanical Aptitude test, and expulsions or suspensions from school produced a criterion-related validity correlation of 0.50 with unsuitability attrition. The validity of the RTS alone was not reported.
An ambitious attempt at a temperament-type survey was the development of the Assessment of Background and Life Experiences (ABLE). Questionnaire development was begun in 1982 as a part of the Army's "Project A". ABLE attempted to measure job-related motivational constructs related to performance (262) but the relationship of the questionnaire to attrition was also examined. A 220-item questionnaire contained a total of 15 scales. The 11 content scales were Dominance (12 items), Energy Level (21 items), Self-Esteem (12 items), Work Orientation (19 items), Emotional Stability (17 items), Cooperativeness (18 items), Traditional Values (11 items), Nondelinquency (20 items), Conscientiousness (15 items), Internal Control (16 items) and Physical Condition (6 items). Four scales were designed to examine the quality of the responses and included Nonrandom Response (to detect random/careless answers by the use of obviously correct items, 8 items), Social Desirability (to detect attempts to "look good", 11 items), Poor Impression (to detect faking in an undesirable direction, 23 items), and Self-Knowledge (to assess how well respondent knows self, 11 items). A 199-item version of the ABLE was administered to 48,731 Army recruits in FY 1986 and FY 1987. It was found that the ABLE Emotional Stability scale was the best predictor of 1-year attrition while the Nondelinquency scale was the best predictor of 36-month attrition. Validity coefficients were not reported (258).
The 199-item ABLE was reduced to 70-items for operational use with a 50-item ASAP questionnaire. These 2 instruments were combined to form the Adaptability Screening Profile (ASP) (258). Factor analysis of the ABLE showed that the questionnaire could be reduced to 3 primary temperament domains characterized as Achievement (striving to competently complete work), Dependability (tendency for discipline and to obey and respect rules and regulations), and Adjustment (even and positive affect and perform well under
stress), with Social Desirability as a quality of response scale. The Achievement scale included many of the items included in the Dominance, Energy Level, Self-Esteem and Work Orientation scales. The Dependability scale included many items from Traditional Values, Nondelinquency and Conscientiousness scales. Adjustment included items from the Emotional Stability scale. Unfortunately, time limitations on administration of the test prohibited inclusion of the Internal Control, Cooperativeness, and Physical Condition scales. It was found that screening out the bottom 5% of ABLE scores would reduce attrition by 0.9% overall (i.e., if attrition was 12%, it could be reduced to 11%). Screening out non-high school diploma graduates could reduce attrition by 1.2% overall. ABLE had little overlap with cognitive aptitude and previous education demonstrating it was independently related to attrition (29,258). Despite positive findings, the ABLE and the ASAP were not operationally adopted because of concerns with coaching and faking. Subsequent research showed that individuals could raise their scores if they were told how to do so (259,262) and ABLE was not operationally implemented.
Efforts were made to create a faking resistant questionnaire that would measure similar job-related motivational constructs to ABLE. Beginning in 1993, ARI tested several versions of a new test called the Assessment of Individual Motivation (AIM) and created a final prototype in 1996 (262,263). The AIM measured 6 constructs: Achievement (tendency to strive for excellence in the completion of work-related tasks), Adjustment (tendency to have a positive effect, positive outlook on life, and feeling of self-control), Agreeableness (tendency to get along and work well with others), Dependability (tendency to respect and obey rules, regulations, and authority figures), Dominance (tendency to seek out and enjoy leadership positions), and Physical Conditioning (tendency to seek out and participate in physically demanding activities). The AIM also contained a quality of response scale for detecting inaccuracies due to intentional or unintentional attempts to distort answers. Each AIM item had 4 response categories and respondents are asked to state which of the 4 categories are most and least characteristic of themselves (259). Young et al. (262) evaluated the effectiveness of the AIM in predicting 3-month, 6-month, and 9-month attrition among 16,847 recruits at all 5 Army Reception Stations. Point-biserial correlations between the AIM score and the 3 attrition measures were -0.12, -0.14, and -0.15, respectively. This was a considerable improvement over TIER 1 status and AFQT category that had coefficients of -0.06 and -0.02, respectively. Thus, the AIM was twice as effective at predicting attrition as TIER 1 status alone. The authors did not provide a multivariate model that included AIM score, educational level and AFQT category. AIM scores were similar across gender and racial categories so that it had no adverse impact (262). It was demonstrated that the AIM was resistant to faking and was still related to basic training attrition even when recruits were told to fake scores (259,264).
(4) Biographical Questionnaire Items
Biographical questionnaires used in the military to predict attrition have included items related to educational achievement, school behaviors/attitudes, family relations, work history, status, arrests, alcohol/drug use, minor behaviors, self-perceptions, past behaviors, and attitudes about the military. Some questionnaires include temperament items. Laurence and Means (159) reviewed the relationship of these factors to attrition for 4 questionnaires that had been used in military settings. Where possible, they partitioned the data into high school graduates and non-graduates. Their results are shown in Table 13. There are problems with this analysis because of the different time periods over which attrition was examined. The HOI and the EBIS validated against 6-month attrition while the MSI and RBQ validation involved 36-month attrition.
Table 13 shows that the item type with the highest relationship to attrition across the questionnaires involves school behaviors and attitudes. Family-relation items and work-history items were also among those with a high relationship to attrition. Interestingly, alcohol/drug items, present only to any extent of the EBIS, had low criterion-related validity with high school graduates but high predictive ability with non-high school graduates.
Table 13. Relationship of Attrition* to Item Types on Four Biographical Questionnaires Used in Military Operational Settings (From Reference 159)
| Item Type | HOI | MSI | RBQ | EBIS |
|----------------------------|-----------|-----------|-----------|-----------|
| | Best Item (%)a HSGb | Best Item (%)a NHSb | # Items | Best Item (%)a HSGb | Best Item (%)a NHSb | # Items | Best Item (%)a | # Items | Best Item (%)a HSGb | Best Item (%)a NHSb | # Items |
| Educational Achievement | --- | --- | 2 | 0.00 | 0.20 | 5 | 0.40 | 5 | 0.44 | 0.11 | 18 |
| School Behaviors/Attitudes | 0.50 | 0.38 | 12 | 0.58 | 0.50 | 12 | 0.33 | 12 | 0.42 | 0.13 | 31 |
| Family Relations | 0.40 | 0.20 | 5 | 0.25 | 0.00 | 8 | --- | 4 | 0.00 | 0.33 | 12 |
| Work History | --- | --- | 3 | --- | --- | 1 | 0.40 | 5 | 0.00 | 0.43 | 17 |
| Demographic Variables | --- | --- | 0 | --- | --- | 1 | --- | 3 | 0.14 | 0.14 | 7 |
| Arrest Related | --- | --- | 2 | --- | --- | 2 | --- | 2 | 0.00 | 0.07 | 15 |
| Alcohol/Drug Use | --- | --- | 2 | --- | --- | 1 | --- | 0 | 0.08 | 0.75 | 12 |
| Minor Behaviors | --- | --- | 1 | --- | --- | 2 | --- | 2 | 0.17 | --- | 6 |
| Self-Perceptions | 0.12 | 0.15 | 17 | 0.07 | 0.00 | 15 | 0.00 | 10 | --- | --- | 1 |
| Past Behaviors | --- | --- | 0 | --- | --- | 0 | 0.11 | 9 | --- | --- | 1 |
| Military Attitudes | --- | --- | 4 | --- | --- | 3 | --- | 3 | --- | --- | 0 |
| Total Items | --- | --- | 48 | --- | --- | 50 | --- | 50 | --- | --- | 120 |
*Probability that an item was among the top 1/5 of the items in terms of the criterion-related validity with attrition for each questionnaire. The number of items in the top 1/5 was 10 for HOI, 10 for MSI, 11 for RBQ and 24 for EBIS. Item types with fewer than 5 items were not evaluated.
aHSG=High School Graduate; NHS=Non-High School Graduate
(5) Recent Biographical Questionnaire Studies
There have been 3 biodata questionnaire studies published in the peer-reviewed medical literature in the last 5 years that relate to attrition. These studies are extremely useful because they provide the risk of attrition for specific questionnaire items that are not provided in most other biographical questionnaire studies cited above. The 3 studies are among the more recent ones and thus are testing more recent recruits (recruit characteristics may change over time). The questionnaires used in these studies include many medically-related items that are not included in other biodata instruments. For these reasons, these studies are reviewed in more detail. The results of these studies have also been included as they relate to specific risk factors above.
Talcott et al. (244) examined responses of 32,144 Air Force trainees to the Biographical Evaluation and Screening of Troops (BEST) questionnaire (3). The questionnaire was a routine inprocessing instrument used by the Air Force at Lackland Air Force Base. The study used data only from August 1995 to August 1996. Basic training attrition was separated into medical, psychiatric/behavioral, legal, and inadequate performance discharge categories. Logistic regression models were developed for each type of attrition (dependent variables) by first forcing into the model age, gender, race, educational level, and family income; by backward elimination variables related to component (active, reserves), substance abuse, risk taking, rebelliousness, physical activity, social support and Air Force career plans were then considered. For all discharge categories except inadequate performance, odds of discharge were increased with greater age, female gender, White ethnicity, self-forecast of a short military career, rebelliousness, and lower physical activity. An additional risk factor for medical discharge was a higher propensity to engage in risk taking. Additional risk factors for psychiatric/behavioral discharge were less education, lower family income, active duty component (compared to reserve or national guard), and fighting while drinking alcohol. Additional predictors of legal discharge included being a smoker, heavy alcohol intake, and fighting while drinking alcohol. Predictors of inadequate performance discharge included male gender, active duty status, self-rating of rebelliousness, and lower physical activity.
A Navy study (154) examined the responses of 66,690 Naval trainees to the Sailor Health Inventory Program (SHIP) questionnaire. The SHIP was routinely administered to recruits on arrival for training at Recruit Training Command, Great Lakes IL and the study used data from the 1997-1999 period. The SHIP questionnaire contained demographic questions followed by 191 items assessing medical and psychosocial variables (20). The authors report that exploratory univariate analysis was used to select 43 items for inclusion in further analysis but the criteria for this selection was not specified. A backward stepping logistic regression was used to identify independent risk factors for discharge. Since 40 variables entered the model, factor analysis was used to reduce the number of predictor variables. Factor analysis revealed 10 major factors that were labeled
Depression/Anxiety (12% of variance), Asthma Symptoms/Breathing Problems (5% of variance), Tobacco Use (4% of variance), Misconduct, Ear/Nose/Throat Problems, Bone or Joint Dysfunction, Headaches, Hospitalizations, Broken Bones, and Flat Feet (the latter 7 factors accounting for <4% of total variance). A 40-item SHIP composite score was derived using the questions with the highest multivariate odds ratios from logistic regression. The correlation of the 40-item SHIP composite with attrition was 0.32, significantly higher than attrition with educational credential ($r=-0.11$) or AFQT ($r=-0.10$). It is interesting that no demographic, educational, or AFQT factors were included in the 40-item SHIP composite.
Another study using the SHIP questionnaire (20) examined 1-year Naval attrition among the 66,690 recruits from the Larson et al. study (154) reviewed above. A backward stepping logistic regression was used to examine questions that best predicted overall attrition, medical attrition (which included attrition for low fitness), behavioral attrition (misconduct or substandard performance), sexual behavior attrition (homosexuality, sexual misconduct), and administrative attrition (fraudulent enlistment, hardship, other factors). Out of the 191 items, 39 were selected on the basis of at least 5% of the discharge group having the item. Four demographic items were also included (gender, ethnicity, education, age). The items most strongly associated with attrition in multivariate analysis are shown in Table 14. Item types that predominated included demographics (educational level, female gender), physical and mental health questions (shortness of breath, depression/excessive worry, recurrent back pain), and moral character items (suspended or expelled, arrested for a crime).
Table 14. Top 10 Questionnaire Items Most Strongly Associated with Adjusted Odds of 1-Year Attrition on SHIP Questionnaire (the first number is ranking of questionnaire item for the type of attrition in the column; the second number in parenthesis is the adjusted odds ratio)* (From Reference 20).
| Questionnaire Item (Reference Group) | Overall Attrition (rank(AOR^)) | Medical Attrition (rank(AOR^)) | Behavioral Attrition (rank(AOR^)) | Administrative Attrition (rank(AOR^)) |
|-------------------------------------|---------------------------------|-------------------------------|----------------------------------|--------------------------------------|
| Educational Level (High School Graduate) | 1 (1.9) | | 1 (2.0) | 6 (1.7) |
| Shortness of Breath (No Shortness of Breath) | 2 (1.8) | 1 (2.5) | 5 (1.5) | 3 (1.8) |
| Suspended or Expelled (Not Suspended or Expelled) | 3 (1.7) | 8 (1.5) | 2 (1.8) | 5 (1.7) |
| Depression or Excessive Worry (No Depression or Excessive Worry) | 4 (1.7) | 9 (1.5) | 5 (1.5) | 1 (2.1) |
| Fainting or Dizziness (No Fainting or Dizziness) | 5 (1.5) | 6 (1.5) | | 3 (1.8) |
| Recurrent Back Pain (No Recurrent Back Pain) | 6 (1.5) | 4 (1.8) | 8 (1.4) | |
| History of Broken Bones (No History of Broken Bones) | 7 (1.5) | 5 (1.6) | 9 (1.4) | 9 (1.5) |
| Arrested for Crime (Not Arrested for Crime) | 8 (1.4) | | 3 (1.7) | |
| Female Gender (Male Gender) | 8 (1.4) | 2 (2.2) | | 2 (2.1) |
| Pressure or Pain in Chest (No Pressure or Pain in Chest) | 10 (1.4) | 6 (1.5) | | 6 (1.7) |
| Cigarette Smoking (No Cigarette Smoking) | | | 4 (1.5) | |
| Hospitalized Overnight (Not Hospitalized Overnight) | 3 (1.9) | | | |
| Allergies (No Allergies) | | 10 (1.4) | | |
| Cut, Burned, Tattooed Self (Have Not Cut, Burned or Tattooed Self) | | | 7 (1.4) | |
| Physical, Emotional, Sexual Abuse (No Physical, Emotional, Sexual Abuse) | | | 10 (1.3) | |
| Past Counseling for Problems (No Past Counseling for Problems) | | | | 9 (1.5) |
| History of Learning Disabilities (No History of Learning Disabilities) | | | | 8 (1.5) |
*Odds ratios are rounded to a single decimal in consonance with the rest of this report. The article provides 2 decimal points. If 2 separate items have the same rank in the table those 2 items had the same odds ratio in the article.
*Reference group is in parenthesis and has odds ratio=1.0.
*AOR=Adjusted Odds Ratio (from multivariate analysis)
b. Compensatory Screening
There have been several attempts to counterbalance personal characteristics that increase attrition with personal characteristics that favor retention in service. Mathematical models have been developed to determine the risk of attrition for individuals that have specific sets of personal characteristics. For example, a non-high school graduate in a high AFQT category who needs a moral waiver and participated in junior ROTC might have lower attrition risk than a non-high school graduate who does not need a moral waiver but has no junior ROTC experience. This approach can be termed compensatory screening—compensating high attrition risk characteristics with lower attrition risk characteristics. Compensatory screening depends on verifiable personal characteristics and thus avoids many of the potential self-reporting problems associated with biographical questionnaires. However, compensatory screening studies show that this approach tends to have lower criterion-related validity for attrition than biographical questionnaires.
Early Navy work on compensatory screening began with an analysis of data collected from Plag's studies of attrition (196, 198, 199). Plag's data was used to develop what was called the Odds for Effectiveness (OFE). Implemented by the Navy in 1973, the OFE was an actuarial table that determined the odds of a recruit's effective service based on AFQT score, years of school completion, school expulsions or suspensions, arrests and/or traffic violations (161, 211). This was subsequently replaced by another tool called the Success Chances for Recruits Entering the Navy (SCREEN) which used aptitude, education, and age (12, 161). Subsequent tools have included a device actually called the Compensatory Screening Model (CSM) and, most recently (begun in 1999), High Performance Predictor Profile (HP3) (86).
Studies on a Compensatory Screening Model (CSM) stemmed from congressional concerns that individuals who were non-high school diploma graduates were being unfairly discriminated in the military since many of them were successful. From existing data, several logistic regression models were developed to predict 2-year attrition. These models included ASAP scores, educational credentials, AFQT percentile, age group, service, and dependents. Race and gender could not be included because employment discrimination on these factors was not legal. The attrition validity coefficient was 0.24 for the equation that developed optimal regression weights. Concerns with coaching and faking on the ASAP led to an approach where the ASAP was not applied and only verifiable personal data was used. Without the ASAP score in the model the uncorrected validity coefficient was 0.17. For service-specific models, the highest predictive validities were for the Army and Navy (172).
Another study (71) examined the use of an alternate CSM for non-high school graduates. The final logistic regression model contained number of years of education completed, type of educational credential, age, AFQT category, employment status, military youth program participation, and moral waiver status. Employment data was missing in much of the analyzed sample and had to be simulated. The validity coefficient (2-year attrition in Sailors) was 0.12 which was higher than that for the AFQT and SCREEN which had coefficients of 0.08 and 0.05, respectively, in the same sample. It was also shown that the CSM had fewer false positives than the SCREEN. Application blanks were developed for recruiters so they could quickly determine the eligibility of recruits.
The CSM was implemented for operational use by the Navy in 1992 for TIER 2 and 3 applicants in AFQT categories I to IIIA. In 1994, the CSM model was modified to include AFQT score, age, years of education, and educational credential with less stringent criteria for military youth program participants and applicants who pass a recruiting commander's interview (155).
Trent and Devlin (253) performed further work with a CSM for non-high school graduates. Their final logistic regression model contained only
educational credential, years of education, AFQT category and age. The validity coefficient (2-year attrition in Sailors) was 0.12 and 0.13 (2 separate samples).
Golfin and Houch (86) examined the effectiveness of the HP3 screen for non-high school graduates. Implemented for operational use in 1999, screening variables included educational credential, years of education, AFQT category and age but also included employment history and character references. It was found that the CSM and the HP3 were very comparable in their ability to screen high risk non-high school graduates.
c. Psychiatric Screening
At the beginning of WWII, the U.S. Navy performed psychiatric screening at Naval and Marine recruit centers (210). The purpose was to identify recruits who had personality, character, or cognitive characteristics which might affect their adaptation to the military. This screening was done in two phases, both of which required the application of clinical judgment. The first phase included a questionnaire about social history and psychiatric symptoms, a physical examination, and a 2- to 3-minute interview. About 15 to 25% of incoming recruits were considered at risk and had follow-up consultation after a trial basic training period. About 3% to 6% developed emotional/adjustment problems resulting in a review by a board. These trainees were usually discharged (196,198,199,210).
The effectiveness of the 2- to 3-minute psychiatric interview in predicting attrition was tested in Naval recruits at San Diego CA, and Great Lakes IL, during 1960-1961 (211). In univariate analysis, Plag (196) found that the validity of the clinical evaluation in predicting 2-year attrition was no greater than prediction from educational level, age, or Navy General Classification Test Score. When the clinical evaluation was added to the other factors in a multivariate analysis it did not add to the predictive value. These results were supported in a follow-up study examining first-term attrition among Sailors (199). The clinical psychiatric rating was examined along with 20 other more easily obtained variables. It was found that education, the mechanical and arithmetic scales on the AFQT, expulsions from school and family stability independently contributed to the odds of first-term attrition; the psychiatric rating did not.
In a further study, Plag and Arthur (198) examined 134 recruits who were referred to the psychiatric discharge board for discharge in basic training. Rather than discharge these trainees, they were allowed to graduate and entered the fleet. They were compared to a group of controls matched on the basis of age, aptitude, education and other variables. It was found that 2.5 years after enlistment, 72% of the potential discharges were still on active duty compared to 86% of controls (p=0.03). While the efficacy of the psychiatric discharge program was validated, there were still many false positives.
d. Retaining Mild Asthmatics
A study (187) examined the Navy recruits at Great Lakes Training Center who were diagnosed with symptoms of mild asthma and were retained on service. Those with moderate or severe asthma were discharged. In a 9-month period (up to April 2001), 66 recruits with mild asthma were matched to 196 controls (matching criteria not specified). As of December 2001, 52% of the mild asthmatics and 16% of the controls had left the Navy. Two asthmatic cases (3.0%) and 5 controls (2.6%) were hospitalized during the study. Results were considered favorable since almost ½ of the mild asthmatics were still in service with low risk of hospitalization.
e. Psychological Counseling and Stress Management Training
Individuals entering the services face a number of physical, emotional and cognitive challenges (143,188). Basic training introduces a whole new set of rules and regulations and recruits must quickly adapt or suffer adverse consequences. Personal freedom and individuality is lost and recruits have no identity other than that established through performance and conformity. Social support systems such as friends and family are no longer available and new relationships must be established (188). As noted above, there are individuals that have problems adjusting to these conditions and who may develop mental health problems that result in discharge from service (34,62,239). It is possible that counseling and/or the teaching of stress management skills designed specifically for basic training might reduce attrition among those having the most difficulty in adjusting. Several studies have examined the effectiveness of such programs in reducing attrition.
Georgoulalis et al. (82) identified 269 new Army recruits at Ft Knox Kentucky, who were classified as vulnerable to attrition on the basis of responses to questionnaires. These recruits were divided into 2 groups, an Early Intervention (EI) group and Control (C) Group. The EI group received one-on-one counseling through the Community Mental Health Activity the first day they were assigned to their units. The C group received no such counseling but trainees in either group could receive counseling through normal command channels. There was no difference between groups for non-completion of basic training (EI=18%, C=15%, p=0.61). Among the entire cohort classified as vulnerable to attrition, individuals who were counseled at any time during basic training were less likely to be discharged than those who were not counseled (17% vs. 40%, p<0.01).
Another study (185) reports on Israeli trainees that were successfully treated with behavioral-cognitive therapy. The therapy involved 1) desensitization through gradual exposure to anxiety-producing events, 2) cognitive change through the identification of anxiety-producing beliefs and their replacement with more adaptive thoughts and, 3) acquiring coping skills. Three
successful case studies were presented but all required highly individualized interactions between therapist and patient. The time-consuming nature of interaction may limit usefulness of this technique in basic training.
Cigrang et al. (35) examined the effectiveness of a stress management class designed for Air Force recruits who had been referred to the mental health clinic for psychological evaluation and who were recommended for return to duty. The class participants \((n=94)\) and non-participants \((n=84)\) had similar demographics and psychiatric diagnoses (most were adjustment disorders). Participants were enrolled in two, 90-minute classes. The classes were highly interactive and covered relaxation training (deep breathing, progressive muscle relaxation), problem solving, and development of "self-talk" techniques. One or 2 additional trainees who were coping very well with the military were assigned to assist and serve as role models. Due to training conflicts only 59% of trainees attended both classes; 87% attended one session. Graduation rates did not differ for participants and non-participants (participants 52%, controls 58%, \(p=0.41\)). The relationship between the number of classes attended (regardless of group) and graduation was also not significant \((p=0.51)\). The authors noted that the majority of referred Soldiers are pessimistic about completing training and the literature on dispositional optimism/pessimism suggests that this leads to disengagement and giving up on goal achievement. Thus, a class that focuses on coping skills may have a low probability of success. In another article (33), these same authors note that the socializing effect of interacting with other low motivational trainees who were focused on discharge may have an adverse effect on programs of this type.
These studies suggest that one-on-one sessions with behavioral specialists may reduce attrition in early military training. However, large classes that do not provide therapy for individual problems do not appear to be effective.
f. Realistic Job Previews
Unrealistic expectations that recruits have about the military could lead to early disenchantment and efforts to leave the military (84). In an effort to provide a more realistic picture of the basic training experience, several studies have examined the efficacy of providing realistic job previews (RJP). RJP are films that are designed to provide recruits a balanced picture of the positive and/or negative aspects of the military training and operations. Some RJP also provide trainees with information on how to react to specific training experiences (23). Information on how to react to specific situations may be helpful because repeated inappropriate/inadequate responses to training situations could result in feelings of failure and lowered self-esteem that could influence motivation to continue in the military.
Brose (23) reviewed the results of 3 meta-analysis studies that used similar methods to determine the effectiveness of RJP in a wide variety of environments.
These studies indicate that RJP lowered attrition rates by 6% to 24%. The reduction in attrition was greatest for jobs with high attrition. The increase in retention was 6%, 12%, and 24%, for low, medium, and high attrition jobs, respectively. This suggests that RJP may be most effective where they are needed most – in jobs with high turnovers.
There are 3 studies that have examined the effects of RJP on attrition in military basic training. In one study (108,181) the research team developed an 80-min film that was based on interviews and training experiences of over 300 trainees and training personnel. It emphasized types of training perceived to be the greatest cause of concern among recruits. It considered experiences that recruits said they wished they had known more about before they entered training. Advice was given on how to react to particular situations and how to approach training. A study was conducted in which a total of 678 Marine recruits were separated into groups that either watched the specially developed film, watched another series of films, or viewed no film at all. The other series of films were 3 traditional Marine Corps recruiting videos. The experiment was carried out within 2 days of recruit arrival at Parris Island, South Carolina. Those viewing the film tended to have lower 3-month basic training attrition compared to control groups (10% vs 15%, p=0.08). Six and 12-month attrition was also lower in the group viewing the film (6 month - 15% vs 24%, p=0.01; 12-month – 22% vs 33%, p<0.01)\(^a\).
Githens and Zalinski (83) examined platoons of Marine recruits who viewed films when they arrived for training at San Diego. One film provided a realistic preview of initial training. This was the same film as the study above (181). The other film was professionally designed to prepare recruits for training by providing them specific techniques for coping with stress. Four groups (each consisting of about 20 platoons of about 81 men each) were tested: RJP film, coping film, both films, and no films. Basic training attrition was 12%, 10%, 12%, and 11%, respectively, and not different among groups (p=0.48).
A final study (178) developed two types of RJP for basic training. One type (reduction preview) was designed to reduce overly optimistic expectations by presenting unanticipated problems and difficulties. The other type (enhancement preview) was designed to dispel negative impressions and emphasized that the largest basic training challenge was not the training events, but rather the psychological aspects (adjustment to Army life, lack of privacy, authority, orders). There were 533 trainees in 4 companies that were divided into 4 groups. The groups received either the reduction preview, the enhancement preview, both previews, or no previews before basic training. The groups were similar on demographic measures known to influence attrition rates such as age, race, AFQT score, and educational attainment but the reduction group had more women. Turnover rates (this is assumed to be discharge rate but it was not defined as such in the study) were 13.2%, 5.3%, 2.5%, and 7.8% for the
\(^a\)Data were reanalyzed using chi-square without Yates correction
reduction, enhancement, enhancement/reduction, and control groups, respectively. The previews were more effective among trainees in the upper 50th percentile of AFQT scores or those more committed to the Army (measured with a standard organizational commitment questionnaire). The higher proportion of women in the reduction group could explain the higher turnover in this group since women have higher basic training attrition (133,244).
Despite the one negative study (83), RJP show promise with regard to the reduction of attrition. The films are easy to administer and most of the cost is in the upfront expense of production. One problem with the military studies cited above is that trainees viewed the films after they had already signed their enlistment contract and were committed to the military. Films may still be effective at this point because identification of difficult aspects of training may help trainees recognize areas of concern and mentally prepare for these. Coping skills suggested in some RJP may be used by some recruits. But, it may be most effective to provide a RJP in the DEP (23). Viewing the film in the DEP may result in more DEP attrition but it is more desirable to lose a person at this point because of the lower cost compared to later points in the accessions process.
g. Leadership Attitudes, Beliefs and Policy
It is reasonable to assume that the policies, attitudes, and beliefs of commanders, officers, and senior enlisted service members will affect attrition. These individuals either make the final separation decisions or influence those decisions. A 1975 report on the Army Trainee Discharge Program (now called an entry level separation discharge) found that many basic training company commanders were willing to provide a discharge to every trainee who wanted one (14).
Sarason et al. (224) examined Marine basic training platoons with high, medium and low attrition. There were no platoon differences on demographics, aptitude, or performance (rifle marksmanship, physical fitness changes, oral and written tests). However, drill sergeant attitudes differed among platoons. In lower attrition platoons drill sergeants believed they had more influence on attrition rates, felt there were fewer differences between summer and winter recruits, and that given a chance to leave, recruits would chose to persevere and stay in training. In high attrition platoons drill sergeants thought they had less influence on attrition, felt summer recruits were superior to winter recruits, and that recruits would choose to leave basic training if given a chance. The authors conclude that differences in drill sergeants' attitudes, beliefs, and expectations influence attrition rates more than other factors. The authors note that it is useful to think of basic training as a social environment in which the drill sergeants' attitudes and beliefs are transmitted to the recruits. These attitudes and beliefs influence recruits' self-confidence, commitment and motivation. A specific
socialization plan for Army basic training has been outlined by a previous battalion commander (99).
Besides attitudes and beliefs, quantitative data show how leadership policies can influence attrition rates. One study (256) examined entry level separations in 1997 and 1998 at 4 Army posts. Table 15 contains their findings. It can be seen that from 1997 to 1998 basic training entry level separations more than doubled at Fort Jackson while entry-level separations at 3 other Army basic training sites increased only slightly. Entry level separations after basic training at Ft Jackson also increased from 1997 to 1998. Not stated in the article was the fact that during the 1998 period, senior command policy at Fort Jackson was to discharge any individual who desired a discharge (personal communication, LTC Robert Redfren).
Table 15. Entry Level Separation Discharges (%) at Four Army Training Post During 1997 and 1998 (from Reference 256)
| Post | Basic Training | Advanced Training |
|---------------|----------------|--------------------|
| | 1997 | 1998 | 1997 | 1998 |
| Ft Jackson, SC| 5.0 | 11.9 | 2.4 | 3.6 |
| Ft Benning, GA| 6.6 | 8.2 | 0.0 | 0.2 |
| Ft Knox, KY | 4.2 | 4.7 | 1.4 | 1.2 |
| Ft Wood, MO | 4.7 | 5.9 | 1.2 | 1.0 |
*The time period after basic training was not clear but the authors refer to the end of Initial Entry Training so this time period was assumed to be advanced training. It was not clear how basic and advanced training were separated out for units performing One-Station Unit Training. The authors note that the average number of days successful trainees spent on post was 162 for Ft Jackson, 114 for Ft Benning, 135 for Ft Knox, and 130 for Ft Leonard Wood.
Besides increasing discharge rates, leadership policy can influence attrition in the opposite direction, a reduction in basic training attrition. In the first 8 weeks of FY 1984, the entry level separation rate from Army basic training was 8.2%. Noting this increase in attrition, the Commander of the Army Training and Doctrine Command stressed the need to reduce attrition during FY 1985. In FY 1985 entry level separations decreased to 3.5%. EPTS rates rose slightly from FY 1984 to FY 1985 but figures were not provided in the article (245).
Quester (208) reported on attrition during a major policy change. From FY 1979 to FY 1985 6-month attrition rates for high school graduates from Naval basic training ranged from 8% to 10%. In FY 1986, attrition rose to 12%, and by FY 1987 it was up to 14%. In late 1989, initiatives were undertaken by Vice Admiral Boorda to reduce attrition. These initiatives included a moratorium on discharges for the first 3 weeks of training and specific numeric goals for attrition at 3 Naval basic training locations at the time. Overall attrition was reduced to 8% in 1990 and 1991. In 1992 many of the restrictions placed by Vice Admiral Boorda on basic training were no longer followed. From 1993 to 1997 overall basic training attrition rose to about 14% and in 1998 it was 16%.
One concern with senior leadership initiatives to reduce basic training attrition is how this will influence attrition later in the service. It is possible that some training cadre are better at identifying recruits who are not suitable for military service and these cadre efficiently discharge these trainees early in training. A senior leadership policy that limits discharges in basic training might
pass on marginal individuals who would be discharged later in service. Several studies indicate that this is not the case. When basic training attrition was reduced by senior leadership initiatives later attrition was not different or was actually lower.
Quester (208) followed 33-month attrition for the 1990-1991 cohort when Vice Admiral Boorda's restrictions (cited above) were in place. The decreased basic training attrition in 1990 and 1991 was not associated with higher 33-month attrition in the fleet in FY 1990-91; fleet attrition did not change. As attrition rose in basic training from 1992 to 1995 so did 33-month fleet attrition suggesting that high attrition in basic training was associated with higher attrition later in operational units.
Another study (56) in the 1976-1978 period examined Army basic training attrition before and after a policy calling for a reduction in entry level separations was instituted by the Infantry Brigade Commander at Ft Benning, Georgia. Entry level separations declined from about 7% to about 3.5% in the time the brigade commander's policy was in place. A graphic presentation of the data showed that when discharges were elevated in basic training (prior to the brigade commander's policy), they were also elevated in advanced training and later in the operational Army. When discharges were reduced in basic training (after the brigade commander's policy) they were also reduced in advanced training and later in the operational Army. The correlation between basic training and advanced training attrition was 0.78; the correlation between basic training attrition and the first 90 days in a line unit was 0.59.
In a related study, Novaco et al. (188) showed that Marine cohorts having high basic training attrition continue to have higher attrition later in service. A total of 15 platoons were tracked during basic training and beyond. Demographic, aptitude, and personality factors were similar among the platoons at the start of training. The 2 platoons with the lowest basic training attrition had 2-year post-basic training attrition of 18% and 16%. The 2 platoons with the highest attrition rates had 2-year post-basic training attrition of 49% and 33%.
Taken together these studies suggest that basic training attrition-reduction policies on the part of senior leadership can have dramatic longitudinal effects. It does not appear that policy changes aimed at reducing basic training attrition negatively influences later attrition. On the contrary, it appears that efforts to reduce basic training attrition can reduce attrition later in service, although why this is the case is not clear. It may be that the basic training environment effects future adjustment such that a more positive basic training experience translates to better future adjustment and vice versa. When attrition is reduced by senior leadership initiatives marginal recruits may be provided with more time to successfully adjust to the military environment.
h. Service Member Remedial Programs
Service member remedial programs are special courses put in place to help service members that are having specific problems. Most of the programs reviewed here are those assisting recruits in basic and advanced training.
(1) Overview of Basic and Advanced Training Remedial Programs
The Army has the largest number of remedial programs. These include the Fitness Assessment Program (FAP), Army Physical Fitness Test Enhancement Program (APFTEP), Physical Training and Rehabilitation Program (PTRP), the Basic Rifle Marksmanship Enhancement Program (BRMEP), English-As-A-Second-Language Program (ESL), Functional Academic Skills Training Program (FAST), "Think-It-Over" Program (TIO), Prepare-to-Train (PTT) Course, and the See-It-Through Program (SIT).
The FAP involves a physical fitness test that all trainees take when they first arrive for training. Recruits who pass the test go on to basic training while those that fail are given up to 3 weeks of physical training before they enter basic training. The APFTEP is for trainees who complete all basic training requirements but cannot pass the APFT at the end of basic training. They are given up to 3 weeks of special physical training emphasizing the APFT events for which they have problems and they are given additional opportunities to pass the test. The PTRP is for trainees who are injured or ill to the extent that they cannot continue in basic training. They are put into a special unit under the direction of a physical therapist where they can recover from their injuries and be rehabilitated (76,96,97,134,135,139). The BRMEP takes recruits who have not qualified with the M-16 rifle by the end of basic training and provides them with additional one-on-one training to assist them in qualifying with the weapon.
The ESL program is a course given to trainees who may have problems with the English language. It consists of general English, acronyms, and military terms for those who do not have English as their first language. The FAST program provides enlisted Soldiers with basic academic competencies necessary to improve military skills (76, and personal communications with basic training personnel).
The TIO program is for recruits who are having second thoughts about their decision to join the Army shortly after arrival at the reception station. The PTT course is primarily given to trainees with AFQT scores below 90 and consists of classes and a computer program helping trainees with psychosocial adaptations to training. The SIT program is applied to basic trainees that are having major discipline or motivational problems in basic training. Trainees are removed from their training company and put in a special company that provides counseling and motivation and a final chance before they are discharged.
The Navy has 6 remedial programs including: 1) a PT-O program for recruits that have initial physical fitness problems, 2) a Physical Training Unit to assist trainees that cannot pass their final physical fitness test, 3) a 3- to 4-week Fundamental Applied Skills Training Course designed to improve academic skills, 4) a 1-week Personal Applied Skills Streaming designed for recruits with anger, motivational, or other behavioral problems, 5) a 1-week Academic Capacity Enhancement Program to improve academic skills, and 6) a Battle Stations Remedial Unit for recruits that have difficulty with the final Navy basic training exercise. The Navy also rewrote the training schedule to reduce recruit running and marching in order to reduce training-related injuries (76).
Marines have a week long remedial program for recruits having trouble with marksmanship qualification and a physical training program for recruits who are low fit on arrival for basic training. Parris Island and San Diego Marine Recruit Depots also developed a Sports Medicine and Rehabilitation Therapy (SMART) Center to more effectively rehabilitate injured recruits (55,76).
The Air Force added a central physical therapy clinic closer to the training area. Emphasis was put on rehabilitating rather than discharging trainees (76).
(2) Association of Remedial Programs and Overall Attrition
Data from Fort Jackson, South Carolina indicate that since remedial programs were initiated in 1998, basic training attrition has declined. Basic training attrition was 18%, 15% and 14% in FY 1998, FY 1999, and FY 2000, respectively. In FY 1999, 7,612 recruits were placed into these programs and 68% successfully completed them. The Navy has not collected overall information on the effectiveness of their programs, but has reported that after the new physical training schedule was introduced, stress fracture rates declined from 3.5/1000 recruits (FY 1998) to 0.5/1000 recruits (FY 1999). Marines reported that attrition due to lower extremity problems decreased by 10% in the first 6 months after the SMART Center was opened at Parris Island, South Carolina. The Marines reported that overall basic training attrition declined from 18% in FY 1998 to 12% in FY 1999. The Air Force reported that separations for medical reasons were reduced by about half from FY 1998 to FY 1999 (75). Factors other than remedial programs are likely to account for some of these attrition reductions.
(3) Improving Physical Fitness before Basic Training
In October 1999, fitness standards for entry to basic training were mandated by the Army Training and Doctrine Command for all 5 locations where Army basic training was conducted (246). When new recruits arrive at an Army Reception Station they take the Reception Station Physical Fitness Test. Those passing this screening test go on to basic training. Those who fail the test do not enter basic training but rather enter the FAP where they physically train until they
can pass the test. The FAP in one form or another has been in place at Fort Jackson, South Carolina, since 1987. Prior to 1998 the only criterion to enter basic training was $\geq 1$ push-ups (PU) for women and $\geq 13$ PUs for men. In October 1998, the test was changed to a 3 event evaluation that included PUs, sit-ups (SUs), and a 1-mile run and this is now the test that is administered Army-wide.
The fitness criteria for entry to Army basic training from 1999 to 2004 are shown in Table 16. The tests were administered in the order shown. For all 3 test events, the recruit only had to meet, not exceed, the requirement. For example, when a male recruit successfully completed 13 PUs, the event was ended and the recruit had passed that event. Recruits were tested in large groups with Reception Station drill sergeants administering the tests. A drill sergeant read detailed instructions on how to perform the tests from Army Field Manual (FM) 21-20 (194). A drill sergeant monitored the performance of each trainee on the PUs and SUs. If a recruit failed the PU on the first attempt, they were sent to a station where they were given specific, individualized instruction on how to perform a correct PU and a second attempt was allowed. Only one attempt was allowed for the SU and the 1-mile run. For the 1-mile run, recruits were provided a “pacer” who runs at the exact pace required to pass the test. In addition, “chasers” attempted to motivate recruits who fall behind the pacer and remind recruits where the pacer was located.
| Event | Men | Women |
|------------------------|-----|-------|
| PUs (repetitions) | 13 | 3 |
| SUs (repetitions) | 17 | 17 |
| One-Mile Run (minutes) | 8.5 | 10.5 |
If a recruit failed to meet the criterion on any single event in the test, they enter the FAP. In the FAP recruits performed a specific physical training program, which included running, weight training, PU and SU improvement, road marching, and stretching. They also participated in military training such as customs and courtesies, drill and ceremony, wearing of the uniform, Uniformed Code of Military Justice, and Army values. New tests were given twice a week and once the trainee passed the test they move on to basic training.
The proportion of trainees entering the FAP has declined since 1998. Table 17 shows the proportion of trainees failing each event of the test from January to August 1998 obtained from the FAP orderly room in 1998 (134). Table 18 shows more recent data on the proportion of trainees who failed the test obtained from the Reception Station Plans, Training and Operations Office (S-3). It is not clear why the proportion of trainees who fail the test have declined. Some administrative changes that may account for the decline include the introduction of the chasers and pacers, running of men and women together (they previously ran at separate times), and a stronger verbal emphasis to the trainees on the consequences of not passing the test.
Table 17. Proportion of Trainees Failing Each Event on the Reception Station Physical Fitness Test from January to August 1998
| Event | Men (%) | Women (%) |
|-----------|---------|-----------|
| PU | 3.6 | 13.8 |
| SU | 1.7 | 7.7 |
| 1-Mile Run| 3.1 | 8.8 |
| Any Event | 6.9 | 23.9 |
Table 18. Proportion of Trainees Failing Any Event on the Reception Station Physical Fitness Test, 2000-2002.
| Year | Men | Women |
|------|-----|-------|
| 2000 | 4.3 | 12.5 |
| 2001 | 4.4 | 12.7 |
| 2002 | 5.4 | 14.8 |
| 2003 | 3.9 | 10.1 |
Three studies have examined the effectiveness of pre-conditioning physical training programs on injuries in basic training. One investigation (54) found similar discharge rates among trainees coming from the FAP and those that did not enter the FAP. This study was conducted in 1989 when only the PU criterion was in place.
Another investigation (134) examined basic training attrition among recruits after the 3 event test was in place. A group who failed the Reception Station Physical Fitness Test, trained in the FAP (FAP group) and then entered basic training was compared to a group who passed the test and directly entered basic training (Not-FAP group). On entry to basic training, FAP women had similar 2-mile run times compared to Not-FAP women (21.6 vs. 21.5 min, respectively, p=0.86). FAP men were considerably slower on the 2-mile run than Not-FAP men (20.3 vs. 17.3 min, p<0.01). FAP and Not-FAP women had similar attrition but FAP men had higher attrition than Not-FAP men.
The most recent investigation (135) examined 3 groups of trainees: 1) recruits who passed the Reception Station Fitness Test were designated the No Need of Pre-Conditioning (NNPC) group; 2) recruits who failed the test, entered the FAP, and later entered basic training were designated the Pre-Conditioning (PC) group; 3) trainees who failed the test but entered basic training without going into the FAP were designated the No Pre-Conditioning (NPC) group. The proportion of NNPC, PC and NPC groups who were discharged were 7%, 6%, and 19%, respectively (p=0.03), for men, and 12%, 12%, and 22%, respectively for women (p=0.04). When individuals who were discharged within the FAP (i.e., those that never made it into basic training) were included, these numbers were 7%, 11%, and 19%, respectively, for men, and 12%, 22%, and 22%, respectively, for women (note that only the PC group numbers changed because only PC trainees could be discharged from the FAP). These data suggest that while trainees in the FAP have lower attrition in basic training, overall attrition (FAP plus basic training) is similar, although still somewhat lower than for individuals who do not go to the FAP. These studies indicate that the FAP removes low fit trainees who are likely to attrite early in the training process. Further studies are necessary to examine if attrition can be reduced by increasing fitness to higher levels than is currently achieved in the FAP.
(4) Army Physical Fitness Test Enhancement Program
During Army basic training, recruits generally take an Army Physical Fitness Test (APFT) at Week 7 of the 9-week basic training cycle. The Week 7 test is considered the final APFT and is the one trainees have to "pass" to meet a mandated basic training graduation requirement. To "pass" the APFT, all trainees are required to meet certain age and gender adjusted criteria. These criteria involve obtaining a minimum of 50 age- and gender-adjusted "points" on each test event (push-ups, sit-ups and 2-mile run) (194). Trainees who fail to pass the final APFT at Week 7 are allowed to retake the test up to the date of graduation and there is no limit on the number of retakes, at the drill sergeant's discretion. Trainees who failed to meet the passing criteria after all retakes are considered APFT failures. Prior to 1988, Soldiers who could not pass the APFT could be sent to a new unit if that recruit was close to passing the test or be discharged if the commander was convinced the recruit could not pass the test. In 1998 the APFTEP was initiated and final APFT failures were sent there. In the APFTEP, trainees physically trained with emphasis on the events with which they are having problems. They took the APFT once a week and were allowed up to 3 weeks of training in the APFTEP. They either passed the APFT within this time or they were discharged.
In FY 1999, 81% of trainees who entered this program (472/586) successfully graduated from basic training (133). The latest data obtained directly from the APFTEP at Ft Jackson (CPT William Bryant, personal communication) indicate that 76% of those entering the APFTEP (299/395) successfully completed the program in FY 2003. In the first quarter of FY 2004 the successful completion rate was 88%.
One study (139) demonstrated that trainees who entered the APFTEP had slightly lower overall basic training graduation rates than those who did not have to enter the program because they passed the final APFT. Graduation rates (January 1999 to June 2001) for APFTEP personnel men and women were 85% and 80%, respectively, while graduation rates for those that passed the APFT during the normal basic training cycle in this same time were 93% and 87%, respectively. This lower graduation rate for APFTEP personnel would be expected because some of these trainees would have difficulty passing the test even after intensive training, presumably because of a genetic predisposition to low trainability (21,122,192,206), or due to lower motivation. One-year attrition rates were 1.2 (men) and 1.3 (women) times higher in APFTEP graduates compared to individuals who did not have to enter the APFTEP. Despite the higher attrition, 74% of APFTEP men and 63% of APFTEP women were still serving after 1 year. This program may assist in retaining Soldiers who would otherwise be discharged as APFT failures.
(5) Army Physical Training and Rehabilitation Program
The Physical Training and Rehabilitation Program (PTRP) was established at Fort Jackson in 1995 to provide supervised training for Soldiers who were injured in basic training to the extent they could not continue with basic training (97). The PTRP allows trainees a more favorable environment for rehabilitation and allows training units to focus on their primary training mission with one less distraction. In 1998, 6% of all basic trainees at Fort Jackson entered the PTRP and 52% of those who entered were returned to duty. The average(±SD) time spent in the PTRP was 62±42 days for those returned to duty and one day longer for those who were discharged (97). A local Fort Jackson policy established in January 1998 allowed trainees who were injured to opt for an entry level separation discharge rather than enter the PTRP. In October 1998, this policy was rescinded and anyone who was injured was required to enter the PTRP regardless of their desire to be discharged. On 15 April 1999, a memorandum from the TRADOC Deputy Chief Of Staff for Training mandated establishment of a PTRP for all 5 Army basic training locations and provided guidance for implementation (85). The proportion of trainees who enter the PTRP appears to have been reduced from 3% of men and 12% of women in 1998 (97) to about 2% of men and 5-6% of women in 2003 (135).
A preliminary study (150) examined active duty Army trainees who were successfully rehabilitated in the PTRP and returned to basic training in the January-September 1998 timeframe. The control group was composed of trainees who were matched on the basis of age, gender, race, season of entry, and week of basic training for entry into the PTRP. Soldiers were tracked in service up to the conclusion of 1999. There were no differences in attrition between the PTRP and control groups.
Hauret et al. (96) examined trainees entering the PTRP from January 1998 through July 2001. Forty-three percent were returned to duty in this time period. The lower return to duty rate was shown to be associated with the policy of not allowing trainees to opt out of the PTRP (discussed above). Those who were returned to duty had basic training graduation rates that were similar to those who never injured to the extent they had to enter the PTRP. PTRP trainees who graduated from basic training had 2-year attrition rates that did not differ from basic training graduates who were never injured to the extent they had to enter the PTRP.
Overall, these results indicate that seriously injured trainees who are successfully rehabilitated in the PTRP have basic training graduation rates and 2-year attrition rates that are similar to those who were never injured to the extent that they had to enter the PTRP.
(6) Navy Sports Medicine and Rehabilitation Therapy Center
The SMART Center at the Marine Corps School of Infantry at San Diego, California, is for conservative treatment of non-surgical musculoskeletal complaints. The Center is staffed by a sports medicine physician, podiatrist, physical therapist, physician's assistant, dietician, chiropractor, orthopedic technician, physical therapy technician, and corpsmen. In essence, the idea is to care for Marines like athletes (rather than patients) and rapidly treat and/or rehabilitate them so they can return to duty (124).
Drozd (55) evaluated the effectiveness of the SMART Center by examining medical attrition from the Marine Corps School of Infantry. Medical attrition in FY 1996 was compared to medical attrition in FY 1997. FY 1997 medical attrition was only available for the first 6 months so a "weighted average" was calculated to estimate 1-year attrition. It is not clear from the article exactly how this weighted average was calculated. Another problem with this analysis was the fact that the SMART Center opened on 1 August 1996. Since FY 1996 ranged from October 1995 to September 1996, some of the FY 1996 data would include medical data for 2 months after the Center had been in operation. At any rate, 160 trainees were discharged for medical reasons in FY 1996 compared to an estimated attrition of 50 for FY 1997. The return to duty rate was 57% in FY 1996 and a projected 75% in FY 1997. More conclusive data may have been obtained by comparing the first 6 months of both fiscal years.
(7) Functional Academic Skills Training Program
The FAST program is voluntary and is provided at Army Education Centers by accredited civilian institutions in a typical classroom lecture setting. Prior to the early 1990s, the FAST program was called the Basic Skills Education Program (BSEP). In FY 1987, the BSEP enrolled 94,000 Soldiers. A study of the BSEP (234) showed that those who were BSEP graduates were much less likely to attrite than a comparison group (3% vs. 35%, p<0.01 by secondary analysis). The attrition period and nature of comparison group were not specified in the article. Soldiers' supervisors noted that BSEP graduates were more highly motivated and had higher levels of self-esteem after program participation (234, personal communication Roslyn Strickland, Aberdeen Proving Ground Education Center).
A more recent study (242) performed a detailed analysis of the association between attrition and the FAST program. After controlling for race, gender, AFQT category, educational attainment, and MOS, it was found that participation in FAST within the first 6 months of enlistment was associated with a 6% reduction in both 1-year and 2-year attrition. Participation in FAST within the first year of enlistment was associated with a 6% reduction in 2-year attrition.
(8) English as a Second Language Program
In FY 1987, the ESL program enrolled 978 enlisted Soldiers. The program was conducted at the Defense Language Institute’s English Language Center. A study of the ESL program showed that those in the program were about one-half as likely to attrite as a comparison group (23% vs. 44%, p<0.01 by secondary analysis). The attrition period and nature of comparison group were not specified in the article (234).
(9) Conclusions Regarding Service Member Remedial Programs
Taken together, these studies show favorable effects for the Soldier remedial programs that have been examined. The FAP appears to screen out very low fit Soldiers earlier in the process and physically train these soldiers to reduce attrition. Modifying the FAP by lengthening trainee time in the program such that higher fitness levels are achieved prior to basic training may help further reduce attrition. Soldiers in the APFTEP have higher 1-year attrition than Soldiers who do not enter the program but most APFTEP Soldiers are still in the Army a year later. Although there is high attrition from the PTRP due to the severity of some injuries, those who successfully complete the program have subsequent 2-year attrition similar to Soldiers who never had to enter the program. More appropriately designed studies are necessary to evaluate the effectiveness of the SMART Center. FAST program and ESL programs are associated with lower attrition.
i. Incentives to Remain in Service
A few investigations have examined associations between attrition and educational opportunities and enlistment bonuses. These incentives are designed primarily to increase recruiting but they may influence attrition if taking advantage of them encourages individuals to remain in service.
(1) The Army Continuing Education System (ACES)
Many individuals enter the military to further their education under the assumption that the military can provide them with opportunities not available or that they cannot afford outside of the services. Army recruiting promotional literature often emphasizes money for education and in-service educational benefits. This fact is one of the first items listed under “Army Benefits” at the Army’s recruiting website in 2003 (www.goarmy.com/army101/benefits.html).
High school graduates and high school seniors who enter the military and expect to obtain more education in the Army are about half as likely to attrite in their first six months and about 63% times less likely to attrite in a 35-month period than those who do not expect to obtain more education (8).
One study (242) performed a detailed analysis of the association between attrition and the Tuition Assistance (TA) Program. TA assists Soldiers in financing off-duty post-secondary education. After controlling for a variety of factors known or suspected to affect attrition (race, gender, AFQT category, educational attainment, MOS), it was found that participation in TA within the first 6 months of enlistment reduced 1-year attrition by 5%. Participation in TA within the first year of enlistment reduced 2-year attrition by the same amount.
(2) Enlistment Bonuses
Enlistment bonuses are cash incentives designed to encourage potential recruits to enter specific MOS. In general, they attempt to increase the quality and number of recruits in hard to fill MOS. Bonuses have advantages over other recruiting methods such as the fact they can be added, adjusted, or rescinded at any time, they can be directed to specific demographic groups, and they cost less than a general pay increase since shortage MOS can be targeted. Favorable recruiting effects have been demonstrated such as increasing the length of enlistment contracts, channeling high-quality recruits into difficult to fill MOS (primarily combat arms) and increasing the overall number of high quality recruits (high school graduates with high AFQT scores) enlisted. Enlistment bonuses have been offered since 1972 to Army and Marine recruits and are now available for all services. Estimates of the additional proportion of recruits attracted by enlistment bonuses in the Army and Marines have ranged from 4% to 9% (111,190,201).
A few studies were found examining the influence of enlistment bonuses on attrition but these were conflicting. A study of the Marine Corps Enlistment Bonus Program (EBP) was conducted examining recruits who enlisted in FY 1978. At that time, the Marine Corps offered two types of bonuses, 1) a technical bonus that was used to direct high quality recruits into specific technical MOS, 2) a combat bonus was used to direct men into combat-related MOS (Infantry, Artillery, Tank and Amphibian Tractor). Overall results were identical for both types of bonuses. Enlistment bonuses were not associated with attrition from basic training but those granted bonuses had less 3-year attrition (190).
Another study (167) examined the association of enlistment bonuses with attrition from Army basic and advanced training in FY 1990 through 1993. Contrary to expectation, it was found that those taking enlistment bonuses were about 18% less likely to complete basic and advanced training than those not taking bonuses (attrition was 11% vs. 9%). The enlistment bonus was independently associated with attrition when considered in a multivariate analysis with MOS, gender, race, age, APFQ score, educational level, prior service, and time in the DEP.
Smith (236) examined first-term attrition among FY 1982 Army Soldiers who entered the service with enlistment bonuses. After controlling for education,
AFQT score, race, MOS, and DEP time there were no significant differences in service time between those entering with bonuses and those entering without bonuses.
j. Injuries and Attrition
Another important cause of attrition appears to be injuries that trainees experience in training. As noted above, 3% of all men and 12% of all women who enter Army basic training in 1998 experienced injuries serious enough to remove them from basic training (97). In 2003, this number appears to have been reduced to about 2% of men and 5-6% of women (135). Less than ½ of these severely injured individuals return to basic training (96,97). Among these seriously injured trainees, discharges are 2.6 to 3.8 times higher even when rehabilitation and the potential for return to training are offered to recruits who suffer these injuries (133). Among men in basic training, an injury of any type is associated with an over 3-fold higher likelihood of discharge compared to men not injured (133). In DOD operational units, 15% of all discharges are for physical problems (76). Reducing injuries might be expected to reduce attrition and allow service members to spend more time in training. Studies examining methods of reducing military injuries can be broadly classified into training-related and equipment-related strategies.
(1) Training-Related Strategies
Several civilian studies (40,115,147,168) and observational military investigations (117,250) have identified higher running mileage as an injury risk factor. An obvious strategy is to reduce the amount of running performed by service members although there are concerns about how this would influence aerobic fitness. An investigation by the U.S. Naval Health Research Center (San Diego, California) was conducted during the 12-week Marine basic training cycle. Stress fractures were tracked in 3 groups of Marine recruits, each group performing different amounts of organized running. Table 19 shows the running distances, stress fracture incidence, and final 4.8 km run times. As total running distance decreased, the stress fracture incidence decreased. A 40% reduction in running distance was associated with a 53% reduction in stress fracture incidence and only slightly slower (2.5%) 3-mile run times. Thus, reducing running mileage reduced stress fracture incidence with minimal effects on aerobic fitness (229).
Table 19. Mileage, Stress Fracture Incidence, and Final Three-Mile Run Times Among Three Groups of Male U.S. Marine Corps Recruits (from Reference 229)
| Marines (n) | Total Run Distance (miles) | Stress Fracture Incidence (n/100) | Final Three-Mile Run Times (min) |
|------------|-----------------------------|-----------------------------------|----------------------------------|
| 1136 | 55 | 3.7 | 20.3 |
| 1117 | 41 | 2.7 | 20.7 |
| 1097 | 33 | 1.7 | 20.9 |
Another study (222) examined the effect on injuries of replacing running with foot marches during the 12-week Australian recruit-training course. One group of recruits performed 26.5 km of programmed running which was the usual amount in the recruit-training course (Run Group). Another group of recruits substituted foot marches with backpack loads wherever a run was scheduled (Walk Group). Foot marches for the Walk Group involved progressively increasing distances and load weights. The Walk Group tended to have fewer overall injuries than the Run Group (38% vs. 47%, p=0.09). Compared to the Walk Group, the Run Group had more lower-limb (25% vs. 42%, p<0.01) and knee (9% vs. 19%, p=0.01) injuries as well as almost double the number of restricted duty days and hospitalizations.
For many years sports medicine professionals recommended stretching prior to physical activity as a method for reducing the risk of injury (10,126). However, it was not until relatively recently that the effectiveness of this strategy was tested. Studies generally show that stretching prior to (202,204) or both prior to and after physical training (254) does not reduce the risk of injury. Studies that did show an effect of stretching on injuries were either non-randomized trials (95), were confounded with interventions other than stretching (59), or had other major design problems (18). Further, epidemiological data indicated that extremes of flexibility (too much or too little) might not be desirable. Studies on Army basic trainees (118,143), Navy SEAL trainees (123), and collegiate athletes (140) have shown that both high and low levels of flexibility are associated with increased risk of injury. One randomized prospective cohort study compared injury rates between two groups of male Australian basic trainees (204). One group did not stretch while the other group performed 20-second stretches of 6 lower extremity muscle groups prior to exercise. Lower extremity injuries that required at least 3 days of limited duty were tracked during the 12-week training program. There were no significant differences between the two groups for overall injury rates (p=0.67), soft tissue injury rates (p=0.17), or bone injury rates (p=0.27). Time spent on pre-exercise stretching may be more effectively used in warm-up activities that include low intensity activities that are similar to the training tasks for that day.
There are a number of programs that have introduced multiple injury prevention strategies into military environments. The problem with multiple strategies in a single study is the limited ability to determine the effectiveness of individual strategies and thus isolate the most effective ones. Multiple strategies may be successful because different individuals respond to different aspects of
the program. At a minimum, multiple strategy programs provide clues to effective strategies that can be investigated individually in other studies.
A study (240) among New Zealand military recruits examined the combined effect of three interventions: 1) no running in boots for the first 5 weeks of training, 2) gradual introduction of the wearing of boots, and 3) organized physical training in running shoes. Before the interventions were in place, 65% of recruits were injured; after the interventions were in place 50% were injured ($p=0.02$). Time on light duty and days off duty were also reduced in the post-intervention group.
A study using historical data (203) examined the effects of multiple interventions on pelvic stress fractures in female Australian recruits. Interventions involved: 1) a reduction in foot marching speed from 7.5 km/h to 5 km/h (but no reduction in distance), 2) allowing women to march at their own step length (rather than marching in step), 3) encouraging marching and running in more widely spaced formations (to aid in obstacle awareness), 4) conducting running on grass in preference to roads wherever possible, and 5) substituting interval running for longer-distance runs where possible (thus reducing the total running distance). The incidence of pelvic stress fractures in the pre-intervention cohort was 11.2% while it was 0.6% in the post-intervention cohort.
Another study (223) investigated a second set of changes in Australian recruit training. Interventions included: 1) cessation of running in formation and a 26.5-km reduction in total running distance, 2) introduction of interval training (400 and 800 m sprints) on grassy surfaces, 3) reduction in distance on the running test from 5 to 2.4 km, 4) standardization of foot marches to include control of march speed, progressive load increments, and a prohibition on running, and 5) running in water as a cross-training technique. Compared to the pre-intervention cohort, injury rates in the post-intervention cohort were 46% lower ($p<0.01$) for men and 35% lower ($p=0.06$) for women. Medical discharges decreased 41% among men ($p<0.01$) but unexpectedly rose 58% for women ($p=0.01$).
Three U.S. Army programs examined the combined effects of reducing running mileage with other interventions during the basic training and advanced training (130,131,135,138). Experimental groups did not stretch prior to exercise, performed a wide variety of exercises (calisthenics, dumbbell drills, movement drills, interval training, long-distance running), and had reduced running mileage. The control groups conducted the usual physical training programs consisting of stretching, calisthenics, sit-up and push-up practice, and they ran more miles. Investigators found that experimental group men and women were at lower risk of injury. The risk of injury in the control groups was 1.4 to 1.8 higher than in the experimental groups. In two studies (135,138), fitness levels at the end of training were generally higher for the experimental group while in the other study (131) final fitness levels were not different between experimental and control.
groups. These studies demonstrated that injuries could be considerably reduced and fitness improved or maintained by combining prior knowledge of successful and unsuccessful interventions (reduced running mileage and stretching prior to exercise, respectively) with a well-designed physical training program.
In summary, outcomes from this group of military training intervention studies indicate that reducing the amount of running in recruit training considerably reduces injuries with little or no effect on improvements in aerobic fitness. The common practice of stretching prior to exercise does not appear to influence injury rates. Multiple intervention programs have been shown to be effective but such studies make it difficult to partition out the most effective interventions for reducing injuries. Such multiple intervention studies provide clues for future research.
(2) Equipment Modification Strategies
Military equipment-related injury reduction strategies that have been tested include the use of special sock systems and antiperspirants to reduce the incidence of foot blisters, the use of ankle braces to reduce airborne injuries, the use of shock absorbing boot insoles to reduce overall injury rates, and matching running shoes to particular foot characteristics to reduce lower extremity and low back injuries.
Foot blisters are one of the most common injuries experienced by Soldiers and Marines (52,128,195,213,217). Blisters appear to be caused by friction between the skin and sock. That friction is exacerbated by moisture produced when sweating (142). Several studies suggest that appropriately reducing moisture around the foot through the use of special socks (102) or antiperspirants (50) will reduce the likelihood of foot blisters. One investigation examined special sock systems among three groups of Marine recruits undergoing their 12 weeks of training. One group of recruits (Group 1) wore the standard U.S. military wool/cotton sock. The second group (Group 2) wore a liner sock composed of polyester with the standard sock. The polyester sock presumably moved moisture away from the foot through a combination of metabolic heat and the hydrophobic nature of the polyester material ("wicking"). A third group of recruits (Group 3) wore the same polyester liner sock as Group 2, but they also wore a specially designed and very thick wool/polyester blended sock that presumably assisted with the wicking action while reducing friction. Group 3 had a lower overall incidence of blisters than Group 1 (40% vs. 69%, p<0.01). Both Groups 2 and 3 had a lower incidence of blisters and cellulitis resulting in limited duty compared to Group 1 (39% in Group 1, 16% in Group 2, 17% in Group 3; p<0.01 for comparison of Group 1 to either Group 2 or 3). Thus, both experimental sock systems were successful in reducing blisters.
Besides particular sock systems, previous studies strongly suggested that eliminating sweat altogether through the use of antiperspirants might reduce the
incidence of foot blisters (50) if emollients were not included in the antiperspirant preparation (215). A prospective double-blinded investigation examined foot blisters in trainees who used either a placebo or an antiperspirant preparation (20% solution of aluminum chloride hexahydrate in a denatured ethyl alcohol base) (141). Trainees were asked to apply the preparations to their feet for 5 consecutive evenings prior to a 21-km foot march. Individuals performed the march on a hot day and their feet were examined for blisters before and after. There was variable compliance with the 5-day application schedule. Nonetheless, those who had used the antiperspirant preparations for at least 3 days prior to the march had lower blister incidence than those that used the placebo for at least 3 days prior to the march (21% vs. 48%, p<0.01). However, 57% of those in the antiperspirant group reported experiencing irritant dermatitis compared to only 6% in the placebo group (p<0.01). The irritant dermatitis problem was also cited in another study (50) suggesting this side effect needs to be addressed before this intervention can be widely recommended.
An intervention with mixed results is the use of insoles in the boots of basic trainees. Investigations that have examined polyurethane and sorbothane insoles worn in the boots of Marine or Army recruits have shown no effect on stress fractures, lower extremity musculoskeletal injury rates, or sick call rates during military training (16,80,170). However, a study that examined a polyurethane orthotic insole worn in the boots of Israeli basic trainees found a reduction in femoral stress fractures but no influence on tibial or metatarsal stress fractures; when the incidence of all types of stress fractures was combined, there was a significant reduction in incidence among the insole users (180). Studies using neoprene insoles have also shown mixed results. Neoprene insoles in the boots of U.S. Army basic trainees resulted in no effect on lower limb pain (232), but another investigation of neoprene insoles in the boots of Coast Guard recruits found a reduction in injuries related to shock and friction (e.g., contusions, blisters, callouses) (237). In South African basic trainees, neoprene boot insoles were associated with a reduction in total overuse injuries and tibial stress fractures (227). It should be noted that most, but not all (237) of the studies finding negative results are in U.S. military basic training, while studies finding positive results are in Israeli and South African basic training. This may suggest that differences in the training environments may influence the results. Future studies should better characterize the training environment as well as degree of shock absorbency, durability, and other important characteristics of insoles (22).
Soldiers in the U.S. Army have used running shoes for physical training since the early 1980s. Despite the relatively large number of studies on the biomechanics of running shoes and the hypothesized effects on injury reduction, the data linking running shoes to actual cases of injuries are very sparse (136). An Army program developed at Fort Drum, New York, was designed to reduce running injuries by matching specific running shoes to particular foot characteristics (height of the longitudinal arch and ankle flexibility). Running shoe manufacturers categorize running shoes as either motion control,
cushioned, or stability (260). In the Fort Drum study, if the Soldier had a low arch with a hypermobile foot, a "motion control" shoe was recommended; if the Soldier had a high or normal arch with a rigid foot, a "cushion" shoe was recommended; if the Soldier had a high or normal arch with a flexible foot, a "stability" shoe was recommended. Overuse-related events in the lower body and low back regions were examined before and after the program. Injury rates were reduced 6 months after the program started (37 vs. 19 injuries/1000 Soldiers/month, p<0.01). However, a major potential confounder was conversion of the data collection system from scannable paper sheets to a system involving direct network input from a computer screen. The network system was judged by providers to be cumbersome and time consuming and may have resulted in miscoding. A number of other potential temporal confounders were considered and discounted. Overall, the effectiveness of the program was tentatively supported but it was considered imperative that the program be tested in a randomized prospective cohort study before a full determination could be made on the program effectiveness (136).
A study conducted during Israeli infantry recruit training examined differences in injury rates between recruits wearing high top basketball shoes and those wearing the standard lightweight infantry boot. The basketball shoes had leather uppers and soles of ethylene vinyl acetate. Recruits training in the basketball shoes had a lower incidence of overuse foot injuries but the overall incidence of overuse injuries was the same in each group (65).
A successful intervention involved the use of an ankle brace to reduce the incidence of ankle injuries during airborne operations. Surveys of airborne injuries suggest that 30-60% involve the ankle (5,45,51,125,164). The sports medicine literature suggested that fewer ankle injuries occurred among athletes wearing ankle braces (221,231). One study (6) reported on a specially developed ankle brace that fit outside the combat boot and could easily be donned and doffed with Velcro straps. A randomized study of airborne trainees showed that during jump operations, those wearing this brace had fewer inversion ankle sprains compared to those who did not wear the brace (0.6 vs. 3.8 injuries/1000 jumps, p=0.04). Another study (233) that examined injuries over a 3-year period in a U.S. Army Airborne Ranger Battalion found that those wearing the ankle brace also had significantly fewer ankle injuries compared to those not wearing the brace (1.5 vs. 4.5 injuries/1000 jumps, p<0.01).
In summary, successful equipment-related strategies to reduce injuries include the use of special sock systems to reduce the likelihood of foot blisters and the use of special ankle braces to reduce ankle injuries during airborne operations. Promising equipment-related strategies to reduce injuries that require further investigation include the use of antiperspirants to reduce foot blisters, the use of special insoles in footwear, and matching running footwear to individual foot characteristics.
k. Pennsylvania Pre-Initial Entry Training Program
In response to the high basic and advanced training attrition rates, the Pennsylvania National Guard, the Army National Guard Bureau established a decentralized 36-hour program of instruction administered by individual Army National Guard units over 3 weekend drills. This program covered areas such as military justice and courtesy, promotion and benefits, drill and ceremony, first aid, physical fitness training and mechanical training on the M-16 and 45-caliber pistol. Despite this training begun in 1983, attrition rates were about the same or slightly higher in 1984 and 1985. This was attributed to the additional work load the program imposed on already overloaded individual units and the resultant lack of program quality.
In 1985, the Adjutant General for Pennsylvania (TAGPA) established a centralized program called the Pennsylvania Pre-Initial Entry Training Program. This program was conducted at Fort Indiantown Gap, Pennsylvania, and was staffed by 10 personnel (including 2 medical and 3 drill sergeants). New recruits from all over the state were escorted to the training site and participated in a 4-day course that included much of the content area of the previous course. Enhancements included the state Sergeant Major providing the history and tradition course, increased emphasis on physical conditioning, and increased emphasis on identifying pre-existing and disqualifying legal and physical problems.
From November 1985 to July 1987, basic and advanced training attrition rates for the Pennsylvania National Guard decreased from an estimated 30% to an actual 3.6%. Importantly, when compared to other groups in the same time period, overall attrition rates for Pennsylvania National Guard, U.S. Army Reserve, and Regular Army were 3.6%, 4.9%, and 5.3%, respectively. Rates for both EPTS and entry level separation discharges were lower in the Pennsylvania National Guard compared to the other groups (226).
6. SUMMARY AND CONCLUSIONS
This report reviewed the literature on the size of the attrition problem, risk factors for attrition, and strategies to reduce attrition during the first term of enlisted service. Certain demographic and psychosocial risk factors appear to increase the risk of attrition by a factor between 1.1 to 2.0. These factors include lower educational level, female gender, white ethnicity, lower AFQT scores, less pre-service conformance with laws, rules and regulation (lower moral character), moral waivers, factors relating to prior job history, and less time in the DEP. Likewise, a number of health-related factors can increase risk of attrition between about 1.1 and 2.0. These factors include enlistment medical waivers, heavy pre-service alcohol use, pre-service injury, injuries in basic training, low pre-service physical activity, higher body weight on entry to service, and pre-service mental health history. On the other hand, a number of health- and fitness-related risk
factors appear to double, triple or increase the risk of attrition even more. These factors include low physical fitness on entry to service, heavy pre-service cigarette smoking, pre-service physical/sexual abuse, referral to a mental health facility in basic training, and a mental-health hospitalization early in service. Particular MOS have much higher attrition risk than other MOS. What is missing from the literature is a comprehensive study that examines a large number of these factors in a single investigation so their interaction and relative importance can be determined. It is possible that a number of these factors interact in ways that decrease (due to multicollinearity) or increase (due to synergistic effects) their influence on attrition risk.
A number of strategies to reduce attrition have been tested. Biographic questionnaires and compensatory screening can successfully identify individuals likely to attrite but at the risk of also screening out a number of individuals likely to succeed (false positives). Short (2 to 3 minute) psychiatric interviews of incoming basic trainees do not successfully predict attrition over that which can be achieved by biographic questionnaires. Stress management classes for large groups of basic trainees that are having problems in adapting to the military have not been demonstrated to be effective in reducing attrition. On the other hand, intensive one-on-one sessions with behavioral specialists may reduce attrition in early military training but this can be very time-intensive. RJP are a very promising strategy to reduce attrition and it is surprising not more work has been performed in this area, especially the application of this technique in the DEP. One of the most powerful interventions influencing attrition appears to be senior leadership initiatives. Limited data suggests that senior leadership initiatives can double attrition or lower them by half in basic and/or advanced training. When senior leadership initiatives reduce early attrition this does not influence attrition later in service or may actually lower later attrition. Soldier remedial programs that reduce basic training attrition include FAP and the PTRP. Trainees in the APFTEP attrite at higher rates than those who do not have to enter the program but the APFTEP is successful in retaining many recruits who would otherwise be discharged. Soldiers that voluntarily take advantage of the tuition assistance program, the FAST program, and the ESL program have lower attrition but individuals enrolled in these programs may just be the more motivated service members. Better study designs are necessary to evaluate the effectiveness of the Marine SMART Center. The Pennsylvania Pre-Initial Entry Training Program may be a highly effective method of reducing training attrition in the National Guard and possibly the reserves.
JOSEPH J. KNAPIK, Sc.D.
Research Physiologist
Injury Prevention Program
APPROVED:
Bruce H. Jones, M.D., MPH
Program Manager
Injury Prevention Program
APPENDIX A
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USACHPPM Project No. 12-HF-01Q9A-04
APPENDIX B
Attrition from the Delayed Entry Program (DEP)
DEP attrition from all services is shown in Table 1B and averaged 15% between FY 1991 and 1996 (189). DEP attrition rates are highest for the Marines and Army and lowest for the Air Force (189). Between July 1995 and October 1997 the major reasons for DEP attrition were failure to obligate (the individual decides not to join the service, 48%), technical reasons (pregnancy, death, enuresis, failure to graduate, 17%), disqualifying information about individuals found while in the DEP (12%), medical (13%), drug and alcohol (4%) and other reasons (6%) (145).
Table 1B. DEP Attrition for DOD Fiscal Years 1991 to 1996 (From 189)
| Fiscal Year | Men | Women |
|-------------|-------|-------|
| 1991 | 13.1 | 20.3 |
| 1992 | 13.6 | 17.9 |
| 1993 | 13.6 | 20.9 |
| 1994 | 13.7 | 21.1 |
| 1995 | 14.9 | 23.7 |
| 1996 | 13.6 | 22.4 |
| All Years | 13.7 | 21.1 |
Intrinsic (personal) risk factors for DEP attrition included female gender (101,145,184,186,189,193,207), older age (101,145,184,186,193,207), white race (67,145,184,186,189,193,257), single marital status or no dependents, (67,101,186,189), lower AFQT score (101,145,184,186,193), high school senior status (67,184,186,189), and lower educational level (145,193). Black or non-White females appear to have low DEP attrition rates (67,101,193), lower than the overall male rate.
Extrinsic (environmental/situational) risk factors for DEP attrition include longer time in the DEP (101,145,184,186,189,193,207,257), higher regional or national employment rates (101,184,186,257), greater monetary earning potential in the civilian environment than in the military environment (186), non-participation in a service college fund (186,193,257), contract renegotiation (67,145,184,207), and lack of participation in a military youth program like junior ROTC (67). Individuals are less likely to attrite from the DEP if granted a waiver (67,189). The pay grade of the recruiter and amount of recruiting experience appears to have minimal effects on DEP attrition (184). DEP attrition tends to be highest in the Marines and Army and lowest in the Air Force (101,189).
Women have DEP attrition rates that are 1.5 to 2.1 times higher than men (67,184,189,207). Women may have fewer role models among recruiters that can provide leadership and guidance. Also, about 12-14% of female DEP attrition is due to pregnancy. Providing birth control to women may limit some attrition (189).
High school seniors may leave the DEP at higher rates than high school graduates because they find other jobs or decide to pursue higher education while in the DEP. There is also a longer time for other individuals to influence their decision to join the military (189). Also, a number of seniors may not graduate and this places them in another educational TIER reducing their likelihood of acceptance into the military unless they have compensating characteristics.
Appendix C
Acknowledgements
We would like to thank Ms. Jeanette England for the editorial review, Ms. Sarah Jones for the technical review, and Ms. Carol Pace for assembling the paper and preparing it for printing and scanning. We would also like to thank Ms Michelle Canham-Chervak for development of the attributable risk tables. |
Ref. No. PTU/CC/219/25206
Dated 17/3/11
Sh. Chander Mohan,
House No. 202, Sector 36-A, Chandigarh.
Sh. S.L. Kaushal,
Advisor/Architecture,
2865, Sector 42-C, Chandigarh.
The Director,
Department of Technical Education and Industrial raining, Punjab,
Plot No. 1, Sector-36A, Chandigarh.
Dr. Nachattar Singh,
Advisor to VC and Dean (P&D),
Punjab Technical University, Jalandhar.
Sh. H.S. Bains,
Registrar, Punjab Technical University, Jalandhar.
Dr. Buta Singh (Special Invitee),
Dean (Academics), Punjab Technical University, Jalandhar.
Sub: Construction of new campus of Punjab Technical University – 23rd meeting of the Standing Building Construction Committee.
Dear Sir,
Please find enclosed herewith minutes of the above said meeting for kind information and further necessary action please. Comments, if any, may please be forwarded within 10 days of issue of this letter.
Thanking you
Yours Sincerely,
(H. P. Singh)
Executive Engineer
Copy to:
i. Dr. R. S. Khandpur, Director General, PGSC, SCO 60-61, Sector 34-A, Chandigarh for kind information please.
ii. Sh. Rajiv Aggarwal, M/s Archigroup Architects, A-14, Sector-15, Noida -201301 for kind information and necessary action please.
PUNJAB TECHNICAL UNIVERSITY, JALANDHAR
Minutes of the 23rd Meeting of the Building Construction Committee held on 15.03.2011 under the Chairmanship of Dr. R. S. Khandpur, Director General, PGSC in his office at Chandigarh.
Present:
1. Sh. Chander Mohan, Member, BOG
2. Sh. S.L. Kaushal, Chief Architect (Retd.), Punjab
3. Sh. Mohanbir Singh, Additional Director, DoTE, Punjab
(Representing Director, Technical Education and Industrial Training, Punjab).
4. Sh. H.S. Bains, Registrar, PTU
5. Dr. Buta Singh, Dean (Academics), PTU
6. Sh. H. P. Singh, Executive Engineer, PTU
7. Sh. Rajiv Aggarawal, Architect, Archigroup Architects, Delhi.
Item No. 23.1: To confirm the Minutes of 22nd meeting of Standing Building Construction Committee held on 09.02.2011.
The minutes of 22nd meeting of Standing Building Construction Committee held on 09.02.2011 were confirmed by all the members.
Item No. 23.2: Action taken on various items discussed during 22nd meeting of Standing Building Construction Committee.
The action taken/latest position of various items discussed during the previous meetings of Standing Building Construction committee is as under:
- The press advertisement for recruitment of one Asstt. Executive Engineer (Civil) and one Asstt. Engineer (Civil) required for construction cell will be published along with press advertisement being published for other posts.
- It was informed by EE that nomination of committee for finalization of requirement of staff quarters and their specifications and finishes will be taken up after finalization of requirements and plans of other proposed campus at Main campus, Mansa and Mohali.
However, the Committee was of the view that PTU may finalize the requirements of staff quarters and their specifications but the works may be taken up as and when required. It has also advised that a survey may be conducted to ascertain whether PTU officers/staff are willing to stay at PTU campus or not.
- EE informed that the Architect visited PTU’s main campus on 16.02.2011 & 17.02.2011 and had detailed discussions with Dean/Academics and finalized the various requirements for the proposed building for PIT at Kapurthala.
Item No. 23.3: To discuss and finalize the layout plans and other details of the proposed building for establishment of Punjab Institute of Technology at University Campus, Kapurthala.
The requirements for establishment of Punjab Institute of Technology at University Campus, Kapurthala were finalized during 21st meeting of Standing Building Construction Committee and conceptual plan based upon these requirements were approved in principle during the 22nd meeting.
During 22nd meeting, it was decided that Dean/Academics may study the proposed plans to ensure that all the requirements for establishment of campus for PG courses are met in the proposed building plans. It was also agreed that discussions may be held between the Architect and PTU team to finalize the further requirements/provisions to be made in the institute before putting up the same before the ‘Standing Building Construction Committee’. The Architect visited PTU’s main campus on 16.02.2011 & 17.02.2011 and had detailed discussions with Dean/Academics. It was decided to have the following provisions:
- Provision for electric load of 25 KW per lab for ground floor; 20 KW per lab for first floor and 15 KW per lab for all subsequent floors may be kept. However, connected load will be taken, as required.
- Data networking to be provided for all the spaces.
- Water supply and disposal points at a couple of locations may be considered for all the labs except for the computer labs.
- The plans as proposed meet the requirements of the university and may be considered for approval.
- No basement to be provided in this building so that heavy machines can be installed on ground floor;
- Provision of double basement (two floors) may be considered in the parking area and under adjoining building in the subsequent phases for about 1000 cars (350 @ each basement and 300 on the surface)
- A central library of about 30-35,000 sft may be considered to form the academic hub. This building may include a students’ canteen on ground floor. A few small convenient shops like photocopier, stationery etc. may also be included. The concept similar to the one in the Guru Gobind Singh Indraprastrha University may be considered. The architects will prepare a conceptual plan including the library building in the master plan for discussion in the next Standing Building Committee meeting.
- Two seminar halls of 150 seats each and one of 250 may be considered in the whole master plan in place of four seminar halls of 150 seats each proposed earlier. Construction of one seminar hall of 150 seats will be included in this phase of construction.
Based upon the above finalized requirements, the Architect presented the revised layout plans of the institute in the present meeting.
After discussions and deliberations, the plans presented by the Architect were approved subject to the following:-
i. Seminar hall will be shifted to left side to the extent possible.
ii. Toilet blocks protruding inside the library will be taken out so that layout of the library remains in true oval shape for better aesthetic look.
In addition to the above, following was also decided:
i. Presently, construction of two towers, library cum canteen building and one seminar hall will be taken up. Library will have G+2 floors without basement.
ii. No basement is to be constructed for 1st block (housing Mechanical Department Lab at ground floor) and whereas, all other blocks will have the basements.
iii. Parking area will have two tier basements for parking. This will take care of future requirements of parking. However, construction of these basements will be taken up subsequently.
iv. Finishing (Outside and Inside) of the buildings will be decided in due course of time.
v. Library will be air-conditioned preferably with AC towers. There should be 24x7 power back-up for Library. The possibility of provision of heating system in the building may be considered.
vi. Provision for Air-conditioning of canteen in future may be kept.
vii. No water body is to be provided in the seminar hall.
The architects were advised to start work on the services.
Item No. 23.4 : To discuss and finalize the procedure to be adopted for appointment of Architect for Architectural services for establishment of new Punjab Institute of Technology at Mansa, Ludhiana & Barnala and PTU’s Regional Campus at Mohali.
The procedure to be adopted for appointment of Architect for Architectural services for establishment of new Punjab Institute of Technology at Mansa, Ludhiana & Barnala and PTU’s Regional Campus at Mohali and other future works was discussed in detail. After examining the various options presented in the meeting, it was decided that appointment of the Architect will be done on the basis of ‘Quality and Cost Based Selection’. It was also informed that while appointing Architect, World Bank is also following the similar procedure. Recently, tenders floated by SLIET for appointment of Architect also have the similar basis of selection.
Broadly, the following procedure will be followed:
- Bids from interested Architects will be invited through press advertisement in two packets - one containing Technical Bid and other Financial Bid.
- Technical Bids will be opened in 1st phase and based upon their profile like Relevant Experience of the firm, Organization structure, Key officials and their professional experience etc., scores/marks will be given.
- The Financial bids of the Architects having scored minimum qualifying marks will be opened. The financial bids of the Architect not qualified will be returned unopened.
The overall score of the Architect (Technical and Financial) will be calculated as under:
The marks obtained in Technical bid evaluation will be treated as Technical scores (Sr) and whereas, financial scores ($S_F$) will be calculated as under:
$$S_F = 100 \times \frac{F_m}{F}$$
$F_m$ – Lowest bid received.
$F$ - Price quoted by the bidder under consideration.
Following weightage will be considered for working out the overall scores:
Weightage for Technical scores : 0.80
Weightage for Financial scores : 0.20
The overall scores ($S_o$) of the bidders shall be calculated as under:
$$S_o = 0.80 \times S_t + 0.20 \times S_F$$
The firm/Architect achieving the highest overall scores will be considered for award of work/negotiations.
However, it was advised to Executive Engineer/PTU to prepare a draft tender document for the above containing detailed criteria for evaluation of the credentials, marking system and short-listing etc. It was suggested that some weightage may be kept for presentation by the architects in the Evaluation Criteria.
The draft tender document will be discussed and considered for approval in the next meeting of Standing Building Construction Committee.
**Item No. 23.5:** Provision of ‘First Aid Room’ at PTU’s main campus:
Noted.
*Following additional points were also discussed with the permission of Chair:*
**Item No. 23.6:** Standardization of Boundary Wall Pattern/Design for all the institutes of PTU:
It was brought to the notice of the committee that PTU is in the process of establishing Punjab Institute of Technology and Punjab Institute of Management at various locations in Punjab. Land for establishment of these institutes is being made available by Punjab Govt. It was proposed that PTU may be allowed to follow the pattern/design of the boundary wall for all the new institutes as has been adopted for PTU’s main campus at Jalandhar-Kapurthala Road.
This was agreed to by the Committee.
Item No. 23.7: To approve recruitment of technical staff for Construction cell:
It was brought to the notice of the committee that PTU is in the process of establishing Punjab Institute of Technology and Punjab Institute of Management at various locations in Punjab. Land for establishment of PIT at Mansa is being made available by Punjab Govt in few days and construction of boundary wall will be taken up on priority for this institute. It was proposed that one Assistant Engineer (Civil) may also be recruited for this work. This was agreed to by the Committee. |
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Computer analysis of monochromatic drawings by mentally healthy people and patients with schizophrenia
Article in Journal of Optical Technology · October 2015
DOI: 10.1364/JOT.82.000707
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Computer analysis of monochromatic drawings by mentally healthy people and patients with schizophrenia
S. V. Pronin, I. I. Shoshina, and Yu. E. Shelepina
I. P. Pavlov Institute of Physiology, Russian Academy of Sciences, St. Petersburg, Russia
(Submitted May 7, 2015)
Opticheskii Zhurnal 82, 79–83 (October 2015)
This paper presents the results of a comparative computer analysis of monochromatic drawings by mentally healthy subjects and patients with schizophrenia. The contours of the images were distinguished in each of the drawings, after which the following characteristics were calculated: the total length of all the contours of the image, the mean size of the image, and the ratio of the total length of the contours to the mean size. The spatial-frequency spectra of the images were also computed. It is established that the mean size of the drawings and the relative length of the contours in the drawings by the patients with schizophrenia are less than in those of the healthy subjects—i.e., the drawings of the patients with schizophrenia are less detailed. Moreover, these drawings are characterized by a certain rise of the spectrum in the region of medium spatial frequencies. As shown by a computer experiment, on the basis of an analysis of twenty arbitrarily chosen drawings by the patients with schizophrenia, a positive diagnosis can be delivered in 92% of all the cases. When the same sample of drawings by healthy subjects is analyzed, the probability of an incorrect diagnosis was 6.5%. The resulting data are regarded as evidence of dysfunction when there is schizophrenia of the magnocellular system, which provides a global analysis of the images and an increase of the internal noise level of the visual system. © 2015 Optical Society of America.
OCIS codes: (070.2615) Frequency filtering; (110.2960) Image analysis; (170.5380) Physiology; (330.6110) Spatial filtering; (330.5370) Physiological optics; (330.7323) Visual optics, aging changes.
http://dx.doi.org/10.1364/JOT.82.000707
INTRODUCTION
The capability of the brain to create an objective picture of the surrounding world, needed for adaptive behavior, often happens to be damaged by various pathological states, especially by psychopathology. There is currently very little known about how people with mental disorders perceive the world. There is a well-known hypothesis that the structural–functional organization of the visual system is evolutionarily adapted and coordinated with the statistical properties of the natural visual medium. Works of art, as well as ordinary simple drawings, are a reflection of the surrounding medium; therefore, it can be expected that the main statistical characteristics of such images will be close to those for natural scenes. Therefore, an analysis of the statistical characteristics of works of art and of drawings by people with mental illnesses can be used to investigate defects of visual perception, in particular, those due to schizophrenia. The data of numerous studies are evidence of a deficit of contrast sensitivity accompanying schizophrenia. As a whole, patients with schizophrenia demonstrate a falloff of contrast sensitivity in the range of low spatial frequencies, to which the most sensitive neurons are those of the magnocellular system, which provides a global analysis of the images of scenes. The interaction of the mechanisms of global and local analysis of the images of scenes ensures the integrity of the perception and its objectivity. It is logical to assume that the dysfunction of one or both mechanisms accompanying schizophrenia reduces the statistical characteristics of drawings, which are a product of the activity of the brain.
The goal of this paper is to demonstrate an approach to the investigation of the breakdowns of visual perception that accompany schizophrenia by computer-analyzing monochromatic drawings by mentally healthy subjects and patients with schizophrenia.
OBJECTS AND METHODS OF THE STUDY
Eighty-one mentally healthy subjects (34 ± 12 yr) and seventy-seven patients (38 ± 13 yr) of the psychoneurological clinic with a range of F20.0 in the MKB-10 classification—paranoid schizophrenia—participated in the study. All the patients were in stable condition. The task of each subject was to draw the face of a person on a single sheet of paper and a complete person on a second sheet. All the drawings were made using a black marker with the same size of nib on a sheet of paper of the same size (0.5 format A4). The time for drawing was unlimited. The resulting drawings were scanned, and the size of the scanning region of each drawing was 5100 × 3500 pixels. In order to exclude from the images low-contrast details not associated with the drawing (elements of the paper texture, spots, etc.), the image was binarized after scanning. The edges of the contours in the binarized images contain fine irregularities, which can result in increased contour lengths when the images are processed. To eliminate these irregularities, each image was reduced to a size of 512 × 351 pixels by
means of a scaling algorithm that uses a Lanczos filter.\textsuperscript{18} The boundaries of dark regions (features and regions with continuous coloring) were then distinguished in each image (Fig. 1). An algorithm similar to Canny’s well-known algorithm\textsuperscript{19} was used to search for the boundaries. Since there was no noise component in the images being processed, preliminary convolution of the image with a Gaussian kernel, ordinarily used in algorithms for distinguishing edges to suppress high-frequency noise, was not used in our case. The thresholds $T_1$ and $T_2$ used in Canny’s algorithm for the gradients were selected to be different: $0.02G_{\text{max}}$ and $0.01G_{\text{max}}$, where $G_{\text{max}}$ is the maximum brightness gradient in the image being processed. The contours discriminated in the image were chains of points with a step of one pixel.
The following parameters were then computed for each image: the total length of all the contour chains in the image in pixels, the mean size of the image in pixels, and also the ratio of the total length of the chains to the mean size. To compute the mean size $D$ of the contour image, the coordinates of its centroid were first calculated (by averaging the coordinates of the points of all the contours along the $X$ and $Y$ axes), and then the mean distance of the points of the contours from this centroid was computed, equal to
$$D = \frac{2}{N} \sum_{i=1}^{N} \sqrt{(x_i - x_0)^2 + (y_i - y_0)^2},$$
where $N$ is the overall number of points in the contours, $x_0$, $y_0$ are the coordinates of the centroid, and $x_i$, $y_i$ are the coordinates of the $i$th point of the contour.
Histograms of the distribution were constructed for each of the characteristics, and the mean values were also calculated.
The tilt angle of the amplitude spectrum of the image in a logarithmic coordinate system was used as the spatial-frequency characteristic. Since the original spectrum of the image is two-dimensional, before computing the slope, it was converted to one-dimensional by averaging the cross sections, whose orientation covered $360^\circ$ (with a $1^\circ$ step). The resulting averaged cross section of the spectrum was then approximated by a straight line, using the method of least squares, and the tangent of the angle between this line and the horizontal axis was computed. The tangent of the angle served as the characteristic degree of the slope of the spectrum.
**RESULTS AND DISCUSSION**
The mean length of the contours in the pictures equaled $(4.6 \pm 2.9) \times 10^5$ pixels in the drawings by healthy subjects and $(3.1 \pm 2.0) \times 10^5$ pixels in those of the patients with schizophrenia—i.e., a difference of a factor of 1.5. Obvious evidence of the recorded differences is the difference in the distributions of the contour lengths in the drawings by the patients with schizophrenia and the mentally healthy subjects (Fig. 2). The histogram of the distribution of the contour lengths in the drawings by the patients with schizophrenia is shifted toward lower lengths.
The difference in the contour lengths can reflect either a difference in the mean sizes of the drawings or a difference in the number of details. In order to estimate the contribution of these two factors, the distributions and the mean values of the picture sizes were calculated (Fig. 3), as well as the relative contour lengths—i.e., the ratios of the contour lengths to the picture sizes (Fig. 4). The last parameter makes it possible to roughly estimate the degree of detail of the drawings, regardless of their size.
The mean size of the drawings is $182 \pm 51$ pixels in the group of healthy subjects and $159 \pm 66$ pixels in the patients with schizophrenia—i.e., they differ by a factor of 1.15 (Fig. 3).
The mean value of the relative contour lengths was $23 \pm 9.0$ in the drawings by healthy subjects and $17.8 \pm 6.0$ in the drawings by patients with schizophrenia—i.e., they differ by a factor of 1.34. The histograms of the distribution of the relative contour lengths in the drawings by the patients with schizophrenia are shifted toward lower values (Fig. 4), as is the distribution of the contour lengths. The drawings by the patients with schizophrenia accordingly differ from those by the mentally healthy subjects by less pronounced detail. The reduced detail of the drawings by the patients with schizophrenia by comparison with those by the mentally healthy subjects is...
probably the result of dysfunction of the magnocellular system, which provides a global description of the visual field.
The results of applying the spatial-frequency (spectral) approach to the analysis of the drawings by the mentally healthy subjects and the patients with schizophrenia is evidence of differences of the spectral characteristics of the drawings by the groups being compared. The mean tangent of the tilt angle of the spectrum was $-1.23$ for the drawings by the healthy subjects and equaled $-1.30$ for the drawings by the patients with schizophrenia. That is, the tangent of the tilt angle of the spectrum of the drawings by the healthy subjects is somewhat smaller than in the patients with schizophrenia (Fig. 5). The drawings by the patients with schizophrenia were also characterized by strengthening of the amplitude spectrum of the images in the range of medium spatial frequencies. In this connection, the results of Ref. 20 are of interest, which described the spatial-frequency characteristics of the scenes that gave people a feeling of anxiety. These images also had a rise in the middle of the spatial-frequency range.
Starting from the results of the research that we carried out earlier, the resulting data can be regarded as evidence of schizophrenia-associated dysfunction of the magnocellular system, which provides global analysis of the images of the scenes and an increase of the internal noise level of the visual system.
An advantage of the method that we used for analyzing monochromatic drawings, by comparison with a similar approach to the analysis of pictures made by artists suffering from schizophrenia, is that the conditions of the study are maximally unified. There is no influence on the statistical characteristics of the drawings from differences in the drawing technique, the imaged scenes, the instrument used for drawing, or the size of the region of the drawing.
The question arises of whether this difference in the characteristics of the drawings can be used for purposes of diagnosis. The mean value of the total contour length in the drawings by healthy subjects equals 4636 pixels. It is possible to choose a threshold value for the contour length—say 3709 pixels—and to assume that, if the medium contour length in a set of drawings by a subject is below this threshold, it may be concluded that illness may be present.
To check this assumption, the following computational experimental was carried out: Ten drawings were selected in random order from an initial set of drawings for a given group of subjects (sick or healthy). The mean contour length over the sample was computed for them and was compared with the threshold of 3709 pixels. If the mean contour length was lower than this threshold, a positive “diagnosis” was issued. The experiment was repeated 10,000 times. If the sample was taken from the figures of the sick subjects, a positive diagnosis was rendered in 85% of all the cases. The same analysis of the samples from the drawings by healthy subjects showed a probability of incorrect diagnosis of 15% of the cases. If the volume of the sample was increased from ten to twenty drawings, the probability of correct diagnosis increases to 92.0% and that of erroneous diagnosis decreases to 6.5%.
It should be pointed out that these results cannot be considered a suitable diagnostic method. It must be taken into account that the changes described in this article in the character of the drawings may be specific not only for schizophrenia. Moreover, it is possible that such changes of the drawings will not be observed at early stages of the illness.
CONCLUSION
The approach to the analysis of monochromatic drawings considered in this investigation showed that drawings by patients with schizophrenia are less detailed than those of mentally healthy subjects and have an increase of the spectrum in the region of medium spatial frequencies. These data are regarded as evidence of schizophrenia-associated dysfunction of the magnocellular system, which provides global analysis of images and increases the internal noise level of the visual system.
ACKNOWLEDGMENTS
This investigation was carried out with the support of the Russian Scientific Foundation, Grant 14-15-00918.
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HISTORICAL ARCHAEOLOGY IN CALIFORNIA
Donald L. Hardesty
Department of Anthropology
University of Nevada
Reno, NV 89557-0006
ABSTRACT
Historical archaeology in California contributes to theory and method in anthropology and history by describing and interpreting (1) California's historically changing role in the 18th and 19th centuries as a frontier of European and American states and (2) the regional impact of industrial capitalism and the consumer revolution. Eric Wolf, Thomas Hall, Charles Tilly, Immanuel Wallerstein, Fernand Braudel, and others have developed theoretical frameworks for understanding how modern world-systems expand into and incorporate new regions. California is a key repository of archaeological and documentary information about the changing social and cultural frontiers of Spanish, Mexican, Russian, and American states in the 18th and 19th centuries. Of particular importance is archaeological information about the way in which indigenous and immigrant peoples were incorporated into the social and cultural systems of these states, including the emergence and evolution of new ethnic groups, social hierarchies, and dominance-resistance strategies. The rise of industrial capitalism and the consumer revolution are related to and reflect the processes of incorporation on the California frontier. Variability and change in the use, function, and meaning of ceramics and other durable goods consumed in California households mark the evolution of social hierarchies, ethnic groups, and other world-system boundary phenomena.
INTRODUCTION
In the most general sense, historical archaeology in California covers the time span after Cabrillo reached San Diego in 1542; however, in most cases it begins with the period of Spanish colonization starting in 1769 with the arrival of Gaspar de Portola's expedition in San Diego and extends into the 20th century. Archaeological studies of the Exploration Period (1542-1769), the Spanish Colonial Period (1769-1821), the Mexican Republic Period (1821-1846), and the American Period (1846-present) have taken place at least since the 1940s (e.g., Heizer et al. 1947). The archaeological "hot spots" in recent years, however, have been Spanish Colonial archaeology, Overseas Chinese archeology, urban archaeology, and industrial archeology. For the most part, theoretical and methodological approaches in California reflect American historical archaeology but vary by region, time period, and specific problems. The processes and consequences of colonization, for example, have been key theoretical issues and the measurement of acculturation a key methodological issue in Spanish Colonial archaeology (e.g., Costello 1990; Farnsworth 1987); likewise, ethnicity, ethnic relations, and the material expression of ethnicity have been key issues in Overseas Chinese archaeology (e.g., Greenwood 1991).
CALIFORNIA'S TRANSFORMATION INTO THE MODERN WORLD
The importance of these research areas is beyond question. At the same time, however, California's most significant contribution to the development of theory and method in historical archaeology may be the evaluation of explanations of how and why California was transformed into what historians call the "modern world." Some of the most provocative explanations in recent years revolve around the concept of world-systems. For this reason, the argument that California historical archaeology should be
used to evaluate the transformation processes implied by the world-systems approach seems reasonable. As is well known, the concept of world-systems emerged after the Second World War as a variety of Dependency Theory that explains economic "underdevelopment" by focusing outward upon external economic and political relationships rather than upon internal forces such as population pressure or class conflict.
In recent years, historians, political scientists, anthropologists, sociologists, and others have developed the approach as a way of interpreting the emergence of the modern world (Braudel 1981, 1982, 1984; Hall 1989; Tilly 1981; Wallerstein 1974, 1980, 1989; Wolf 1982). World-systems are large and even global social systems that are organized around unequal exchange and power relationships between a dominant "core" region and subordinate "peripheral" regions. The social and economic evolution of all regions is "constrained by their changing roles in the system" (Trigger 1989:332).
That historical and other archaeologists have used the concept extensively in recent years is well documented (e.g., Champion 1989; Costello 1992; Farnsworth and Williams 1992; Green and Perlman 1986; Greenwood and Shoup 1983; Kohl 1979; Lewis 1984; Paynter 1982; Redman 1986; Rowlands and Larsen 1987; Sabloff and Lambing-Karlovsky 1975; Thomas 1989). Bruce Trigger (1989:375), in fact, argues for the "elaboration of world-systems theory" in archaeology to gain a more detailed understanding of how history and evolutionary processes interact.
**METHODOLOGICAL CHALLENGES**
Of course, the use of a world-systems paradigm introduces a number of methodological challenges and issues. Interpreting the historical evidence of California's transformation into the modern world, for example, is a key methodological problem. Although its premise that nothing about the past is objective can be questioned, critical theory provides a useful tool for assessing the reliability and accuracy of historical evidence and suggests some weaknesses in the world system paradigm. Mark Leone and Parker Potter (1988:4-6), for example, fault the world-systems approach for its failure to take into account (1) the "failure, irrationality, emotion, the cultural survival of the defeated and the cultural subversion of the conquering"; (2) the world views, cognition, and symbolism of indigenous peoples; and (3) "presentism", which too strongly interprets the past in terms of the present without being explicit about how or why.
Certainly the past in archaeology has not been "engendered" to any significant extent, and this effectively eliminates the role of gender as a structuring principle of world-system interaction (cf. Conkey and Gero 1991.). Margaret Purser (1991), for example, provides historical evidence showing that the reciprocal "visiting" patterns of women in Grass Flat, California, and Paradise Valley, Nevada, had significant impacts both upon household economic organization and the historical structure of both communities.
Without question, the specific historical context within which world system processes take place must be carefully interpreted, if not deconstructed. That methodological problem, however, is neither a unique nor a fatal weakness of the concept of world systems. Sociologist Thomas Hall (1989:244), in fact, points out that the world-systems approach is not really a theory but a paradigm in Thomas Kuhn's sense. Paradigms are useful as conceptual frameworks that define the ballpark within which research takes place, establish working rules and strategies, and identify research priorities and problem domains. In itself the paradigm does not include rigorous theoretical principles, but distinctive theoretical approaches, theory clusters, or theory families that may emerge from the paradigm to answer specific problems. The theories may include symbolism, cognitive theory, class and power theory, feminist theory, structuralism, and others with explanatory robustness for specific problems. Theoretical weaknesses such as those pointed to by Leone and Potter (1988), therefore, are not intrinsic to the world-systems approach but do need to be taken into account in the interpretation of historical evidence.
PROBLEM DOMAINS
Within the world-systems paradigm, several "problem domains" are pivotal to the study of California's transformation into the modern world. Included are the evolution of diversity, regionality, technology, and landscapes.
Diversity
Social and economic diversification of California during its transformation into the modern world is historically visible. What role world-systems relationships may have played in the evolution of diversity, however, is controversial. The economic and political dependency of peripheral regions, for example, often has created the illusion that they are passive and unchanging recipients of essential goods and technologies from the core. Jerome Steffen's (1980) concept of a "cosmopolitan frontier" is an example. Others, however, have argued that world-system peripheries are likely to be "hotbeds" of social and cultural change. Eric Wolf (1982), for example, argues that the expansion of capitalism has increased social and cultural diversity in peripheral regions because of the unique and creative responses of indigenous peoples to their economic and political condition. If one follows evolutionary principles that the intensity of selection increases with variability, such conditions also imply a jump in the rate of social and cultural evolution.
World-system diversification takes many forms. Samir Amin (1980), for example, has argued that wealth accumulates in peripheries and is concentrated in elite groups. The formation of new hierarchical social structures such as those that emerged rapidly in California Gold Rush mining towns like Nevada City and Grass Valley is implied. Political processes also are important. The emergence of political "big men" among 17th century Native Americans in southern New England, for example, appears to be a response to world-system expansion (Brenner 1988). Recent work at Fort Ross (Lightfoot et al. 1991:149) also suggests that a single "big chief" emerged among the Kasahaya Pomo after they moved to clustered residential compounds next to the Russian colony at Fort Ross.
Ethnic diversification is another transformation process that appears to be associated with world-system peripheries. New "ethnic groups" often emerge as new places are incorporated into expanding world-systems. Perhaps the best example is the "Mestizo" ethnic group emerging in the Spanish Colonial Period. As was true of New Mexico (Hall 1989:210), the social changes taking place in California during the expansion of the American state after 1846 include the transformation of indigenous Hispanic groups into "an enclaved ethnic group, with a distinctive culture and a distinct class position within a larger structure" (Hall 1989:210). Ethnic diversification includes the emergence of material "markers" of ethnicity and ethnic boundaries. Praetzelis et al. (1987), for example, look at the symbolic content of Chinese material culture as a reflection not only of world view but also of the distinctive social structure of the Chinese community in California.
Finally, the evolution of economic diversity during California's transformation into the modern world is illustrated by Julia Costello's (1992:79) recent documentary and archaeological study of the economic changes taking place in California missions during the Mexican Republic Period. After Mexican independence in 1821, the new government for the first time legally permitted and encouraged trade with Britain and other foreign countries. As a result, Costello (1992:79) observes, "the missions became economically more autonomous and began to evidence increasingly divergent trading and buying patterns." The California missions responded to the modern world system with (1) greater economic diversity, (2) much greater range of economic success and failure, and (3) greater extremes in the treatment of indigenous residents (Costello 1992:79).
The Evolution of Regions
The transformation of California into a modern world-system also includes the formation of new regions with distinctive social and cultural characteristics, histories, landscapes, and economic and political relationships. Both the urban and rural regions of California are historically modern phenomena. In general the archaeological
interpretation of regions demands the use of "multiple scales" (Marquardt and Crumley 1987). The locality, the region, and the world-system are the three geographical scales needed to study how modern regions are formed in California.
At the local and regional scales, documentary and archaeological interpretation of the "regional community" is the key. Settlement systems, social interaction networks, and ideology or world view have been used in defining regional communities. Settlement system approaches to the regional community include analysis of transportation networks. Purser (1989:122), for example, has viewed the regional community of Paradise Valley, Nevada, through "the ways local residents built and used their road system." In this approach, the road network of each time period is interpreted as a material expression of the regional community. Roads can be used to assess not only the extent to which but also whether or not localities, including isolated homesteads, are integrated into the community.
At the world-system scale, transportation also plays an important role in regional dependency or underdevelopment. Despite political dependence upon the Spanish state, for example, Williams (1992:17) observes that the presidios in Arizona during the Spanish Colonial Period acquired most essential goods from local and regional producers rather than from producers in core-regions. Such a system of regional self-sufficiency emerged at least in part because of poorly developed transportation systems that inhibited the transfer of essential goods from core regions. Not until the development of improved overland roads, sea ports, and finally railroads in the late 19th century did full-blown economic dependency emerge.
The same argument that the evolution of regional dependency is a function of the development of transportation systems can be made for California. Both the California Gold Rush and the Comstock Lode discovery in western Nevada, for example, lead to the construction of major overland roads, such as the Carson Pass-Placerville road and the Henness Pass road over the northern Sierra Nevada to the Sacramento Valley, that greatly increased the world-system dependency of several regions that were previously isolated and relatively self-sufficient. Such a proposal can be evaluated by collecting documentary and archaeological data from way stations associated with the new transportation networks. The completion of the transcontinental railroad had even greater impacts upon the formation of modern regions.
**The Evolution of Technology**
The evolution of technology is another pathway in California's transformation to a modern world-system and defines yet another "problem domain" within the world-systems paradigm. In the "late emergence" model, Eric Wolf (1982), Charles Tilly (1981), and others see the modern world-system linked to the industrial revolution. Certainly the archaeological remains of industrial mining, logging, and agriculture make up the most abundant archaeological record of California's American Period. Industrial archaeology has not been driven by theory; however, what is possible is suggested by George Basalla's (1988) use of evolutionary principles to interpret the history of technology. The processes of diversity, continuity, novelty, and selection are incorporated into the explanatory framework.
Application of Basalla's model to industrial archaeology involves 3 hierarchical levels of explanation: (1) the use of evolutionary principles to explain patterns of change in industrial technology; (2) interpretation of the historical context within which technological novelties are accepted or rejected, and (3) the use of archaeological, ethnographic, and documentary data to describe and explain the variability/diversity in the "form" of the technological innovation or novelty.
Other theoretical arguments may be "clustered" with evolutionary theory to evaluate variability and change in industrial technology. Class and power theory, for example, which is based on asymmetrical social relationships between elite groups and subordinate groups, may provide some insights into the social and cultural conditions under which technological innovations are accepted or rejected. The key is the interplay between the domination strategies devised by elite groups such as mine owners/managers and the resistance strategies of subordinate groups such as mine workers. In a capitalist mining system, for example, a typical domination strategy is "controlling labor" through mechanization to make workers produce more through specialization and repetition of tasks. From this perspective, the rapid acceptance of technological innovations that increase mechanization in the mining industry may be better understood as a way of dominating labor rather than as a more efficient technology. If so, episodes of diversification in mining technology should be closely tied to economic cycles (Paynter 1988).
The Evolution of Landscapes
Finally, the transformation of California into the modern world created new cultural landscapes. Human-engineered and controlled ecosystems increasingly became part of the California landscape after the expansion of the modern world-system in the American Period. New urban landscapes, industrial landscapes, and hydraulic landscapes appear as part of the modern world. The control of human-controlled ecosystems at the local or regional scale is increasingly global; decisions and actions that drive ecosystem changes are made outside the region, and the "meaning" of materials incorporated into the ecosystem such as water or precious metals is created within the global economic and political arena. Perhaps the best examples in California are mining landscapes and the large scale water projects with dams, reservoirs, canals, irrigated agricultural fields, towns, and road networks covering large areas created by the "hydraulic state" that emerged in California after the late 19th century (e.g., Worster 1985). Landscape archaeology thus becomes a critical problem domain in a world-systems paradigm focused upon California's transformation into the modern world.
CONCLUSION
In conclusion, then, California historical archaeology offers the potential to evaluate with historical evidence from a large geographical area a set of explanations about the emergence of the modern world derived from the world-systems paradigm. One possible outcome of such an approach is the development of regional research strategies organized around the same research problems. Another is more interaction between historians of the modern world and archaeologists. Dare we be so optimistic?
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PRIME MINISTER'S OFFICE
No. RTI/10085/2017-PMR
To
Shri Sanjiv Chaturvedi,
C/O Mrigank Pandey,
H. No. 217, Sirmour Marg,
Dehradun, Uttarakhand.
Subject: Application under the Right to Information Act, 2005
Sir,
Reference is invited to this office letter of even no. dated 11.9.2017 and your application dated 7.8.2017, received on 12.8.2017, on the subject mentioned above. In this connection, it is stated regarding point no. 1(b) that the request made by you is generic and vague. The CIC in appeal No. CIC/RMA/2012/00310/LS dated 24.6.2013 in the case of Anil Kumar Mittal Vs. Miranda House has observed that "information seekers are expected to seek pointed and specific information and not to make roving and open ended enquiries". In respect of points 4&5, it is stated that the request made by you is not covered under the definition of 'information' as per section 2(f) of the RTI Act. As regards point 10, it is informed that no expenditure has been incurred by Prime Minister's Office (PMO) on such advertisements. Information with regard to points 12&13 shall be provided in due course.
2. With regard to information furnished in para 1 above, Shri Syed Ekram Rizwi, Director, Prime Minister's Office, South Block, New Delhi (Tel No: 011 – 2307 4072, E-mail ID: email@example.com ) is the appellate authority, for the purpose of Section 19 of the Right to Information Act, 2005.
3. Further, remaining points of your application are being transferred under section 6(3) of the RTI Act, 2005 to the Department / Ministry / Public Authority concerned for taking action as appropriate. You are advised to approach the concerned CPIOs / appellate authorities in the transferee public authorities in this regard.
Yours faithfully,
[Signature]
(Parveen Kumar)
Under Secretary and
Central Public Information Officer
☎: 2338 2590
E-mail ID: firstname.lastname@example.org
Transferred under section 6(3) of RTI Act to the following with request to provide information to the application directly:
Secretary,
D/o Personnel & Training (DoPT),
North Block, New Delhi.
For points 1(a), 2, 3 & 6.
P.T.O.
Secretary
D/o Industrial Policy & Promotion
(DIPP), Udyog Bhawan, New Delhi.
For points 7 (a&b)
Secretary,
M/o Water Resources, River
Development & Ganga Rejuvenation,
Shramshakti Bhawan, New Delhi.
For points 8 (a – c)
Secretary,
M/o Skill Development &
Entrepreneurship,
Udyog Bhawan, New Delhi.
For points 9 (a & b)
Secretary,
M/o Housing & Urban Poverty
Alleviation (HUPA),
Nirman Bhawan, New Delhi.
For points 11 & 16
CPIO,
Cabinet Secretariat,
Rashtrapati Bhawan,
New Delhi.
For points 14&15
Secretary,
M/o Drinking Water & Sanitation,
Pandit Deendayal Antyodaya Bhawan,
CGO Complex, Lodhi Road,
New Delhi.
For point 11
(Parveen Kumar)
Under Secretary & CPIO
To
Central Public Information Officer,
O/o Prime Minister of India,
North Block, New Delhi
Date: 07.08.2017
Sub: Information sought under RTI Act, 2005.
I. Name of the Applicant : Sanjiv Chaturvedi
II. Address : C/o Mrigank Pandey, H. No. 217,
Sirmour Marg, Dehradun-248001
III. Information sought :
1. a. Kindly provide me certified copy of rules/procedures/allocation of business rules/transaction of business rules, to deal with cases when complaint against corruption of any Central Minister is submitted to Prime Minister of India.
b. Kindly provide me certified copy of all the complaints submitted to Prime Minister of India against corruption charges of serving Central Ministers from 01.06.2014 till 05.08.2017 along with certified copy of all the documents related to action taken including copy of enquiry reports on such complaints by the Prime Minister Office.
2. Kindly provide me number of IAS officers against whom departmental penalties were imposed on corruption charges in financial year 2009-10; 2010-11, 2011-12, 2012-13, 2013-14, 2014-15, 2015-16 & 2016-17, separately year wise.
3. Kindly provide me the name of disciplinary authority for approving departmental chargesheet and imposition of penalties, for the IAS officers serving on central deputation, for misconducts committed by them during their Central Deputation tenure.
4. Kindly provide me all the information about the quantum and value of black money brought from abroad, from 01.06.2014 till this date along with all the documents related to the efforts made by the Prime Minister office/Central Government in this regard.
5. Kindly provide me the information regarding deposition of black money brought from abroad by the Central Government into the accounts of citizens of the country, from 01.06.2014 till this date and efforts made by Prime Minister Office in this regard.
6. Kindly provide me certified copy of all the documents regarding efforts made by Prime Minister Office regarding appointment of Lokpal including the efforts made to implement the recent Supreme Court orders.
on this matter delivered by Hon'ble Supreme Court in Case No. Writ Petition (Civil) 245 of 2014, titled as Common Cause Vs. Union of India, dated 27.04.2017. Has Prime Minister Office setup any deadline on the issue of appointment of Lokpal.
7. A. Kindly provide me the list of products made/manufactured in the country as an outcome of MAKE IN INDIA initiative, from 01.06.2014 till this date.
B. Kindly provide me all the documents and details related to the expenditure made on advertisement and promotional events, and in making the logo of MAKE IN INDIA.
8. A. Kindly provide me detail of amounts sanctioned for Namami Gange Project in financial years 2014-15, 2015-16, 2016-17 & 2017-18, and amounts actually spent, year wise in Namami Gange Project.
B. Kindly provide me all the information/documents related to any improvement in any of the parameters including Biological Oxygen Demand (BOD)/Dissolved Oxygen Content (DOC) etc. in the waters of river Ganges after 01.06.2014 as a result of Namami Gange Project.
C. Kindly provide me all the documents and details related to the expenditure made on advertisement and promotional events regarding Namami Gange Project.
9. A. Kindly provide me all the information/documents related to number of persons given employment under SKILL INDIA initiative.
B. Kindly provide me all the documents and details related to the expenditure made on advertisement and promotional events, and in making the logo of SKILL INDIA.
10. Kindly provide me all the information/documents related to the amount spent by Central Government on all the advertisements related to publicity of Central Government from 01.06.2014 till this date, including amounts spent in print media, electronic media and social media.
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12. Kindly provide me certified copy of processing and decision taken on my request for appointment with Hon'ble Prime Minister of India submitted vide letter dated 26-09-2014 and letter dated 05-12-2015(copies of letter and their receipt enclosed).
13. Kindly provide me certified copy of all the information/documents related to action taken on my letter dated 26-09-2013 titled as "Regarding Request for action against concerned officials of the Ministry of health & family Welfare for sending a false/misleading report to the office of Hon'ble Prime Minister of India", addressed to Hon'ble Prime Minister of India regarding corruption in AIIMS and role of Mr. J.P Nadda in the same and request for action/enquiry into these.
14. Kindly provide me the documents related to notification of composition of ACC(Appointment Committee of Cabinet), its powers and procedures adopted by it regarding decision making.
15. Kindly provide me certified copy of file noting/documents/correspondences related to the appointment of Secretary and Joint Secretary, to the office of President of India, in July 2017.
16. Kindly provide me complete detail of all the amount spent from 01-08-2014 till the date of providing the information, on campaign/advertisement/expenditure on brand ambassadors, on the program of SWACHH BHARAT.
Sincerely yours
Sanjiv Chaturvedi,
C/o Mrigank Pandey, H. No. 217,
Sirmour Marg, Dehradun-248001
A fee of Rs. 10 is enclosed in form of postal order no. 37F 856054
PRIME MINISTER'S OFFICE
South Block, New Delhi - 110 011
Please find enclosed, for comments, a copy of self-contained note dated 26.9.2014 addressed to Prime Minister by Shri Sanjiv Chaturvedi, AIIMS, New Delhi.
(S.Selvakumar)
Director
Tel: 2301 7676
Secretary, Department of Health & Family Welfare
PMO ID no. 520/31/C/67/2014-ES-II
Dated: 08.10.2014
No. 82(26022)/2015-PMF
Dated 16-12-2015
To
Shri Sanjiv Chaturvedi,
D-11/8, Western Campus AIIMS,
Ansari Nagar, New Delhi-110 029.
Sir,
Please refer to your letter dated 5-12-2015 expressing your desire to donate your award money towards Prime Minister's National Relief Fund (PMNRF).
2. In this connection, it is apprised that donation can be made towards PMNRF through cheque/demand draft favouring the Prime Minister's National Relief Fund and can be sent to this office either by post or delivered in person. Formal receipt would be issued by post after realisation of the cheque/demand draft. Further, it is apprised that PMNRF does not accept conditional donations.
Yours faithfully,
(P.K. Bali)
Under Secretary to Govt. of India
Ph.23013683
Respected Sir,
First of all, I have to make it clear that this letter is being written by me in my capacity as a citizen of this country and not in my official capacity as a civil servant. However, just as a background information I have to submit that I am an Officer belonging to 2002 Batch of Indian Forest Service (IFS), and presently posted as Deputy Secretary in AIIMS, New Delhi, on Central Deputation. I belong to a respectable family of freedom fighters and my grandfather had actively participated in Quit India Movement, being imprisoned by Britishers and for his contribution, he was felicitated by the then Prime Minister Mrs. Indira Gandhi, in 1972, on 25th Anniversary of Freedom of the Country. Inspired by family ideals of patriotism and public service, I had decided to join the Civil Services.
In recognition of my continuous struggle against some of the most powerful corrupt elements of the establishment, which also included successful action in various high profile corruption cases in AIIMS, I was conferred Ramon Magsaysay award, on 31.08.2015, the citation of which reads as below:
"In recognition of his exemplary integrity, courage and tenacity in uncompromisingly exposing and painstakingly investigating corruption in public office, and his resolute crafting of program and system improvements to ensure that government honorably serves the people of India"
I had received a cash amount of $30,000 (Rs. 19, 85,187/- as per exchange rate prevailing at that time) along with the award and I had immediately decided to donate the entire amount into the accounts of AIIMS for treatment of poor patients. Accordingly on 21.09.2015, I sent a cheque, to be deposited into account of Director AIIMS, after depositing advance Income Tax on the same (Copy enclosed). However, till this date AIIMS administration has not deposited the said amount and the matter is being perpetually kept pending on flimsy grounds. The malafide and unwillingness is absolutely evident from the fact that in no other case of any private donor, the matter was referred to Health Ministry and the contributions were immediately deposited into institute accounts, while in my case knowing fully well about my credentials and source of funds, the matter was deliberately referred to Health Ministry, just to negate the contribution. In this regard requests and meeting with Health secretary has also not yielded any results, and the said transfer, which was a matter of few minutes in view of both the accounts being in the same branch, has been stretched to months. Even now there is no clear cut direction from Health Ministry for deposition of said amount. Being a responsible and dutiful citizen of this country, coming from a family of freedom fighters, this was an utterly humiliating and discriminatory treatment.
It appears that, this simple humanitarian issue has also fallen victim to the intolerance of the establishment towards honesty and honest civil servants.
Recently lots of debate is going on in public domain on the issue of religious/ideological intolerance. I believe that this is a complete non-issue as religious tolerance has been in the DNA of 125 crore Indians and it is irrespective/independent of the fact, which particular political party comes into power or sits in opposition. The tragedy with public discourse in our country has been that it has mostly focused on such non-issues and the actual issues regarding Health, Sanitation, Education, Drinking Water, Energy and Environment have seldom figured in these debates. In fact, the real problem of intolerance is that of establishment towards honesty and honest civil servants across the country wherein they have been harassed, humiliated, through abuse of power, and in extreme cases physically attacked and eliminated. In present times, being an honest, law abiding and independent minded civil servant has become the most difficult/dangerous proposition.
In the instant case, all the humiliation inflicted upon me, and discriminatory treatment meted out, by way of delay/denial to deposit the award money into Institute account, is a direct result of personal annoyance of Mr. J.P Nadda, Union Health Minister and President AIIMS, who had launched a persistent campaign against me right from May 2013 when I had initiated enquiry into corruption cases of one of his protégé officers and on whose departmental chargesheet, Health Ministry is sitting for past one year despite approvals of Dr. Harshvardhan, the then Union Health Minister and clear cut recommendations of CBI. In his repeated communications, Mr. Nadda not only launched very personal attacks against me, concealing orders of Hon’ble High Court and Central Administrative tribunal but also concealed various decisions of statutory bodies and even the commitment given to the very Parliamentary Committee of which he was himself a member and even openly demanded to halt all the enquiries/disciplinary proceedings initiated by me, and which was finally ‘achieved’, as data from July 2012 till this date, reveals.
After personal phone call of your goodself, in this matter on 23.08.2014, I had submitted to your goodself, irrefutable documentary evidences, demanding independent probe into the entire episode, but due to unknown reasons, such independent probe was never ordered and subsequently, Mr. J.P. Nadda became the Union Health Minister. From then, situation aggravated like anything for me and now my survival rests completely on judicial interventions. However even these judicial interventions (apart from above mentioned interventions of your goodself) have not been able to bring back any of the assigned work to me (despite consistent OUTSTANDING record) for which this very post of Deputy Secretary was created and thus, being without any work, I am being paid from public exchequer only because it gives sadistic pleasure to those persons in the establishment who were hit hard by my anti-corruption actions. If this is the situation after intervention of Prime Minister of this country, then there is no hope left for honest civil servant of this country. This is an ironical situation where the system is so much afraid of honesty of its own officer that it does not want him to work at all, fearing exposure and action into their misdeeds, and also reflects the extent of spread of corruption in our body politic, because of patronage and soft treatment over the years.
The extent to which corruption is being promoted, tolerated and protected, is very well reflected in the following report of Parliamentary committee, having representation from across the political spectrum, and adopted in August, 2015-
"The Committee is perturbed to note that despite unraveling of corruption cases at AIIMS at regular intervals the Ministry has done away with the regular Chief Vigilance Officer's post at AIIMS and the role of anti-graft officer of AIIMS has been assigned to a Joint Secretary and CVO in the Ministry of Health and Family Welfare. The Committee, therefore, strongly deprecates the non-serious approach of the Ministry towards tackling such a large number of cases of corruption at AIIMS......................."
".......most of the projects have lagged behind their set targets and thus have not met time and cost deadlines. The Committee feels that this is a pathetic situation as such delay does not bode well for an institution of vital importance like AIIMS. The Committee is very much concerned with these delays and desires them to be addressed with utmost gravitas and promptitude".
Ironically the post of Deputy Secretary was created specifically to monitor these infrastructure projects to ensure their timely completion but I was never allowed to perform this assigned duty because of massive corruption in these projects benefitting a powerful nexus of politicians-bureaucrats as evident from termination of Engineer in Charge, charge sheeting of senior most institute officials, registration of CBI cases etc, on my vigilance reports. As expected, even these scathing remarks of parliamentary committee had no impact on Health Ministry. You may also be aware of the manner in which 20 signatures were recorded in period of 24 hours, in the same Health Ministry, in August, 2014 right from the level of section officers to Hon'ble Minister on issue of removal of CVO, and how the same Ministry is dealing with the instant case, of donation for Welfare of poor patients.
Sir, at this stage, I would like to remind you the following judgment of Hon'ble Central Administrative Tribunal in May 2015 while quashing the orders of Appointments Committee of Cabinet (ACC), in my cadre transfer case –
"...The instances of harassment cited appear to be on the extreme side and deserved to be taken serious not of... we simply take note of the averments and like to reproduce the lines of poet laureate, Rabindranath Tagore quoted in the matter of Indian Medical Association versus Union of India and others [(2011)7 SCC 179], which reads as under:
1. 'Where mind is without fear and the head is held high, where knowledge is free, where the world has not broken up into fragments by narrow domestic walls, where words come out from the depth of truth where tireless striving stretches its arms towards perfection, where the clear stream of region has not lost its way onto dreary desert sand of dead habit, where the mind is led forward by thee into ever widening thought and action into that heaven of freedom, my father, let my country awake'
We do hope and trust that a situation may never arise, where honesty is punished and corruption rewarded. Such a system cannot be expected to last for a long time'.
I would also like to reproduce the prophetic words of AYN RAND, written almost 60 years ago which are absolutely accurate even today-
"When you see that in order to produce, you need to obtain permission from men who produce nothing-when you see that money is flowing to those who deal, not in goods, but in favors-when you see that men get richer by graft and by pull than by work, and your laws don't protect you against them, but protect them against you-when you see corruption being rewarded and honesty becoming a self-sacrifice-you may know that your society is doomed".
In view of circumstances mentioned above, I have decided to donate the entire award money to the accounts of Prime Minister National Relief Fund, as I am not interested in any further tussle with Health Ministry/AIIMS on this purely humanitarian issue, with already considerable time wasted in fruitless and never ending correspondences, so that the amount could be used for the welfare of the needy people without any further delay. (Kindly find enclosed herewith the cheque of the said award money). I had donated this amount with utmost pure intentions but had never expected that personal hatred of powers that be, against me, would prevail even in this case. AIIMS is a public owned Institution meant to serve poor patients and ideally personal dislike of any particular individual must not have been allowed to come into the way of flow of funds into its account but unfortunately this is the reality. If our country is run with such narrow mindset at top echelons of system, we may not be able to achieve our developmental goals even in thousand years despite all verbal rhetoric/event management.
Sir, I hope that this humble contribution would be accepted and in future appropriate steps would be taken by the Central Government to bring an end to this culture of intolerance and untouchability, being practiced against honest and law abiding civil servants. In this regard, following words of Sardar Patel, delivered in constituent assembly, should always be remembered-
"The union will go-you will not have a united India, if you have not a good All-India Service which has the independence to speak out its mind, which has a sense of security that you will stand by your word and that after all there is the Parliament, of which we can be proud where the rights and privileges are secure...this constitution is meant to be worked by a ring of service which will keep the country intact...."
I would be highly obliged if personal appointment could be granted to me so that I may also convey my "Man Ki Baat" on the plight of honest civil servants. I have been trying for this for past one year but without any result.
With warm personal regards,
Sincerely yours
(Sanjiv Chaturvedi)
Encl.: As mentioned above
H.No. D-II/8, Western Campus AIIMS,
Ansari Nagar, New Delhi-110029 |
Section 1 (C) Significant Organization of Unit Activities
1. (U) General
a. This report covers the period 1 August 1969 through 31 October 1969. During this period the Division Artillery supported maneuver forces in 1st CAV DIV (AM) Operation Kentucky Cougar. The operation continues in effect at the end of the reporting period.
(1) Mission. The 1st CAV DIV ARTY and supporting fire units provide fire support to 1st CAV DIV (AM) maneuver forces within the division's assigned TAOI and take necessary action to enhance the GVN pacification effort, and to improve the effectiveness of all RVNAF elements.
(2) Special Mission: the 1st CAV DIV ARTY (AM) continues to act as the maneuver headquarters for AO Chief and control the defenses of the 1st CAV DIV (AM) base camp at Phouc Vinh, RVN.
b. Task Organization (see Enclosure 1).
c. Artillery moves (see Enclosure 2).
d. Commanders and Principle Staff (see Enclosure 3).
2. (C) Intelligence
a. Area of Operations
(1) War Zone "C". Enemy activity in War Zone "C" during July and up until the 12 August high point decreased sharply over the previous reporting period. The enemy was weakened due to successful interdiction of his supply routes and the destruction of his cache areas by Arc Lights and artillery.
During August and early September, the 950 Regiment, 1st NVA Division, with its sapper elements, attempted to inflict casualties on First Team forces occupying FSBs throughout War Zone "C". On 11 August, FSB Eccle received a mortar attack followed by a company sized attack.
from the west and northwest. The enemy lost 17 KIAs in this attack. The following night the enemy launched an indirect rocket and mortar attack, followed by a two company ground attack from the west and northwest. Fifty-four (54) enemy were KIA in this attack. On 15 August the enemy had moved east and attacked FSB Jamie, losing 12 KIAs. 5 September found the enemy back in the western portion of War Zone "C", again launching an unsuccessful attack on FSB Ike, followed by another attack on 14 September, suffering 34 KIAs and 1 PW.
Shortly after the 14 September attack, the enemy withdrew north toward the Cambodian border, leaving War Zone "C" void of many enemy units. The enemy appears to be sitting and waiting, observing progress of the Paris Peace Talks and the anti-war movement in the US. It is felt some enemy resupply activity continues in War Zone "C", indicating a possible high point in early November. Should it materialize, the high point will probably consist of periodic attacks by fire and ground probes.
(2) Binh Long Province. On 29 July, a Hoi Chanh from the 272nd Regiment, 9th VC Division rallied to ARVN elements. The Hoi Chanh revealed plans for an attack against An Loc and Loc Ninh, which were to be mounted by elements of the 9th VC, 7th NVA, and 1st NVA Divisions. The attacks were to occur between 5 and 15 August. This information was substantiated by verifying heavy enemy activity in the "Fish Hook" area by sensors and visual reconnaissance.
In reaction to this intelligence, a series of arc lights, followed by light fire team and ground unit insertions, resulted in 72 enemy KIAs, 9 PWs, and 3 Hoi Chanhas, confirming the 9th VC Divisions presence in Binh Long (P).
On 12 August, the enemy launched the first phase of his fall offensive. In the early morning hours, he struck several major friendly installations. Quan Loi Base Camp was attacked by elements of the 272nd Regiment, 9th VC Division, in conjunction with the 4th Bn, N16 Armor Office COSVN. The enemy suffered 55 KIAs in this action. Simultaneously, the 271st Regiment, 9th VC Division launched attacks on FSBs Sidewinder and Aspen. Suffering 110 KIAs and one PW. In other action on 12 August, elements of the 11th ACR engaged enemy elements two kilometers east of FSB Sidewinder, accounting for 85 enemy KIAs.
The enemy had taken heavy casualties and was attempting to withdraw into Cambodia. On 13 August, the 11th ACR made contact with elements of the 209th Regiment, 7th NVA Division west of FSB Kelly, accounting for 77 NVA KIAs. The enemy sustained a total of 460 KIAs during the 12-13 August highpoints.
On 6 September in the northwest portion of Binh Long Province, elements of the 209th Regiment were contacted to the southwest.
of Loc Ninh, resulting in 40 enemy KIA and 4 PWs. PWs and documents captured on 10 September identified the 165th Regiment in the general area of the 6 September contact with the 209th Regiment.
During the remainder of September, enemy activity was insignificant. Captured documents indicated the displacement of the 101D Regiment and the 272nd Regiment to War Zone "C". The remainder of forces in Binh Long Province have withdrawn to the Cambodian border and appear to be in a stand-down posture. First Team operations have eliminated the opportunity for the enemy to launch a second phase of his fall offensive.
(3) Phuoc Long Province. Enemy activity in Phuoc Long Province had been at a low level until mid-July when a Hoi Chanh identified his unit as the 5th Bn, 95th Regiment, 5th VC Division. On 8 August, another rifleman identified his unit as the 3rd Bn, 275th Regiment, 5th VC Division. He added that all three regiments of the 5th VC Division (95A, 275th, 174th) were at that time located in Phuoc Long Province.
The First Team quickly reacted, relocating the 2nd and 3rd Brigades into the area, successfully interdicting the Sergos Jungle Highway and the Adams Road Complex with strategically located FSBs and a deliberate ground and air reconnaissance.
On 12 August, elements of the 275th attacked friendly units at Duc Phong and FSB Caldwell, resulting in 21 enemy KIA.
On 3 September, elements of the 3rd MSF made contact with elements of the 5th Bn, 95A Regiment, and 24th AA Bn, 5th VC Division. The enemy suffered 21 KIA in this contact. Hoi Chanh reports indicate that August Arc Lights cut deeply into the resources of the 5th VC Division, destroying the Division hospital and inflicting heavy casualties on the 174th and 275th Regiment.
In early September the 5th VC Division assumed a stand-down posture, and Hoi Chanh reports indicate Arc Lights are taking a heavy toll of the enemy. It is believed the 5th VC Division has withdrawn toward the Cambodian border and is not fully combat effective.
It is expected that the 5th VC Division will begin to refit, resupply, and retrain in late October in an attempt to regain an offensive capability. Another possibility is that the Division will move to Long Khan Province to bolster enemy strength in that area.
(4) AO Chief. During the reporting period, enemy reconnaissance elements were active. On 8 August, Ranger Team 32 contacted 5 individuals 9 kilometers SSE of Camp Gorvad, resulting in 2 NVA KIA. Captured documents indicated a 12 May perimeter probe of Camp Gorvad. On the night of 11 and 12 May, movement was noted on the perimeter of Camp Gorvad, starting approximately 2350 hours. Positive sightings followed and the perimeter wire was cut in several locations by enemy sappers.
A vigorous series of counter attacks from the perimeter followed, coupled with various fire support assets applied at points on the perimeter and locations just south of Camp Gorvad, resulting in a total of 30 enemy KIA and numerous enemy weapons captured. Effective deployment of platoon sized elements at key points throughout AO Chief, by the base defense battalion, precluded offensive operations by the enemy in the AO.
Despite the sharp increase in enemy activity in the remainder of the First Team AO during August, activity in AO Chief was highlighted only by a standoff attack against Camp Gorvad on 15 August, probably by the K33 Artillery Battalion, using 122mm rockets for the first time.
In late August, 6 PWs captured by the 1st Infantry Division SW of AO Chief, indicated that enemy morale was low and supplies were critical. This can be attributed to allied success in interdicting enemy supply routes in the area.
A PW captured by the Chon Thanh Subsector on 5 September, identified the 7th Bn, N16 Armor Office, and stated an attack on Phouc Vinh was a future mission of the Battalion. Radar detected a sharp increase in enemy movement in AO Chief during the first week in September, and on 5 September, Camp Gorvad received 4 volleys of mixed 107mm and 122mm rockets.
On 11 September an estimated platoon of sappers attempted to penetrate the SE perimeter near Bunker 44. Four NVA were KIA in the action. On 14 September, rmu G-20 District captured an individual in the area of the attempted probe who identified the 5th Bn, N16 Armor Office. He stated 25 men were involved in the attack, confirming the estimate made following the attack.
On 18 September Camp Gorvad received three C2mm rounds and on 23 September 12-107mm rounds.
Despite being greatly hampered by friendly operations, the enemy still maintains the capability to initiate infrequent harassing attacks. He can still be expected to launch small ground probes against Camp Gorvad and continue his standoff rocket and mortar attacks. Intelligence reports indicate a coming high point of enemy activity, oriented strongly on Phouc Vinh and Camp Gorvad, between 1 and 5 November.
b. Survey. The First Team Division Artillery Survey Section continued to provide fourth-order survey data to firing elements within the Division AO. Survey control was brought to five new fire support bases and numerous FSBs had survey data updated during the reporting period. In addition, the Div Arty Survey Section calibrated nine firing batteries and provided an "on call" crater analysis/shell rep team, which responded quickly to
incoming attacks. This resulted in the placing of timely and accurate artillery fire on known and suspected enemy launching sites.
c. Radar
(1) HHE, Div Arty and each of the three DS Artillery Battalions operated an AN/MFQ-4A Counter-Mortar Radar. In addition to its counter-mortar role, the Q-4 proved to be a economical and time-saving means of conducting artillery registrations.
(2) Div Arty's two AN/TPS-25 Ground Surveillance Radars showed themselves to be valuable target acquisition devices. The two radars acquired a total of 372 hostile targets during the reporting period. Their use in conjunction with Nighthawk, IR, SLAR, and sensor devices proved to be not only a means of rapid and accurate target detection, but was a reliable method of verifying intelligence information.
(3) Div Arty was also responsible for the management and control of the Division's 17 AN/TPS-5 Ground Surveillance Radars. Radars were picked up from fire support bases as repairs or evacuation were needed. The sets were sent to 147th Maintenance for repair and new sets immediately returned to the FSBs. Missions were flown on a 24 hour basis, often during hours of darkness, providing the First Team's FSBs continual radar coverage.
3. (C) Operations
a. Plans: During the period 1 August 1969 through 31 October 1969, the 1st CAV DIV (Air) participated in Operation Kentucky Cougar.
b. Operation Kentucky Cougar: 181930 June 69 to present.
(1) Concept of Operations: Direct support artillery was provided on a maneuver battalion - artillery battery basis, with batteries changing OPCON from their parent battalions as the brigade task organization changed. Medium artillery organic to the division was used in a General Support Reinforcing role to weigh critical areas and influence the battle. Aerial Rocket Artillery was given a Modified General Support Reinforcing mission which allowed the reinforced artillery battalion to direct the employment of up to two sections of AH-1 Cobras under specific conditions. Heavy artillery support was requested from supporting fire units of the 23rd Arty Gp and II FFV. Artillery and automatic weapons were used for convoy and fire support base/base camp security. Artillery support was provided to USSF camps and VNAF elements.
(2) Execution:
Organization for Combat:
2nd Bn, 19th Arty: DS 1st Bde, 1ACD
(3) All three brigades of the 1st ACD and the 11th ACR continued to operate in same areas in which they were reported last period. Internal boundary adjustments were made to allow for maneuver of ARVN forces of battalion and regimental size. The 1st Bde AO is generally north and northeast of Tay Ninh extending to the Cambodian border. 2nd Bde AO extends generally north to Cambodia and south to Dong Xoai from Song Be, which is center of mass. The 3rd Bde AO extends from the Cambodian border south to Chi Linh along the Song Be River and includes Quan Loi. The 11th ACR area of operations extends south from the Cambodian border to vicinity of Chon Than along Highway QL13 and includes Loc Ninh and An Loc. It is bordered on the west by Cambodia down to the tip of the Fish Hook area. DIV ARTY conducts ground operations in AO Chieu which is an area varying in radius of 10 to 20 km centered around Phouc Vinh.
c. Activity throughout the 1st CAV DIV area of operations was moderate to heavy during August and lighter during September and October. In August, the enemy's offensive efforts focused on Binh Long Province and the population centers of Loc Ninh, An Loc, and Quan Loi, each of which is also a major military installation. Coordinated attacks were carried out against other locations but the principle effort was against US/ARVN installations in Binh Long Province. Division Artillery units supported US/ARVN forces as they successfully countered all enemy attacks, handing the enemy a tremendous defeat in the Binh Long Province. Enemy activity during September and October consisted primarily of standoff attacks. 1st Cavalry Division forces conducted extensive ground reconnaissance to find and destroy the enemy, his base camps, and logistical support areas. Division Artillery made extensive use, during the reported period, of all intelligence sources to develop targets for attack.
d. 1st Cavalry Division Artillery units supported the GVN Pacification and Development Plan at every opportunity. Friendly villages were supported with artillery fire and on-call targets were planned and fired around allied settlements to insure their defense when under attack. Artillery assistance programs were conducted by DIV ARTY units which materially improved the RVNAF artillery unit's capability to support their own forces.
e. Ammunition Expenditures (1 Aug-31 Oct) HE ONLY
| UNIT | CALIBER | AMOUNT | TONNAGE |
|-----------------------------|-----------|---------|---------|
| 2nd Bn, 19th Arty | 105MM | 72,042 | 2,017.2 |
| 1st Bn, 77th Arty | 105MM | 78,667 | 2,202.6 |
| 1st Bn, 21st Arty | 105MM | 68,337 | 1,913.4 |
| TOTAL (105): | | 219,046 | |
| 1st Bn, 30th Arty | 155MM | 35,581 | 1,956.9 |
| 2nd Bn, 20th Arty | 2.75 FFAR | 77,756 | |
| 2nd Bn, 20th Arty | 7.62MM | 1,238,962 | |
| 2nd Bn, 20th Arty | 40MM | 52,244 | |
f. Artillery Moves (1 Aug-31 Oct 69)
| UNIT | AUG 69 | SEP 69 | OCT 69 | RPT PERIOD |
|-----------------------------|--------|--------|--------|------------|
| 2nd Bn, 19th Arty | 4 | 2 | 12 | 18* |
| 1st Bn, 77th Arty | 8 | 5 | 3 | 16** |
| 1st Bn, 21st Arty | 7 | 8 | 2 | 17 |
| 1st Bn, 30th Arty | 6 | 2 | 5 | 13 (23)* |
| TOTAL: | 25 | 17 | 22 | 64 |
g. 2nd Bn, 20th Arty (AR) Employment Statistics 1 Aug - 31 Oct 69
| Category | Count |
|-----------------------------------|-------|
| Hours Flown | 6664 |
| Sections on AR Fire Missions | 862 |
| Sections on AR CAPs | 945 |
| Sections as Gunships | 464 |
| Sections on Mortar Patrol | 265 |
| Aircraft on Hunter/Killer | 325 |
*10 moves credited to 2/19 were made by A-2/19 while under OPCON to 1/30 Arty.
**NOTE: 1/77 Bn Hqs/HHB also relocated two times during this period.
4. (U) Training
a. General. Formal instruction over and above normal recurring training prescribed by 1st CAV DIV Cir 350-1 consists primarily of three programs: a Forward Observer School, Counter-Sapper Training and Demonstrations... presented to the entire division, and artillery assistance and training to ARVN artillery units... through the DONG TIEN (Forward Together) Plan... in support of the ARVN upgrading mission of the Division. In addition, Div Arty units liaison officers and forward observers conduct informal artillery training for the US and ARVN infantry units that they support, on a continuous basis.
b. Forward Observer School. 1st Cav Div Arty conducts formal forward observer training to newly arrived or assigned personnel who will be members of a forward observer team. The purpose of the instruction is to familiarize officers and enlisted men with the techniques of artillery adjustment in Vietnam. Two days of classroom instruction and one day of actual artillery and Aerial Rocket Artillery (ARA) adjustment are conducted. Seven classes were conducted during the period 1 Aug 69 - 31 Oct 69, graduating 56 students.
c. Counter-Sapper Training/Demonstrations. 1st Cav Div Arty is responsible for presenting formal counter-sapper training and sapper demonstrations to all the fire support bases and base camps within the 1st Cav TMOI. This is accomplished on a recurring basis in an attempt to reach as many personnel as possible. Each POI consists of opening remarks (10 mins) giving the background of two former sappers assigned to Div Arty as Kit Carson Scouts, that give the demonstration portion; a 15 minute class on the enemy sapper... his background, training, and methods/techniques of attack; and a 15 minute demonstration, highlighted by the two former sappers negotiating the perimeter wire and anti-intrusion devices. This POI is also presented to each Combat Leaders Course conducted by the 1st Cav Div's First Team Academy. Following the class, the two Kit Carson Scouts are made available for questioning and to analyze the perimeter defense, as commanders may desire.
d. Artillery Assistance/Training. Division Artillery units continued an aggressive assistance program throughout the reporting period. Artillery battalions instructed supported infantry units in proper adjustment of artillery fires including ARA. The ARVN artillery forward observers and the US advisors of ARVN units received instruction in the employment of ARA from the 2nd Bn (AM), 19th Artillery in the 1st Bde AO. Division Artillery units in the 2nd and 3rd Bde AO's trained ARVN artillery units in airmobile techniques and conducted formal gunnery training for the fire direction centers of several ARVN firing units.
5. (U) Logistics
During the reported period the S-4 section implemented a vigorous supervision program which took representatives to the forward fire bases and base camps to evaluate and monitor, primarily, Class I, IV, and V
stockage and resupply. Additionally, early in the period, the Division Artillery Food Service Representative began evaluating field messing facilities and operations to insure uniformity throughout the Div Arty units. Near the end of the period a command maintenance visit was initiated into the program which takes the Div Arty Maintenance Officer to the fire bases and base camps throughout the 1st Cav TAOI on a recurring basis.
6. (C) Organization
a. Strength. Authorized and assigned strength as of the end of the reporting period were as follows:
| UNIT | OFF | WO | FM | AGG |
|----------|------|------|-------|-------|
| *HHB | 24/2 | 3 | 135/15| 162/17|
| **E/82 | 20/1 | 17/1 | 91/25 | 128/27|
| 1/21 | 43 | 2 | 391 | 436 |
| 1/77 | 43 | 2 | 391 | 436 |
| 2/19 | 43 | 2 | 391 | 436 |
| **2/20 | 53/3 | 52/3 | 313/156| 418/162|
| 1/30 | 37 | 6 | 555 | 598 |
| UNIT | OFF | WO | FM | AGG |
|----------|------|------|-------|-------|
| *HHB | 31/2 | 17/1 | 89/25 | 116/27|
| **E/82 | 20/1 | 17/1 | 89/25 | 116/27|
| 1/21 | 39 | 1 | 353 | 393 |
| 1/77 | 42 | 1 | 348 | 391 |
| 2/19 | 38 | 1 | 354 | 393 |
| **2/20 | 56/3 | 44/2 | 303/112| 403/117|
| 1/30 | 36 | 5 | 518 | 559 |
NOTE: *Figures below diagonal are the attached 273rd and 268th Radar Teams (TPS-25).
**Figures below diagonal are the KD Teams attached (Aircraft Maintenance Teams).
b. Casualties
| UNIT | (AUGUST) | (SEPTEMBER) | (OCTOBER) |
|------|----------|-------------|-----------|
| | KIA | WIA | MIA | KIA | WIA | MIA | KIA | WIA | MIA |
| 2/19 | 1 | 13 | | 1 | 15 | | 1 | 2 | (Due to lack of identity at end of period.) |
| 1/77 | 3 | 15 | | 6 | | | | | |
| 1/21 | 4 | | | 3 | 14 | | 1 | 1 | |
| 1/30 | 11 | 40 | | 2 | 18 | | | | |
b. Casualties
| UNIT | (AUGUST) KIA | WIA | MIA | (SEPTEMBER) KIA | WIA | MIA | (OCTOBER) KIA | WIA | MIA |
|------|-------------|-----|-----|----------------|-----|-----|----------------|-----|-----|
| 2/20 | 1 | 6 | | 2 | 6 | | | | |
| HHB | | | | 2 | | | | | |
| E/82 | 1 | | | | | | | | |
c. Awards & Decorations for the period 1 Aug - 31 Oct 69:
| UNIT | DFC | SS | LM | SM | BS"V" | BS"A" | BS"S" | AM"V" | AM | ACM"V" |
|------|-----|----|----|----|-------|-------|-------|-------|-----|--------|
| HHB | 1 | | | | 1 | 11 | | 38 | 1 | |
| 2/19 | 1 | | 46 | | 47 | | | 63 | 53 | |
| 1/77 | 2 | | 25 | | 63 | 2 | 47 | 17 | | |
| 1/21 | 3 | | 21 | | 89 | 1 | 114 | 24 | | |
| 1/30 | 4 | | 19 | | 50 | 1 | 25 | 22 | | |
| 2/20 | 6 | | 4 | | 48 | 9 | 106 | 9 | | |
| E/82 | | | | | 4 | 1 | 6 | 1 | | |
| UNIT | ACM"A" | ACM"S" | PH |
|------|--------|--------|----|
| HHB | 2 | 27 | 1 |
| 2/19 | 16 | 38 | |
| 1/77 | 47 | 16 | |
| 1/21 | 65 | 21 | |
| 1/30 | 124 | 71 | |
| 2/20 | 58 | 9 | |
| E/82 | 11 | 1 | |
7. (C) OTHER:
a. E Battery, 82nd Artillery (aviation) |
Smoke Alarm User’s Manual
Please read and use this manual
WIRELESS PHOTOELECTRIC SMOKE ALARM
MODEL: WSS80-AP2/WSS80-A3E
EN 14604
EN 50131-0-2
EN 54-4
3 Years Warranty
Photoelectric smoke alarms are generally more effective at detecting smoldering fires which smolder for hours before bursting into flames. Sources of these fires may include cigarettes burning in couches or bedding.
MAIN FEATURES
- DC Wireless Photoelectric Type Smoke Alarm
- Photoelectric sensor to avoid swallowing fires
- Test/Verify button
- Non-toxic technology for environment-friendly
- High level audio sensitivity
- Quick to recharging bracket for easy installation
- Firing and history tamper-resist feature
- LED operation indicator
- Extra loud alarm sound over 85 dB
- Low battery indicator by moving warning indicator
- Auto reset when smoke clears
SPECIFICATION
- Model Number: WSS80-AP2/WSS80-A3E
- Detection Type: Photoelectric Chamber
- Power Source: 9V DC Battery
- Working Temperature: -10~+55°C (-4~+131°F)
- Detection distance: 10m (open space)
- Soundly Current: 10mA max.
- Alarm Current: 10mA max.
- Alarm Sound Level: 85 Decibels at 3 meters
- Operation Temperature: 57°C at 85%
- Ambient Humidity: 10%~90%
- Sensitivity to Smoke: 3.6±0.6%Km/s
- Campus size: 100mm diameter
IMPORTANT SAFETY INFORMATION
This smoke alarm requires constant working. 9-volt batteries operate properly. This smoke alarm WILL NOT work if the battery is removed, drained or improperly connected. DO NOT use any other kind of battery except as specified. The Test button accurately tests all smoke alarm functions. Do not use any other test method. Test smoke alarm weekly to ensure proper operation.
1. DO NOT remove or disconnect battery to quiet unwanted alarms. This will remove your protection. Open windows or fan the air around smoke alarms to silence it.
2. For installation, observe all local and national electrical building codes.
3. Smoke alarms are designed to be used in a single room. In multi-room buildings, each individual living unit should have its own smoke alarm. Do not install in non-residential buildings. And this smoke alarm is not a substitute for a complete home system.
4. Smoke may not reach the smoke alarm for many reasons. For example, if a fire starts in a remote part of the house, on another level, in a bathroom, wall, roof, or on the other side of a closed door, smoke may not reach the smoke alarm in time to alert household members. A smoke alarm will promptly detect fire except in the rare situation in which it is installed.
5. Smoke alarms are not intended to replace fire extinguishers. They are intended to be an early warning device in a potential danger. However, they may fail in limiting circumstances if a household member may not hear the alarm (i.e. earache or other noise, sound compete, drug or alcohol usage, no hard of hearing, etc.). If you suspect that this smoke alarm may not alert a household member, install and maintain equally smoke alarms. Household members must hear the alarm's warning sound and quickly respond to it to reduce the risk of damage, injury, or death that may result from fire. If a household member is hearing impaired, install special smoke alarms with visual or vibrating devices to alert members.
6. Smoke alarms should be installed on every level of the home. They should be located near sleeping areas and inside a potential danger. They should also be installed in the kitchen, laundry room, garage, and basement. Smoke alarms detect combustion particles in the air. They are not sensitive to steam, fumes, or gas. But smoke alarms do not provide any audible warning of a developing fire. However, many fires can be burning, explosive, or infernal. Others may be caused by carelessness or safety hazards. Smoke may not reach the smoke alarm QUICKLY ENOUGH to ensure your escape.
7. Smoke alarms have limitations. No smoke alarm is foolproof and is not warranted to prevent losses or property from fire. Smoke alarms are only a substitute for insurance. Homeowners and renters are responsible for insuring their lives and property. In addition, it is possible for the smoke alarm to fail at any time. For this reason, you must test the smoke alarms weekly and replace every 10 years.
Note: For best protection, we recommend that you install a smoke alarm in every room.
SMOKE ALARM PLACEMENT
Typical single-story home
Install a smoke alarm on the ceiling; well inside each bedroom and in the hallway outside each separate sleeping area. If a bedroom area hallway is more than 9 feet long, install a smoke alarm at each end. Please install a smoke alarm on the top of a flight-to-second-floor stairwell.
Typical Multi-family or split-level home
Install a smoke alarm on the ceiling or wall inside each bedroom and in the hallway outside each separate sleeping area. If a bedroom area hallway is more than 9 feet long, install a smoke alarm at each end. Please install a smoke alarm on the top of a flight-to-second-floor stairwell.
KEY:
● Minimum required smoke alarm locations
○ Recommended additional smoke alarm locations
△ Smoke alarms with heat features recommended for additional protection
IMPORTANT SMOKE ALARM PLACEMENT AND EXCEPTION INFORMATION
1. Install a smoke alarm close to the center of the ceiling as possible. If this is not practical, mount no closer than 4 inches from a wall or corner. Also, if local codes allow, install smoke alarms on walls, between 4 and 12 inches from ceiling/wall intersections.
2. Install a manual fire or smoke alarm in every home, no matter how small the home.
3. Install a manual alarm in each room that is divided by a partial wall where smoke rising down from the ceiling at least 6 inches or ceiling height (at the floor).
4. Install a smoke alarm in lived-in attics or attics which house electrical equipment like furnaces, air conditioners, or heaters.
HOW TO SET THE SMOKE ALARM INTERCONNECT WITH CONTROL PANEL
1. Find the 3-pin connector located on the back of each device.
2. Push switch function: The 1-dimmer, is a coding, total 64 coding. The protection zone is composed by 8 bytes, the first byte is 0x00, the last byte is 0x7F, the switch setting, starting from 0x00 to 0x63.
3. The protection zone can be changed through the radio of the wireless devices.
4. The protection zone can be changed through press two button to set smoke alarm or the alarm is powered on.
5. Please refer to the manual of control panel to add the alarm.
CAUTION: Do not be the boundaries of the alarms, always working at an arm’s length away from the alarm when testing.
OPERATING YOUR SMOKE ALARM
1. The smoke alarm must be installed with a RED indicator light (LED) should flash approximately once a minute to indicate the battery is healthy and that it can be operating properly.
2. If smoke is detected, the unit will call a local pulsating alarm and a RED indicator LED will flash by flashing quickly and the air is silent.
TESTING THE SMOKE ALARM
1. Test your smoke alarm to make sure it is installed correctly and operating properly.
2. Push the test/verify button accurately tests functions. Do not use an open flame to test this smoke alarm. You may ignite and damage the smoke alarm or your home.
3. Smoke alarms usually give an open warning from vibration or when one has been at the household for several days.
4. Stand at least 10 feet from the smoke alarm when testing.
TEST ALL SMOKE ALARMS WEEKLY BY PERFORMING THE FOLLOWING STEPS:
1. Firstly push the TEST button or use the remote testing function, the smoke alarm will sound a loud beep.
The alarm will stop sounding after releasing the TEST button.
2. If smoke alarm does not sound, please reset the smoke alarm.
DANGER: If the alarm sounds, and smoke alarm is not being tested, the smoke alarm is sensing smoke. THE SOUND OF THE ALARM BLOWS REQUIRES YOUR IMMEDIATE ATTENTION AND ACTION.
MAINTENANCE AND CLEANING
In addition to weekly testing, this smoke alarm requires yearly battery replacement and periodic cleaning to remove dust, dirt, and debris.
BATTERY REPLACEMENT
Replace battery at least once a year or immediately when the low battery signal sounds every 45S. Batteries should be replaced regularly as necessary.
WARNING: Do not use any other type of battery, except as specified in this manual. Do not use rechargeable batteries.
CAUTION: Explosion could happen if battery is incorrectly replaced.
HOW TO INSTALL THIS SMOKE ALARM
WARNING: Smoke alarm installation must be in accordance with requirements of any national and local codes that may apply.
1. Turn back of smoke alarm, remove the mounting plate by turning it counterclockwise.
2. To later engage tamper-evident feature, twist out and set aside one of the pins marked into place. Both pins are exactly the same.
3. Secure plate to wall using wall mounting screws.
4. Lift open battery pocket door.
5. Connect new 9-volt battery to battery connector inside battery pocket. Be sure battery is securely connected. Red LED may blink briefly when battery is installed.
6. Close battery pocket door, snapping it into place.
7. Position smoke alarm to mounting plate and turn clockwise to lock into place. To engage tamper-evident feature, insert pin into notch on edge of smoke alarm after alarm is properly positioned above.
8. Press test button to test smoke alarm. See TESTING THE SMOKE ALARM.
CHANGING A REPLACEMENT BATTERY
The unit requires one standard 9V battery. The following batteries are acceptable as replacements:
Golden Power GP6F22, Mignon 9V22, New Luster 9V22, Gold Peak 6LR64, Eveready 9V22, P1222, Golden Power GP6F22, Green Power G12F22
CLEANING
Clean the smoke alarm at least once a month to remove dust, dirt, or debris. Using the soft brush or natural attachment of a vacuum cleaner, vacuum all sides and crevice of smoke alarm door. Be sure all the vents are free of debris. If necessary, use a damp cloth to clean smoke alarm cover.
IMPORTANT: Do not attempt to remove the cover to clean inside the smoke alarm. This will void your warranty.
PRACTICE FIRE SAFETY
If the smoke alarm sounds a alarm horn, but you have not pushed the test button, it is warning of a dangerous situation. Your immediate response is necessary. To prepare for such occurrences, develop family escape plans, discuss them with all household members, and practice them frequently.
1. Express everyone to the location of a smoke alarm and explain what the event means.
2. Determine the exits from each room and evacuate route to the outside from each exit.
3. Teach household members to touch the door and see if it feels hot. If it does not, instruct them not to open the door (if the door is hot).
4. Teach household members to crawl along the floor to stay below dangerous smoke, fumes and gases.
5. Determine a safe meeting place if all family members exit the building.
WHAT TO DO IN CASE OF FIRE
1. Do not panic and stay calm.
2. Leave the building as quickly as possible. Touch doors to feel if they are hot before opening them. Use an alternate exit if necessary. (If you along the floor, do not stop to collect anything.
3. Meet at a pre-arranged meeting point outside the building.
4. Call the fire department from outside the building.
5. Do not go back inside a burning building. Wait for the fire department to arrive.
These guidelines will assist you in the event of a fire. However, to enhance the chance that first will start, practice fire safety rules and present hazardous situations.
TROUBLESHOOTING
WARNING: DO NOT disassemble battery to quiet an unwanted alarm.
This will nullify your protection. If you hear an open window to remove smoke or dust.
| Problem | Possible cause | Solution |
|---------|----------------|----------|
| No bell of the smoke detector sounds connect with the control panel. | Device may not have power | Check that battery is properly attached to connector |
| The smoke alarm is far away from the control panel. | | Install the smoke alarm close to the control panel. |
| Smoke alarm beeps with the red LED flash every 45S | Low battery | Replace battery. See battery replacement in the maintenance and cleaning section. |
| Smoke alarm has reached its end of life. | | Replace the smoke alarm with a new one. |
Manufacturer: Xiamen Yu-Tai Electronics Co., Ltd.
68/Room, Tengdahe Park, No.668 Yanggang Road,
Xiamen Economic Zone, Huiang, Xiamen, China.
Tel:0086-592-5407780
E-mail: firstname.lastname@example.org Website: www.orientalert.com |
Geographical Notes
By the Rev. Professor A. H. Sayce
Was Oropus the Classical Name of Carchemish?
The name of the important Seleucid city which occupied the site of the ancient Carchemish is still uncertain. German scholars have identified it with the Oropus or Europus of classical geography, but as is pointed out by Commander Hogarth, who has discussed the question very fully in *Carchemish*, pt. i, pp. 19 sqq. (1914), if Oropus is identified with the town placed by the Peutinger Table between Birejik and the Sajur, and this again is identified with Carchemish, the mileage attached to it will not agree with the actual facts. There is the further difficulty that, although one of the modern names given to the site is Jerabís, which could be derived from Oropus, or rather its later Greek deformation Europus, the more usual and probably older name is Jerablús, which is Hierapolis.
But there is yet another difficulty. Ammianus Marcellinus (xiv, 8) states that one of the chief cities of Northern Syria in the neighbourhood of the Euphrates was Hierapolis, which was also called Ninus. The codices (Vaticanus and Petrensis) read *Hierapoli veterennino*, which has hitherto been wrongly emended. But it is evident that the first *n* should be *u*, as is so frequently the case in MSS., *u* or *v* standing here, as elsewhere, for *v(εl)*. Hence the original text will have been *Hierapoli vetere v(εl) Nino*, "the older Hierapolis or Ninus." The later Hierapolis was the modern Membij, where the archeological remains are not earlier than the Seleucid era, and which after the foundation of its temple inherited the traditions and name of the more ancient city. This explains why Membij (Mabug, Bambykê) is unknown to the Assyrian inscriptions.
My decipherment of the so-called Hittite hieroglyphic inscriptions (which are really those of the Kaskians and Cilicians) has cleared up the origin of the name Ninus. Nana or Nina was the water-goddess (*ni* signifying "water" in Hittite); hence Nana, the mother of Attyis, is said to have been a water-nymph, the daughter of the River Sangarios, a name which appears in that of the Sajur, Assyrian Sagura, Sangura, south of Carchemish. In the Carchemish texts the name of Nana is frequently replaced by the picture of a horse's head, with or without the phonetic complement *ana*. The belief in a water-horse has spread from the country where the horse was first domesticated throughout Western Asia and Europe, and in our own island has produced the kelpie or water-spirit of the Highlands, which assumes a horse's form. The Greek hippocampus or water-horse has played a conspicuous part in art, and the old belief is still embodied in the name of the hippopotamus of Egypt. Carchemish was not only situated on the banks of the Euphrates, it also commanded the chief ford of the high road from east to west, and it was therefore appropriate that it should have been called "the city of Nana". In the texts a synonym of *Karkamisiyas*, "a Carchemishian," is *Naná-tís* and *Niná-tís*, "a Ninian." The statement of Ammianus Marcellinus has thus been fully verified.
And now to return to Oropus. In the geographical list of Ramses III at Medinet Habu, the names of Mitanni and Carchemish are followed by Uru with the determinative of place. Uru is the Assyrian *uru* "the city", which with the Mitannian definite suffix *-pi* would be written Uru-pi. The suffix is found in a good many geographical names in that part of the world—Tunip, for instance, by the side of Tuna, Til-Barsip, by the side of Tulburs, etc. In Uru-pi, accordingly, I see the origin of the Greek Oropus.
According to Stephanus of Byzantium Oropus was "formerly called Tel-missos". Is Tel-missos intended for Carchemish, *tel* taking the place of *karka*, which was identified
with the Aramaic מִצְרָם “the citadel”? In WAI. iii, 66, Ob. d 33 the name of Carchemish is actually written Karku-(AN)mas, “the citadel of (the god) Mas,”¹ and we know from the Old Testament that such etymological puns were common in the ancient Semitic world. In this case it would appear that the Karkamish uru of the Egyptian List was interpreted as meaning “the city of Carchemish”, and not that Carchemish and “the city” were separate places. On the other hand, according to Shalmaneser III, Pitru, the Pethor of the Old Testament, called Pdri in the geographical list of Thothmes III, lay a little to the south of Carchemish, between that city and the Sajur, and Pitru may be a Mittanian or Asianic word for “city”. In Vannic patari signifies “city”, and seems to be the same word as the Pteria of Herodotus, usually supposed to be the district of Boghaz Keui, though we are told that it was near Sinopê. At all events, the word teira in one or more of the Asianic languages had that signification; thus we have Teira, Thya-teira, by the side of Thyia, Adrian-thera, Têmeno-thyra, Grimenothêra, Das-teira, by the side of Das-Tarkon and Das-menda, etc.,² to which must be added the Khata-tirra of the Assyrian inscriptions. Some of the coins of Tarsus, again, have the inscription ορτυγο-θηρα, which cannot signify “quail-hunt”, but must be a Greek form of some such name as Artuga-teira. Artug is named in the geographical lists of the eighteenth and nineteenth Egyptian dynasties. Since the ideograph of “city” has the phonetic complement -ri in the cuneiform texts of Boghaz Keui, we may conclude that in the Hittite language spoken there the full word was either teiri or patari.³ The Greek Kybis-tra always appears as
¹ Nin-lil is said to be “the queen of heaven of Carchemish”. Her Hittite name was Khebe or Khiba.
² Ramsay, Cities and Bishoprics of Phrygia, p. 144.
³ The name of the Lycian city Patara would not be connected if Stephanus of Byzantium is right in saying that it was the Lycian word for “a chest”. Pteria reappears, letter for letter, in Puterias, which an inscription of the Vannic king Menuas (Sayce, xxxiii) gives as the
Khubis-na, "the land of Khubis," in the cuneiform inscriptions of Boghaz Keui and Assyria; in a Hittite hieroglyphic inscription found at Andaval (Messerschmidt, Corpus inscriptionum Hettiticarum, xxxi, C) it is written Ku-bi-is-s-a mias, "the city of Kubis," where the compound ideograph mias would have been read teiri in the language in which that word was used. The lengthened form teirya would have become τερα (for τερυα) in Greek, and so the -tra which we find in Asianic geographical names of the later period.
All this leads me to the conclusion that the name Uru-pi was employed in a double sense. Originally it would have denoted the township south of Carchemish, known to us as Pethor, but since Carchemish was par excellence the city of that region the title came to be attached to it, and eventually passed to the Greeks under the forms of Orōpus and Eurōpus. The double employment of the name would explain why the Peutinger Table (1) does not name the station between Birejik and the Sajur, and (2) gives a mileage which suits the site of Pethor but not the site of Carchemish.
In the sixth century Europus, which "popular etymology" substituted for Oropus, appears as Aghropos and Aghripos in Syriac documents. Aghripos could easily have yielded an Arabic Jerabas or Jerbas by assimilation to Jerablūs, i.e. Hierapolis, which must therefore have been the more customary name of the place, and Jerabas would naturally pass into Jerabis, the normal plural of a word Jerbas. Dr. Trowbridge, the head of the American College at Aintab, told me many years ago that some of his converts who lived in the neighbourhood of Jerablūs had informed him that ancient name of Palu on the northern bank of the Euphrates (the modern Murad-su), about midway between Malatiyeh and Van. It lay near Gupa, the Assyrian Kuppu, Khuzāna (new Khozan), which is probably the Khuzarina of the Assyrians, and Aassa, called Aassata in the inscriptions of Boghaz Keui. A variant form of the word teira probably recurs in Qulbi-tarris, one of the cities of Melitene conquered by the Vannic king Sarduris II (Sayce, l). Qulbi-tarris must be the Kholma-dara of classical geography, Qulbi or Kholma being the deity Khalmis of the Hittite hieroglyphic inscriptions.
Jerablûs was the "Arabic" and Jerabis the "Turkish" name. Many of the places in that part of the world bear double names, as I learned when I was travelling there; the first village I passed after leaving Bab, for instance, was called Kebèsin by the Arabs and Bash-Keui by the Turks, and an old city site near the ford across the Sajur was known as Tel Mansûr to the Turks and Tel el-Yansûl (also pronounced Yansûr and Yansûb) to the Arabs.
By way of conclusion I must add that the Mitannian -pi was also pronounced -wi, and could therefore be represented in cuneiform by -mi. In fact, the non-Semitic absence of distinction between m and w in Assyrian is one of several examples of Mitannian or Hittite influence that can be indicated upon Assyro-Babylonian. Sir W. M. Ramsay has shown that m, b, and w are interchangeable in the geographical names of Asia Minor, and in the cuneiform texts the same name can be written with m, w, b, and p. The character 𒂗 has the various values of mi, pi, wi, and yi. Consequently, Uru-pi could also appear in script as Uru-mi, Uru-ma, and the question, therefore, arises whether "the Hittite soldiers, Kaskians and Urumians", mentioned by Tiglath-pileser I as having occupied Subarti or Northern Syria—not to be confounded with the Supria of the Assyrian period¹—did not come from Carchemish. 'Urma (the modern Urûm), a little north of Carchemish, is already named in the geographical List of Thothmes III (No. 208 and perhaps 313),² while in the Hittite hieroglyphic texts the writers describe themselves as Kaskians. Thus, in the earliest text yet found at Carchemish, Yakhanas, who gave his name to the conquered district of Yakhan, calls himself not only "a Hittite" (Khat-tuwias), but also "a Kaskian" (Ki-is-ka-a-ni-is), and he further takes the titles of a follower of the god Tarkus and of "the Sun-god of the Kaskian land".
¹ In a Boghaz Keui text (Keilschrifttexte aus Boghazkoi, i, 22, Rev. 6) the land of Subari comes between Aleppo (Khalba) and Kinza.
² Maspero identifies it with the Greek Urma Gigantos. Gigantos is probably an echo of the old name of the district Gagati.
THE CITY OF BURSAKHANDA
In the Proceedings of the Society of Biblical Archaeology, December, 1915, I have transliterated and translated an interesting cuneiform text discovered in 1913-14 by the German excavators in the house of the Hittite Resident at Tel el-Amarna. The text, which is in the Hittite form of cuneiform script, contains a semi-legendary account of a campaign of Sargon of Accad in the later Cilicia, and was the first tablet of a series which seems to have been devoted to the earlier history of Asia Minor. The chief objective of Sargon's campaign was the city of Bursakhanda, which was situated on a mountain, and from which he brought back to Babylonia two species of fig-tree, vines, roses (wurtinnu), and other northern plants, as well as the ulpanu or lupanu, the nature of which is unknown. That the campaign of Sargon was a fact is now proved by Dr. Forrer's discovery of a tablet from Boghaz Keui, at present at Berlin, which records the invasion of eastern Asia Minor by a king of the dynasty of Akkad, and its repulse by the combined forces of the kingdoms of Kanes, Khatti, and Kursaura, the Garsaura of classical geography.
Another Boghaz Keui tablet, which embodies the annals of the Hittite king Telibinus, and has been translated by Professor Hrozný, informs us that Khattusilis I, the founder of the Khattu empire, conquered the Cilician cities of Khubis-na, Túwanuwa, Nenassa, Lánda, Zallara, Barsukhanta, and Lu...na. Khubis-na is known to us from the Assyrian inscriptions, which show that it was the classical Kybis-tra; Túwanuwa is the neighbouring Tyana; Lánda may be the Leandis of Ptolemy; and Nenassa reminds us of the classical Nanessos. Lu...na may be the Lamena of Shalmaneser III, which lay between Tanakun (Thanaké) and Tarsus, and was probably the Lapana of the Tel el-Amarna tablets. Barsukhanta is evidently the Bursakhanda of the Sargon legend, and will have been in the vicinity of Kybistra and Tyana, that is to say on one of the northern heights of
the Bulgar Dagh. Unnamisu, where Sargon is said to have spent his third year, will have been on the coast of the Gulf of Antioch, possibly where the Iônê of Stephanus Byzantinus was situated. It is possible that Barsukhanda should be identified with the city of [B]arrukhunda, which Tiglath-pileser I places in the province of Qumani. In KAB. iv, 13, Obv. 47, the name is written Barsukhuntas.
**JAVAN**
In Gen. x, 2, 4, Javan is the brother of Tubal and Meshech in Eastern Asia Minor, and the father of Elishah—the Alasia of the cuneiform records, whose name was preserved in that of the Aléian (= Alësyan) plain of Greek geography, as well as of Tarshish or Tarsus, of Kittim and of Rodanim, that is to say Cyprus and Rhodes. The geographical position assigned to him is confirmed by notices in Greek writers. Stephanus of Byzantium tells us that the Syrian Antioch was built on the site of the ancient Iônê, and the *Periplus Maritima* states that the town at the mouth of the Pyramus, afterwards known as Kephalos, was also called Iônê. In accordance with this Kedrenos states that the older name of Antioch was Iopolis. The Egyptian officer Amon-em-heb in the time of Thothmes III describes “the land of Mount Uan” as being to the west of Aleppo, and in the “Second” Arzawan letter in the Tel el-Amarna collection Labaia calls himself *memis-ta Uanwannas*, “thy spokesman of the land of Uan” (Knudtzon, 32, 2). In an Assyrian geographical list the name appears as Yaêna (WAI. ii, 53. 8), the country of Yaêna being preceded by the country of Cilicia (Khilakku) and followed by the country of Malatiyeh (Melidi). Yaêna by the side of Uan presents the same vowel-change as the Heb. *yâyin*, “wine,” Assyrian *înu*, by the side of *oîvov*, vinum. In fact it is possible that the country took its name from the vine; there was a city of Oinoandos somewhere in that part of the world. Mr. Tomkins was probably right in
identifying the Uanai of the geographical list of Thothmes III (No. 145) with Uan.
**KAS AND KUSA**
The "country of Kasi", also written Kaši and Kasse, in the Tel el-Amarna tablets, has been erroneously identified with the Kassite people of Babylonia, and supposed to represent Babylonia. Babylonia, however, is always called Kar-duniyas in the tablets, and the name of Kasi is given only (1) to Cush or Ethiopia (Knudtzon, 49.20; in 131.13 it is matšti Kasi, "the lands of Cush"), and (2) to a district which adjoined Mitanni, Naharaim, and the Hittites. Thus, in Knudtzon 76.15 it is coupled with Mitanni, in 116.71 we have Mitanni, Kaši, and the Hittites, and in 288.36 it is joined with Nakhrima or Naharaim. It thus corresponds with "the country of Kusâ" of the Assyrian texts. A letter published by Dr. Pinches in the *Proceedings* of the Society of Biblical Archaeology, 1881, p.13, informs us that the cities of Qarnê—the Karna and Atu-geren of the Egyptian geographical lists—Dâna, Kullania (the Biblical Calneh), Arpad, and Išana, were all situated in the country of the Kusâ or Kuseans, which must, therefore, have comprised that part of Northern Syria which lay immediately to the north of Naharaim. In the larger "Hittite" hieroglyphic inscription from Hamath, line 1, as copied by myself from the original stone, the king calls himself "king of the land of Kus" (*Kusi-mia*), and in the Carchemish inscriptions one of the royal titles is king of "Kas" or "Kus" (*Kusannas*). It is worth notice that the first part of the name of the conqueror from Naharaim who subjugated Palestine in the twelfth century B.C. was Chushan (Judges iii, 8), which would exactly correspond with *Kusanna(s)*, "of the land of Kus." In any case, the name of the Kusâ was preserved in classical times in that of Mons Casius.
**THE LEAD-MINES OF EARLY ASIA MINOR**
The Cappadocian tablets, which belong to the age of the Third Dynasty of Ur (B.C. 2400), show that the mining and
export of lead was one of the chief industries carried on at Ganis, now Kara Eyuk, 18 kilometres N.E. of Kaisariyeh. According to a tablet in my possession the lead was exported to Assyria (mat A-sur), and from thence distributed throughout the Near East. The names are given of a good many of the places in which the metal was found. Among them are Abê, Amas, Nakhur (evidently the Semitic Nahor), Sasakki, Sarniga, and perhaps Luši and Niri, to which a fragment in my possession adds Zanuki. Another fragment belonging to myself refers to "a man of Abê" (A-be-im). |
I. THE CENTRAL STEERING COMMITTEE FOR ANTI-CORRUPTION OF VIETNAM AND THE OFFICE OF THE CENTRAL STEERING COMMITTEE
In Vietnam, all agencies, organizations, units and citizens must be responsible for preventing and fighting corruption, including a number of key agencies: inspectorates, auditors, investigation agencies, procuracies and courts. To promote the role of these agencies, organizations, units and citizens in preventing and fighting corruption, on 28 August, 2006, the National Assembly Standing Committee decided to establish the Central Steering Committee for Anti-Corruption. The Central Steering Committee consists of 10 members, headed by the Prime Minister, with the Deputy Prime Minister as Vice Head of the Committee, one permanent member, in charge of operations, and other commissioners including the Inspector General, the Minister of Public Security, the Prosecutor General of Supreme People’s Procuracy, the Chairman of the Supreme People’s Court, the Minister of Information and Communication, the Deputy-Head of the Inspection Commission of the Central Communist Party of Vietnam, and the Vice Minister of Defense.
The Central Steering Committee has the responsibility to direct, coordinate, inspect and urge anti-corruption activities throughout the country, including directing and urging the inspection, auditing, investigation, prosecution and adjudication of serious and complex corruption cases, to ensure the handling of these cases comply with the provisions of law.
*Deputy Director, Office of Central Steering Committee for Anti-corruption of Vietnam.*
The Central Steering Committee for Anti-Corruption has a consulting and assisting agency, which is the Office of the Central Steering Committee (the standing member of the Central Steering Committee also is Chief of the Office). The Office is equivalent to Ministerial level, composed of 95 members (to-date), and divided into eight departments.
II. THE ANTI-CORRUPTION LAW AND THE NATIONAL STRATEGY ON PREVENTING AND COMBATING CORRUPTION TOWARDS 2020
On 29 November 2005, the National Assembly of Vietnam issued the Anti-Corruption Law (LAC). To implement this law, the Government and the Central Steering Committee for Anti-Corruption have directed the authorities to conduct research and build the National Strategy for Anti-corruption. This task was assigned to the Government Inspectorate. The Office of Central Steering Committee for Anti-Corruption (OSCAC) is responsible for coordinating with the Government Inspectorate to build the strategy.
The strategy sets out five solutions:
(i) To enhance openness and transparency in policy formulation and development and implementation of the law;
(ii) To perfect the public service regimes, civil servants, improving the quality of official duties performance;
(iii) To perfect the mechanism of economic management, building a fair and transparent business environment;
(iv) To improve the efficiency and effectiveness of inspecting, monitoring, auditing, investigating, prosecuting and trial in the detection and handling of corruption;
(v) To raise awareness and promote the role of society in anti-corruption.
III. THE UNITED NATIONS CONVENTION AGAINST CORRUPTION AND THE IMPLEMENTATION PLAN OF THE UNITED NATIONS CONVENTION AGAINST CORRUPTION OF VIETNAM
On 10 December 2003, Vietnam officially signed the UN Convention Against Corruption (hereinafter referred to as the Convention) at the Summit held in Merida, Mexico. After nearly six years of research and assessment on the conformity of the Vietnamese legal system, as well as difficulties, challenges and solutions in implementing the Convention, on 30 June 2009, the President of the Socialist Republic of Vietnam officially ratified the Convention by Decision No. 950/2009/QD-CTN. The Convention officially came into effect for Vietnam on 18 September 2009.
A. Law on Signing, Accession and Implementation of International Treaties of 2005 and the Law on Enactment of Legal Normative Documents of 2008
In order to actively implement the Convention, Vietnam officially issued an Implementation Plan of the United Nations Convention against Corruption (under Decision No. 445/QD-TTg, dated 7 April 2010 of the Prime Minister). This plan fully complies with regulations on the position and application of international treaties in Vietnam. The objectives, contents and roadmaps of this plan are synchronized with those of the National Strategy on Preventing and Combating Corruption towards 2020 of Vietnam; especially, it sets the specific tasks and roadmap for institutionalization and implementation of regulations and requirements of the Convention and serves as the basis for the implementation process.
According to the plan, the key tasks in implementing the Convention include:
(i) Continuing to propagate and disseminate legislation on the prevention of corruption and contents of the Convention. This measure will help raise the awareness of cadres, civil servants and other classes of people on anti-corruption laws and the Conventions.
(ii) Conducting research and making proposals on perfecting legal documents of Vietnam on measures to prevent corruption, including:
Strengthening the independence and performance of the anti-corruption agencies; perfecting the mechanism and rules on publicity, transparency and preventing corruption in public procurement;
Perfecting regulations in the financial and banking sectors to prevent money laundering;
Perfecting the mechanisms and policies for cadres, officials of anti-corruption agencies;
Perfecting regulations on remuneration of people who have made achievements in the prevention of corruption, as well as codes of conduct and ethics for staff, public officials;
Perfecting audit standards, increasing transparency in the financial and accounting sectors and transparency of assets and income of civil servants;
Building a system of criteria to evaluate and measure corruption and the effectiveness of anti-corruption work;
Making state-administrative-management work public and transparent;
Simplifying administrative procedures and ensuring periodical reports; and
Providing information on the situation of corruption and outcomes of anti-corruption work.
(iii) Supplementing corruption offences and law enforcement regulations, including: supplements to the Penal Code on the offences of offering bribes of foreign public officials and public servants of public international organizations;
Researching and proposing solutions for the criminalization of acts of corruption in the private sector for the offences of offering and taking bribes and embezzlement in the private sector, any illegal enrichment behaviour and criminal liability of legal persons;
Researching and proposing the concretization and perfection of the regulations on protection of witnesses, experts and victims and regulations on international cooperation in witness protection.
(iv) Completing mechanisms for international cooperation against corruption, including legal provisions on mutual legal assistance, extradition, transfer of sentenced persons, joint investigation and application of special investigation techniques;
Increasing the exchange of international and regional experiences on anti-corruption and Convention implementation.
(v) Perfecting the mechanism of recovery of corrupted assets, including research, proposals to supplement the implementation of civil parts in criminal judgments of foreign courts;
International cooperation on the recovery of corrupted assets;
Modifying and supplementing regulations on transparency of assets and income;
Researching and proposing measures to control the assets and incomes of cadres and public servants.
(vi) Enhancing working facilities and improving professional and corruption crimes investigation techniques for cadres in charge of anti-corruption work and strengthening international cooperation in training and retraining for anti-corruption specialized staff;
Building mechanisms to exchange information, documents, data for the prevention of corruption with other countries;
Conducting a general review and evaluation of the implementation of the legal documents on anti-corruption and conducting surveys and interviews in order to collect information, analyse, evaluate and propose measures to prevent corruption in the fields of state management.
Also in accordance with the Convention, the requirements of the Conference of the State Parties to the UNCAC as well as the existing laws of Vietnam, the Government of Vietnam assigned the Government Inspectorate as the national central authority in providing information on anti-corruption work to the international community and as the lead agency providing advice for the Government in the implementation of the Convention in Vietnam.
B. Inter-Sectoral Working Group to implement the Convention
Vietnam established the inter-sectoral working group to implement the Convention (on 11 March 2010 under Decision No. 434/QD-TTCP of the Government Inspector General) and a team of government experts to review the implementation of the Convention (on 2 June 2010 under Decision No. 776/QD-TTg of the Prime Minister).
Members of the UNCAC working group and review team are researchers, managers and practitioners representing different agencies related to the implementation of the Convention, such as the Ministry of Public Security, the Supreme People’s Procuracy, the Ministry of Justice, the Ministry of Foreign Affairs, the Office of the Government, the Office of the Central Steering Committee on preventing and combating corruption and the Government Inspectorate. The heads of the working group and review team are the leaders of the Government Inspectorate.
IV. THE RESULTS OF ANTI-CORRUPTION WORK SINCE THE IMPLEMENTATION OF THE STRATEGY, UNCAC
In recent years, the State of Vietnam continues to show its political will and high determination in anti-corruption work. This is reflected through the enactment by the State of various anti-corruption proposals, policies and initiatives, including:
(i) Simplification of administrative procedures (Proposal 30);
(ii) Transparency of assets and income (Decree No. 37/2007/NĐ-CP, amended and supplemented by Decree No. 68/2011/NĐ-CP);
(iii) Regular rotation of working positions of public servants in several sectors and branches (Decree No. 158/2007/NĐ-CP);
(iv) The National Strategy on Preventing and Combating Corruption towards 2020 (Resolution 21/NQ-CP dated 12/5/2009);
(v) Integration of anti-corruption contents into educational training programmes (Decision No. 137/2009/QĐ-TTg);
(vi) UNCAC Implementation Plan (Decision No. 445/QĐ-TTg);
(vii) Launching of Anti-corruption Initiatives Program on an annual basis;
(viii) Holding an annual meeting to appraise individuals having significant achievements in anti-corruption;
(ix) Ratifying and beginning the implementation of the UNCAC, etc.
After nearly two years deploying the UNCAC implementation plan, at the time of review (June 2011), Vietnam has carried out synchronizing solutions to promote the implementation of the Convention in the following areas:
A. Perfection of Institutions
Regarding the perfection of institutions, Vietnam has:
● enacted a number of laws to improve public services and public officials’ mechanisms and inspection work, such as the Public Servants Laws, Cadres Law, Inspection Law (amended and supplemented);
● issued a national action plan against money laundering and terrorism financing;
● is continuing to conduct research on a theoretical and practical basis for the criminalization of certain acts of corruption, as well as acts of taking and giving bribery in the private sector, and embezzling assets in the private sector;
● promulgated and launched, through its ministries, sectors and administrative levels, the implementation of codes of conduct by officials and public servants;
● issued regulations on remuneration of individuals with outstanding achievements in reporting and detecting acts of corruption;
● modified regulations on transparency of assets, income, etc.
In particular, on 2 December 2009, the Prime Minister issued Decision No.137/2009/QĐ-TTg approving the Proposal to integrate anti-corruption contents into educational and training programmes. This is one of the important documents which shows the proper awareness of the Party and State in the fight against corruption, taking prevention as the core, promoting the work of education and training for public servants, students, pupils in preventing and combating corruption.
B. Implementation of Concrete Measures
Regarding implementation of concrete measures on prevention of corruption, Vietnam is:
- continuing to speed up inspection, examining, audit, investigation, supervision in order to proactively prevent and detect corruption;
- raising public awareness through the promotion of anti-corruption communication activities and promoting active participation of the public on the prevention and fight against corruption by improving the quality of the bi-annual Anti-corruption Dialogues between the Government of Vietnam and the community of international donors and organizations, as well as the political-social-professional organizations;
- encouraging and supporting people to actively propose initiatives to fight against corruption through Anti-Corruption Initiative Vietnam (VACI) programme.
Through two years of implementation, the corruption situation is still complicated, but in some areas has been restrained. The number of detected corruption cases has shown a decreasing trend. For example: from 1 October 2010 until 31 July 2011, 183 cases/349 defendants were prosecuted for corruption (a decrease of 25% in cases and 13% in number of defendants compared to the same period in 2010).
V. DIFFICULTIES AND CHALLENGES IN IMPLEMENTING THE STRATEGY, UNCAC
A. The Strategy
The difficulties and challenges in implementing the strategy are the same as in fighting corruption. First, corruption happens in many fields and sectors. In addition, corruption also occurs within some agencies who have the function of preventing and combating corruption; therefore, the effectiveness of anti-corruption activities within these agencies is not high. As a result, the investigation and handling of some corruption cases have been prolonged and difficult.
B. The UNCAC
(i) Many regulations of Vietnamese laws and MLA treaties between Vietnam and other countries have not been adequate and synchronized. The process of negotiating, signing, amending, or supplementing MLA treaties between Vietnam and other countries, the process of researching, developing or amending existing laws to adapt the practical situation of Vietnam, and at the same time ensuring the synchronization with the provisions of other international treaties that Vietnam has concluded will require extensive experiences, time, labour, budget and synchronizing collaboration among relevant authorities of Vietnam.
(ii) Vietnamese infrastructure, as well as technical conditions and international experience in anti-corruption work, are still limited. Language barriers, lack of working skill in international environments; and limited access to distinctive political and legal regimes will be the obstacles and challenges for public servants of Vietnam when participating in international anti-corruption cooperation efforts.
(iii) Awareness of the Convention and the implementation of the Convention by certain public servants and citizens is, in general, inadequate due to limited dissemination and research about the Convention.
Currently, the Government and the Central Steering Committee have directed the Government Inspectorate in collaboration with OSCAC and concerned agencies and departments to conduct a review of the first stage of strategy implementation, and link it with reviewing the five-year implementation of the Anti-corruption Law in order to supplement and perfect the strategy’s implementation plan to meet the requirements of Stage 2. |
Matthew 25:31-46
Jesus said, “When the Son of Man comes in his glory, and all the angels with him, then he will sit on the throne of his glory. All the nations will be gathered before him, and he will separate people one from another as a shepherd separates the sheep from the goats, and he will put the sheep at his right hand and the goats at the left. Then the king will say to those at his right hand, ‘Come, you that are blessed by my Father, inherit the kingdom prepared for you from the foundation of the world; for I was hungry and you gave me food, I was thirsty and you gave me something to drink, I was a stranger and you welcomed me, I was naked and you gave me clothing, I was sick and you took care of me, I was in prison and you visited me.’
Then the righteous will answer him, ‘Lord, when was it that we saw you hungry and gave you food, or thirsty and gave you something to drink? And when was it that we saw you a stranger and welcomed you, or naked and gave you clothing? And when was it that we saw you sick or in prison and visited you?’ And the king will answer them, ‘Truly I tell you, just as you did it to one of the least of these who are members of my family, you did it to me.’
Then he will say to those at his left hand, ‘You that are accursed, depart from me into the eternal fire prepared for the devil and his angels; for I was hungry and you gave me no food, I was thirsty and you gave me nothing to drink, I was a stranger and you did not welcome me, naked and you did not give me clothing, sick and in prison and you did not visit me.’
Then they also will answer, ‘Lord, when was it that we saw you hungry or thirsty or a stranger or naked or sick or in prison, and did not take care of you?’ Then he will answer them, ‘Truly I tell you, just as you did not do it to one of the least of these, you did not do it to me.’ And these will go away into eternal punishment, but the righteous into eternal life.”
Prayer:
Dear God,
Help me not to waste my energy feeling sorry for myself. Help me, instead, to be more patient, more faithful, more loving and more courageous.
Help me... help us ... to be all that we can be. Amen.
Sermon:
Today we heard from Matthew’s Gospel.
Back in his day, in Matthew’s neighborhood,
He was just another crooked tax collector
Working for the Man.
But, suddenly, Jesus touched his heart.
Today we read from Matthew’s Chapter 25, but to get the whole picture we have to look at Chapter 22.
That’s where Jesus condemned Israel’s refusal to hear and to act on Yahweh’s messages.
That’s where Jesus, Yahweh’s Son and Messenger, warned that Israel could lose its favored status with Yahweh.
“For many are invited”, Jesus said, “but few are chosen.”
Do you remember that Jesus asked his followers, “… which commandment … is the greatest?”
He told them that the 1st commandment is:
“Love the Lord … God with all your heart”
and with all your soul and with all your mind”. vii
And he said that the 2nd is like unto it:
“... loveviii your neighbor as yourself”.
So, what does it look like when we love
the Lord and our neighbor? ix
It looks like this:
- Welcoming strangers.
- Feeding the hungry.
- Giving water to the thirsty.
- Giving clothing to the naked.
- Taking care of those who are helpless or sick.
If we do such things, if we live like that,
our King will say to us, one day:
“... just as you did it to ... the least of these...
you did it to me.” x
We may not always succeed, but we have to at least TRY.
Today’s Gospel is complex.
Some preachers say it’s about
the End Times and Final Judgment.
They say so often and with such fervor,
It’s like they’re selling stock in EndTimes.com!
I don’t know. Maybe, they’re right.
They want us to think that the End Times is about us.
But is it?
Are we supposed to live our Christian lives
Worrying about what will happen to us?
Do we always have to read the Scriptures
as if they are about us and
what we think are our needs?
That stuff does matter.
But I don’t think that was Jesus’ main focus.
He wasn’t as hung up on our punishment and
Our reward as we are.
He did warn the Temple Leaders about what might come,
But He talked a lot about living, and loving one another,
here and now.
Matthew’s focus is on how to live an authentic Christian life.
He wanted us to know --- Jesus wanted us to know ---
what that kind of life looks like.\textsuperscript{xi}
Matthew’s focus – Jesus’ focus – was on love.
Mathew’s focus was \textit{Love}. Jesus’ focus was love.
And it must be our focus, too.
You know, The Beatles were right, all along.
\textit{All you need is love}.\textsuperscript{xii}
Jesus tells us how to love \textit{and} he shows us how to love.
All the way to the Cross he was showing us
what love looks like.
To do his work Jesus left a safe place in Galilee
and travelled to his enemy’s home turf, in Jerusalem.
Jesus was an Old Testament kind of guy.
He was the Son of God.
But like any rabbi, he relied on the Torah.
The Pharisees and the Sadducees and the scribes,
Also knew the scriptures well,
but they read what they wanted to read.
Jesus stepped out of the safe zone.
He denounced the Pharisees.
He pushed the Sadducees.
He corrected the scribes.
Jesus took a chance. And He calls us to do that, too.\textsuperscript{xiii}
Even today.
Even in the midst of our Virus daze,
as our world is marred by too much screen time,
and a sensual and sensory overload.
Wherever we turn now we are bombarded by
Angry, partisan, anti-social meta-narratives,
We’re on-line more than ever.
The Net offers an endless smorgasbord of
me-centered “lifestyles” and “world views”.
And yet, in the midst of all that Jesus calls us
to serve and to love.
Today’s Gospel is about the two great commandments.
God has given us a non-negotiable.
We are called by Jesus to an alternative life-style
That builds up, and doesn’t tear down.\textsuperscript{xiv}
For most of us our work is not so much
fighting those who cause injustice --
although that righteous battle must be fought.
Instead, our Godly work focus is helping those
who suffer from injustice.
Jesus didn’t expect perfection and neither does God.
We will misunderstand God’s plan.
We will make mistakes.
\textit{Perfection is not within our grasp.}
But, Loving those around us, is.
We all blow it. I blow it all the time. Sometimes I forget that.
But, God gave me my wonderful family to remind me!
My girls give me slack because I need it.
God gives us slack, too. Because we need it.
But, God notices when we try our best.
We do get Brownie points for effort!
Serve God by serving others.
Love your neighbor as you love yourself.
Treat them like you would want to be treated.
No matter whose sign was in their front yard.
Let’s at least try to live like that,
because that’s what God wants,
that’s how Jesus lived and died, and
that’s how God justice is done.
AMEN
Today’s Gospel reading arguably includes not only one complete story (called a “pericope”), but also part of another. I think that, at Matthew 22:34, the word “When” signals a change of circumstances and begins a new “paragraph” and story, if they used paragraphs in those days (which they didn’t). The paragraph regarded the Pharisee’s discussion, after Jesus’ teaching had silenced the Sadducees, and astonished the crowds.
NB: The NIV begins Matthew 22:34 with the word “hearing”, whereas the NASV, the RSV, and the ASV begin with the word “but”. The Greek phrase variously translated as “when”, and “but” is *oi de*; the word “now” is *nun*. Each of these translations signal the beginning of a new thought or line of discussion.
As mentioned in prior sermons, and as per Matt. 9:9, Mark 2:14, and Luke 5:27–28, Matthew was a tax collector, aka a “publican”. A Jewish man who collected Roman taxes from his own people, and skimmed of the top, Mathew was considered a traitor. Notably, neither Mark nor Luke identify Matthew as a tax collector (but see, the inference in Mark 3:18 and Luke 6:15). However, in his own Gospel, Matthew describes himself as a “tax collector”. (See, Matt. 10:2–4)
Because Tax Collectors were responsible to collect a certain sum of money and their Roman patrons weren’t too particular as to how that was done, Mathew was subject to very little oversight. He probably was the crook that his Jewish neighbors thought him to be. Notably, John the Baptist chastised people like Matthew saying, “Collect no more than you are authorized to do”. (See, Luke 3:12–13).
In his Gospel Matthew wrote about the time that Jesus came to dinner at his house. When the Pharisees asked Jesus why he ate with tax collectors and sinners, Jesus said, “It is not the healthy who need a doctor, but the sick. But go and learn what this means: ‘I desire mercy, not sacrifice’, for I have not come to call the righteous, but sinners.” (See, Matt. 9:11-12)
Did Matthew write the Gospel that bears his name? Some scholars doubt that claim since so much of his Gospel (like Luke’s) relies heavily on Mark’s Gospel. By the 2nd Century the Christian church had attributed the subject Gospel to Matthew, even though it was anonymous. Notably, the Gospel attributed to Matthew, the tax collector, mentions money a lot; Matthew was a money oriented guy, so there is some slim internal evidence of the book’s authorship. By comparison, some suggest that Luke, a physician, mentioned medical issues more commonly in his book. See, https://overviewbible.com/matthew-the-apostle/
Several points: 1st, neither Matthew nor the other Gospel writers used such modern style; no paragraph breaks, no punctuation, nor capital or small case letters. The many available book fragments are, mostly, in effect, one run-on sentence. 2nd, The Gospel of Matthew is the first of the five historical books of the New Testament. Those five books, the Gospels and Acts, are “the foundation on which the epistles are built”, and they provide virtually all of the information available to us for the theologically key events in the life of Jesus. Indeed, but for the Gospels and Josephus’ Antiquities the Christ story is almost entirely missing in the historical record.
Once saved, always saved?
Matthew 22:14, Promise Keepers Study Bible, The, Zondervan Corporation, Grand Rapids, MI.
Recall that Jesus’ cursed a fig tree; that action seems weird to me. Did the fig tree symbolize Israel? I think so. Was Jesus reminding his followers that Isaiah had already condemned Israel’s failure? Isaiah 5 compares Israel to a vineyard, and Jesus was using the same analogy in his parable. Recall also that Jesus told his disciples the vineyard would be opened to the Gentiles, to produce fruit, if Israel would not. See also, Matthew 21:19-21, 33:45, Ibid.
i.e., the “greatest”.
For the purposes of this sermon, my intention will focus upon the question of how we shall love the Lord our God with all of our heart, with all of our soul and with all of our mind, as set forth in both Matthew 22:37 and Deuteronomy 6:5.
The English word “greatest” comes from the Koine Greek word is megas, variously defined as referring to something which is the most intense, or being the largest, or having the greatest stature and age. The term is also used to speak to the ranking of one thing to another thing, and in so being used, that the thing or person which is “megas”, is esteemed more highly than the others, and attributed to it is more eminence or excellence.
The word agapeseis is a variation of the word agape, which is to be full of good will and to exhibit love. The phrase speaks to the prizing of a beloved thing above all other things, in such a way that the lover is unwilling to abandon that love, or to surrender it in favor of another person or thing. Agape is said to involve “the idea of affectionate reverence” and to mirror “the benevolence which God, in providing salvation for men”
exhibited by sending his only Son to human beings, and then giving him up to death at their hand.
This form of love is distinct from *phileo*, a Greek word sometimes describing as meaning “brotherly or sisterly love”. The Koine Greek translated for the phrase “you shall love” is *agapeseis*; that word might also be translated as “you shall love” or “you love”.
The Koine Greek word used for neighbor is *plesion*. *Plesion*, a neuter derivative of *pelas*, is defined “neighbor”. It may include friends, or any other person similarly situated, such as one Jew and another Jew, or, as used by Christ in this phrase, it may mean any other person, irrespective of nature or religion.
See, *Thayer’s Greek-English Lexicon of the New Testament*, Hendrickson Publishers, Joseph H. Thayer, Peabody, MA 2005.
ix The great Shema, mentions the first commandment.
x And to those who did not, He will say, “… depart from me into the eternal fire …. for I was hungry and you gave me no food, I was thirsty and you gave me nothing to drink, I was a stranger and you did not welcome me, naked and you did not give me clothing, sick and in prison and you did not visit me.” For “just as you did not do it to one of the least of these, you did not do it to me.”
xi See, for example, Matthew 3:15
xii "All You Need Is Love", a single written by John Lennon, attributed to the (John) Lennon-(Paul) McCartney and sung by The Beatles. Released July 7, 1967 and later included on the US Magical Mystery Tour album. [https://en.wikipedia.org/wiki/All_You_Need_Is_Love](https://en.wikipedia.org/wiki/All_You_Need_Is_Love)
xiii *Introducing the New Testament*, at p. 115
xiii We must be as forgiving of their errors and sins as we are of our own.
xiii Which offers loving and patient correction where needed, and is focused on the consequences of not loving, both as individuals and as a people.
Bibliography
Achtemeier, Paul J., and Green, Joel B., and Thompson, Marianne Meye, *Introducing the New Testament*, William B. Eerdmans Publishing Company, Grand Rapids, MI (2001).
Coogan, Michael, D, *New Oxford Annotated Bible*, NRSV, 4th ed. Oxford University Press, Inc., New York, NY, 2010.
Dawson, Edward G., Charles L. Feinberg, and Edward E. Hudson, ed., *Bible Commentary*, Thomas Nelson, Inc. Publisher, Nashville: TN, 2005.
Hoerber, Robert G., ed., *Concordia Self Study Bible – New International Version*, Concordia Publishing House (1986) St. Louis: MO.
Holman Christian Standard Bible Study, Holman Bible Publishers, Nashville, TN, 2009.
http://bluebible.com
Keener, Craig S., *A Commentary on the Gospel of Matthew*, William B. Eerdmans Publishing Company, Grand Rapids, MI (1999).
Promise Keepers Study Bible (NIV), The Zondervan Corporation, Grand Rapids, MI.
Radmacher, Earl, and Allen, Ron, and House, Wayne, eds. *Nelson Compact Bible Commentary*, Thomas Nelson, Inc. Publisher, Nashville: TN, 2004.
Thayer, Joseph H., *Thayer’s Greek-English Lexicon of the New Testament*, Hendrickson Publishers, Peabody, MA 2005.
Smith, Chuck “Study Guide for Matthew”, *The Word for Today*, Blue Letter Bible. 1 March 1996.
The following is a list of the most common types of software that are used in the field of computer science:
1. Operating Systems: These are the programs that control the hardware and software resources of a computer system.
2. Programming Languages: These are the languages used to write computer programs.
3. Database Management Systems: These are the programs that manage and store data in a computer system.
4. Web Development Tools: These are the tools used to create websites and web applications.
5. Graphics Software: These are the programs used to create and edit digital images.
6. Video Editing Software: These are the programs used to edit and manipulate video files.
7. Audio Editing Software: These are the programs used to edit and manipulate audio files.
8. CAD (Computer-Aided Design) Software: These are the programs used to create and edit technical drawings and designs.
9. Animation Software: These are the programs used to create and edit animated graphics and videos.
10. Game Development Tools: These are the tools used to create and develop video games.
11. Data Analysis Software: These are the programs used to analyze and interpret large amounts of data.
12. Project Management Software: These are the programs used to manage and track projects and tasks.
13. Collaboration Software: These are the programs used to collaborate with others on projects and tasks.
14. Security Software: These are the programs used to protect computer systems from cyber attacks and other security threats.
15. Virtual Reality Software: These are the programs used to create and interact with virtual environments. |
Versatile Capabilities of Digitally Controlled Integrated DC-DC Converters
Jing Wang, Wai Tung Ng, and Olivier Trescases
The Edward S. Rogers Sr. Electrical and Computer Engineering Department
University of Toronto
Toronto, Ontario, Canada, M5S 3G4
firstname.lastname@example.org
Abstract—The increasing need to incorporate complex control features in switched mode power supplies (SMPS) in a CMOS compatible environment has spurred the study of digitally controlled integrated dc-dc converters. Designers continuously examine various design considerations for the implementation of these power converters, including topology choices, digital vs. analog control scheme, power conversion efficiency optimization, advanced passive component technologies, and power transistors. This paper highlights some of our recent work on integrated dc-dc converters with a particular focus on outlining the novel features that are only possible with digital controllers. More specifically, recent advances such as segmented output stage, segmented gate driver, dead-time control, and transient suppression are reviewed.
I. INTRODUCTION
Low-power digitally controlled dc-dc converters have shown steady improvement since the first counter based digital pulse-width modulator (DPWM) design [1]. The introduction of the delay-line based DPWMs [2] made digital controllers a viable option in low power portable environment. Traditional digital controller designs are intended to mimic the functionality of conventional analog compensators. Therefore, most digital controllers can only have similar performance as their analog counterparts, typically at a higher implementation cost. The true capability of low-power digital control becomes apparent with the introduction of more flexible designs, such as the use of segmented output stage to dynamically adjust the size of the output transistors according to load conditions, in order to maintain high power conversion efficiency [3]-[5], and one-step dead-time correction scheme to continuously optimize the dead-times for the power transistors [6]. Digital controllers also have the ability to switch seamlessly between linear and nonlinear operating modes and achieve near-optimal transient performance [7].
This paper is a brief highlight of our recent developments in integrated dc-dc converters, with a particular focus on outlining the novel features that are made possible with the use of digital control and integrated SMPS. This is by no means a complete survey, as there are many high level research activities in this area available in the literature.
II. EFFICIENCY OPTIMIZATION
The conversion efficiency of dc-dc converters is usually the primary concern in power supply design. While SMPS are known to be much more efficient than linear voltage regulators, power conversion efficiency is a function of load current and falls off rapidly at light load. The peak efficiency is determined by the choice of switching frequency, inductor size, on-resistance of the power MOSFETs and parasitic elements. To accommodate the wide range of load current required by today’s point-of-Load (POL) converters, many techniques have been proposed to dynamically adjust the modes of operation to maximize the overall efficiency.
In [3]-[5], digitally controlled converters with segmented layout of the power MOSFETs in their output stages were implemented. The load current is monitored continuously and the digital controller determines the best size of power MOSFET to be used [3]. This allows an optimal trade-off between gate drive loss (minimized with small effective transistor size) and conduction loss (minimized with large effective transistor size) for a given load current. An improvement in power conversion efficiency of up to 7.5% at light-load was reported for a 4.2V-to-1.8V, 4MHz integrated converter as shown in Fig. 1 [3]. The measured efficiency improvement for the second generation of the converter is as plotted in Fig. 2. To further demonstrate the effectiveness of this automatic transistor size selection feature, a load-prediction technique was proposed in [5]. In this example, a digital class-D audio amplifier, often found in portable MP3 players, is used as the load. The required output current is predicted based on the digital audio data stream, which is readily available in class-D audio amplifier systems. With load prediction, the power MOSFET sizing and the expected load current requirement can be synchronized, and the converter can always operate at optimum efficiency. This digital control method also eliminates the need for precise analog circuitry for current sensing, making the system suitable for integration with advanced digital CMOS.
Figure 1. Architecture of a dc-dc converter with segmented output stage. A current estimator is used to determine the number of segments (power transistor size) to be used in real-time.
Figure 2. Measured improvement in power conversion efficiency for the same dc-dc converter with and without segmented power stage.
For integrated dc-dc converters running in the multi-MHz range, fast gate drivers are necessary to minimize the turn-on and off times of the power MOSFETs, in order to reduce the switching losses. However, these high current drivers are usually accompanied by a significant amount of gate drive loss [8]. Under light load conditions, the gate drivers’ power consumption can easily become comparable or even greater than the switching loss as shown in Fig. 3. To further improve light load efficiency, a segmented gate driver with adjustable driving capability was proposed as in Fig. 4 [8]. Eight identical gate driver segments are connected in parallel. The effective drive strength can be adjusted through a 3-bit digital bus, turning on one or more segments at a time. The measured converter efficiency using a segmented gate driver is as shown in Fig. 5. With lower gate driving capability at light load, as much as 7% efficiency improvement can be obtained.
In synchronous dc-dc converters, non-overlapping dead-time is required to eliminate the conduction loss induced by simultaneous cross conduction through the high-side (HS) and low-side (LS) switches, as well as body-diode conduction and reverse recovery loss in the synchronous MOSFET. However, optimum dead-time varies with circuit parameters, operation conditions and temperature, making adaptive dead-time control necessary. Analogue dead-time control schemes require either a current starving charge pump [4], [9] or a complex delay-locked loop [10]. Digital dead-time searching algorithms were proposed with simpler implementation yet...
limited reaction speed [11]. A fast-response, one-step dead-time correction method incorporated into an integrated digital dc-dc converter was reported in [6]. The undesirable body-diode conduction in the power MOSFETs is detected by a two-input NOR gate, as shown in Fig. 6. The duration of body-diode conduction is then measured by a delay-line. The measured timing error is then digitally subtracted from the dead-time in the next switching cycle. The plot in Fig. 7 compares the efficiency for cases with fixed dead-time and with continuously adjusted dead-time. It can be seen that, the efficiency is optimized across a wide range of output current. Up to 9.5% improvement in efficiency is achieved.
**Figure 6.**
Overall power conversion efficiency is optimized via dynamically adjusted dead-time compared with fixed dead-times cases.
**Figure 7.**
III. **Nonlinear Control For Transient Suppression**
De-dc converters require fast dynamic response to maintain precise voltage regulation in the presence of rapid load steps. Nonlinear control techniques are gaining increasing popularity as it allows the converter to break the limitations of the linear control loop bandwidth. As a result, faster transient response when compared to conventional linear control methods can be obtained [12]. Digital control technologies facilitate the implementation of complex nonlinear transient-suppression algorithms and novel converter topologies that are generally not possible using analog approaches. It also facilitates seamless transition between linear mode for steady state operation and non-linear mode for transient suppression.
Capacitor charge-balance based algorithms have been studied for years [13]-[14]. After a transient event is detected, the digital controller calculates the turn-on and turn-off times of the power switches required to restore the output voltage as well as the inductor current within one switching action. The algorithm provides fast transient response with shortest recovery time.
Transient deviation of dc-dc converters is inherently limited by the current slew-rate of the inductor. To overcome this physical limitation, a Buck converter with a steered inductor was introduced in [15]. After a heavy-to-light load step occurs, the inductor current is steered away from the output capacitor and back to the power source via two extra switches. During this time period, the inductor voltage is increased to the level of input voltage. The slew-rate for the inductor current is greatly increased, thus suppressing the voltage overshoot. An alternate approach to increase this slew-rate without introducing additional power switches in the output path was proved to be effective in [7], [16]-[17]. As shown in Fig. 8, a main converter output stage is connected in parallel with an auxiliary output stage that has a much smaller inductor. The main converter is responsible for steady-state operation. The auxiliary stage is only activated for transient recovery and provides high current slew-rate to suppress voltage deviation. Analog implementation of the dual-stage converter was discussed in [16]. The controller is based on a pair of high-speed hysteresis comparators. It requires multiple switching actions and a series of voltage ringing was observed before returning to steady state. A fully integrated voltage-mode dc-dc converter that utilizes digitally controlled dual output stages was presented in [7]. The micrograph of the IC is shown in Fig. 9. During transient recovery, the switching commands for both the main and the auxiliary output stages are determined based on the capacitor charge-balance principle, aiming at bringing the output voltage back to steady state with one set of on/off switching actions. The non-linear digital controller also predicts the new duty ratio and passes it to the steady-state linear controller, thus achieved a seamless transition. Experimental result in Fig. 10 and 11 shows that the auxiliary stage achieves over 50% reduction in transient overshoot and 80% reduction in recovery time compare to a conventional converter. A current-mode implementation of
the digital dual-stage converter was discussed in [17], where timing of the switching commands during transients is easily obtained using a digital look-up table.
CONCLUSION
Low-power digital controllers offer the flexibility to implement efficiency optimization schemes and novel control techniques that are not readily supported by analog circuit techniques. The continued cost-scaling of CMOS technologies and the growing need for on-chip power management will continue to fuel the popularity of digitally controlled integrated dc-dc converters.
REFERENCE
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[3] O. Trescaes, W.T. Ng, H. Nishio, M. Edo and T. Kawashima, “A digitally controlled DC-DC converter module with a segmented output stage for optimized efficiency,” Int. Sym. Power Semiconductor Devices and ICs, Jun. 2006, pp. 373-376.
[4] H.-W. Huang, K.-H. Chen, and S.-Y. Kuo, “Dithering skip modulation, width and dead time controllers in highly efficient DC-DC converters for system-level power management,” IEEE Jour. Solid-State Circuits, vol. 42, no. 11, pp. 2451-2465, Nov. 2007.
[5] O. Trescaes, G. Wei, A. Prodic, and W.T. Ng, “Predictive efficiency optimization for DC-DC converters with digital electronic loads”, IEEE Trans. Power Electronics, vol. 23, no. 4, pp. 1889-1898, Jul. 2008.
[6] A. Zhao, A. Shoum, H. Nishio, and W.T. Ng, “An integrated DC-DC converter with digital one-step dead-time correction”, Int. Sym. Power Semiconductor Devices and ICs, Jun. 2010, pp. 57-60.
[7] J. Wang, K. Ng, T. Kawashima, M. Sasaki, H. Nishio, A. Prodić and W.T. Ng, “A digitally controlled integrated DC-DC converter with transient suppression”, Int. Sym. Power Semiconductor Devices and ICs, Jun. 2010, pp. 277-280.
[8] A. A. Fomani, A. Shorten, and W.T. Ng, “An integrated segmented gate driver with high bandwidth and low capacitance capability”, IEEE Energy Conversion Cons. and Expo., Sep. 2010.
[9] Y. U. Hong, B. K. Choi, Y. J. Woo, M. C. Lee, T. W. Kwak, H. P. Le, and H. Cho, “Optimum efficiency-tracking gate driver using adaptive dead-time control for single chip DC-DC converter”, Power Electronic Specialist Conf., Jun. 2010, p. 1-5.
[10] O. Trescaes, W.T. Ng, and S. Chen, “Precision gate drive timing in a zero-voltage switching DC-DC converter”, IEEE Int. Sym. Power Semiconductor Devices and ICs, May 2004, pp. 527-530.
[11] V. V. Gopinadhan, and D. Mahajan, “Senseless optimization of dead-lines in DC-DC converters with synchronous rectifiers”, IEEE Trans. Power Electronics, vol. 21, no.4, Jul. 2006.
[12] A. Soto, P. Akoto, and J. A. Cobos, “Non-linear digital control breaks bandwidth limitations”, in Proc. IEEE Applied Power Electronics Conf., Apr. 2006, pp. 724-730.
[13] Z. Zhao, and A. Prodić, “Continuous-Time Digital Controller for High-Frequency DC-DC Converters”, IEEE Trans. Power Electronics, vol. 23, no. 2, pp. 565-573, Mar. 2008.
[14] E. Liu, Z. Zhao, and Y.-F. Liu, “An optimal control method for buck converters using a practical capacitor charge balance technique,” IEEE Trans. Power Elec., vol. 23, no. 4, pp. 1802-1812, Jul. 2008.
[15] A. Stupan, Z. Lukic, and A. Prodić, “Digitally-controlled steered-inductor buck converter for improving heavy-to-light load transient response”, IEEE Power Electronics Specialists Conf., Jun. 2008, pp. 3950-3954.
[16] O. Abdel-Rahman, and I. Batarseh, “Transient response improvement in DC-DC converters using output capacitor current for faster transient detection”, IEEE Power Electronics Specialists Conf., Jun. 2007, pp. 157-160.
[17] Y. Wen, and O. Trescaes, “Nonlinear control of current-mode buck converter with an optimally scaled auxiliary phase”, IEEE Int. Conf. Industrial Technology, Mar. 2010, pp. 783-788. |
Solution for nonlinear Duffing oscillator using variable order variable stepsize block method
1 Ahmad Fadly Nurullah Rasedee, 2 Mohammad Hasan Abdul Sathar, 3 Norizarina Ishak, 1 Nur Shuhada Kamarudin, 1 Muhammad Azrin Nazri, 1 Nur Ainna Ramli, 4 Irneza Ismail and 5 Musab Sabrim
1 Faculty of Economics and Muamalat, Universiti Sains Islam Malaysia 71800 Bandar Baru Nilai, Negeri Sembilan, Malaysia
2 Centre of Foundation Studies for Agricultural Science, Universiti Putra Malaysia 43400 Serdang, Selangor, Malaysia
3 Faculty of Science and Technology, Universiti Sains Islam Malaysia 71800 Bandar Baru Nilai, Negeri Sembilan, Malaysia
4 Faculty of Engineering and Built Environment, Universiti Sains Islam Malaysia 71800 Bandar Baru Nilai, Negeri Sembilan, Malaysia
e-mail: email@example.com
Abstract Real life phenomena found in various fields such as engineering, physics, biology and communication theory can be modeled as nonlinear higher order ordinary differential equations, particularly the Duffing oscillator. Analytical solutions for these differential equations can be time consuming whereas, conventional numerical solutions may lack accuracy. This research propose a block multistep method integrated with a variable order step size (VOS) algorithm for solving these Duffing oscillators directly. The proposed VOS Block method provides an alternative numerical solution by reducing computational cost (time) but without loss of accuracy. Numerical simulations are compared with known exact solutions for proof of accuracy and against current numerical methods for proof of efficiency (steps taken).
Keywords Duffing Oscillator; multistep method; ordinary differential equations.
AMS mathematics subject classification 34A12, 34A34, 65L06, 65L05
1 Introduction
Solving higher order ordinary differential equations (ODEs) directly via multistep method have been researched by authors many authors [1–6]. In [7], Suleiman proposed a divided difference formulation with variable order stepsize (VOS) capability. Techniques and strategies suggested in [7] allows for order and stepsize change subjected to certain criteria. Based on ideas in [7], a two-point explicit and implicit block divided difference formulation was established in [8] and then implemented into a fully implicit backward difference formulation by Majid [4]. Ibrahim in [5] then derived a block backward differentiation formulae for solving stiff ODEs. In the current research, a predictor-corrector VOS algorithm is established in backward difference form for solving nonlinear duffing differential equations.
The backward difference formulation established, requires calculating the integration coefficients only once in contrast to the divided difference formulation which calculates the integration coefficients at every step size change. A recurrence relationship between explicit and implicit integration coefficients and coefficients of different orders is obtained and coded to reduce the amount of programming lines.
Systems of nonlinear higher order ordinary differential equations are found in phenomena in various fields such as physics, engineering and communication theory ranging from
electrical circuits to modern telecommunications. The limitless applications of nonlinear higher order ordinary differential equations has made it the subject of interest of many researchers, particularly the Duffing oscillator.
The general form of the Duffing oscillator a second order non-linear initial value ordinary differential equation (ODE)
\[
y''(t) + \delta y'(t) + \alpha y(t) + \beta y^3(t) = \gamma \sin \omega t,
\]
with the constants $\delta$, $\alpha$, $\beta$, $\gamma$ and $\omega$ as a parameter.
Higher order ODEs such as the Duffing oscillator were previously reduced to a system of differential equations and solved using conventional numerical methods. The current work proposes to solve the Duffing differential equation directly using a variable order variable step multistep method, a two point block predictor-corrector (PeCe) formulation.
2 Predict-evaluate correct-evaluate backward difference mode with variable order variable step size
To formulate a two point PeCe block variable order stepsize backward difference algorithm, elements such as explicit-implicit integration coefficients and order-stepsizes strategy are necessary.
2.1 Deriving the explicit-implicit integration coefficients
Consider a higher order ordinary differential equation
\[
y^{(d)} = f(x, \bar{Y}),
\]
with the $d^{th}$ order ODE and the initial value condition given by $\bar{Y}(\alpha) = \bar{\eta}$ where
\[
\bar{Y}(x) = (y, y', \ldots, y^{(d-1)}),
\]
\[
\bar{\eta} = (\eta, \eta', \ldots, \eta^{(d-1)}),
\]
in the interval $\alpha \leq x \leq \beta$.
Integrating $y^{(d)}$ by 1, 2, 3, $\ldots$, $d$ number of times and interpolating $(y, y', \ldots, y^{(d-1)})$ by the Newton-Gregory backwards difference polynomial
\[
P_n(x) = \sum_{i=0}^{k} (-1)^i \binom{-s}{i} \nabla^i f_n, \quad s = \frac{x - x_n}{h},
\]
for the predictor whereas
\[
P_{n+r}(x) = \sum_{i=0}^{k} (-1)^i \binom{-s}{i} \nabla^i f_{n+r}, \quad s = \frac{x - x_{n+r}}{h}, \quad r = 1, 2,
\]
for the corrector where $j = 0, 1, \ldots, d$. Let $r$ denote the number of blocks, thus providing Predictor:
\[
y^{(d-j)}(x_{n+r}) = \sum_{i=0}^{j-1} \frac{(rh)^i}{i!} y^{(d-j+i)}(x_n) + \int_{x_n}^{x_{n+r}} \frac{(x_{n+r} - x)^{d-1}}{(d-1)!} \sum_{i=0}^{k} (-1)^i \binom{-s}{i} \nabla^i f_n dx,
\]
Corrector:
\[
y^{(d-j)}(x_{n+r}) = \sum_{i=0}^{j-1} \frac{(rh)^i}{i!} y^{(d-j+i)}(x_n) \\
+ \int_{x_n}^{x_{n+r}} \frac{(x_{n+r} - x)^{d-1}}{(d-1)!} \sum_{i=0}^{k} (-1)^i \binom{-s}{i} \nabla^i f_{n+r} \, dx,
\]
which can be rewritten as
Predictor:
\[
y^{(d-j)}(x_{n+r}) = \sum_{i=0}^{j-1} \frac{(rh)^i}{i!} y^{(d-j+i)}(x_n) + \int_0^r \frac{(r-s)^{d-1}}{(d-1)!} \sum_{i=0}^{k} (-1)^i \binom{-s}{i} \nabla^i f_n \, ds,
\]
Corrector:
\[
y^{(d-j)}(x_{n+r}) = \sum_{i=0}^{j-1} \frac{(rh)^i}{i!} y^{(d-j+i)}(x_n) + \int_{-r}^0 \frac{(-s)^{d-1}}{(d-1)!} \sum_{i=0}^{k} (-1)^i \binom{-s}{i} \nabla^i f_{n+r} \, ds,
\]
with coefficients denoted by the following integrals
Explicit:
\[
\gamma_{r,j,i} = (-1)^i \int_0^r \frac{(r-s)^{d-1}}{(d-1)!} \binom{-s}{i} \, ds,
\]
Implicit:
\[
\gamma^*_{r,j,i} = (-1)^i \int_{-r}^0 \frac{(-s)^{d-1}}{(d-1)!} \binom{-s}{i} \, ds.
\]
Finally, the variable order stepsize predictor-corrector backward difference algorithm has the following form
Predictor:
\[
y^{(d-j)}(x_{n+r}) = \sum_{i=0}^{j-1} \frac{1}{i!} y^{(d-j+i)}(x_n) + h^j \sum_{i=0}^{k-1} \gamma_{r,j,i} \nabla^i f_n,
\]
Corrector:
\[
y^{(d-j)}(x_{n+r}) = \sum_{i=0}^{j-1} \frac{(rh)^i}{i!} y^{(d-j+i)}(x_n) + h^j \sum_{i=0}^{k-1} \gamma^*_{r,j,i} \nabla^i f_{n+r}.
\]
By mathematical induction, the relationship between integration coefficients of different orders is obtained as follows
Explicit coefficients:
\[
\gamma_{r,d,0} = \gamma_{r,d-1,1}, \quad \gamma_{r,d,k} = \gamma_{r,d-1,k+1} - \sum_{i=0}^{k-1} \left( \frac{\gamma_{r,d,i}}{k-i+1} \right), \quad k = 1, 2, \ldots.
\]
Implicit coefficients:
\[
\gamma_{r,d,0}^* = \gamma_{1,d-1,1}^*, \quad \gamma_{r,d,k}^* = \gamma_{r,d-1,k+1}^* \sum_{i=0}^{k-1} \left( \frac{\gamma_{r,d,i}^*}{k - i + 1} \right), \quad k = 1, 2, \ldots.
\]
In similar manner to [9], the following recursive relationship between the explicit and implicit integration coefficients is obtained.
\[
\sum_{i=0}^{\infty} \gamma_{r,j,i}^* t^i = (1 - t)^j \sum_{i=0}^{\infty} \gamma_{r,j,i} t^i.
\]
The next section details the order and step size strategy.
3 Order and step size
When implementing a variable order stepsize algorithm, the order and stepsize selection is crucial. In a VOS algorithm, the reliability of the method relies on the acceptance criteria where as the efficiency of the algorithm relies order and step size strategy. This is because a VOS multistep method depends on the back values stored. The order of a VOS algorithm can be increased depending on the previous back values stored and decreased by discarding the necessary amount of back values. An unbiased order strategy proposed by [7] adopted the selection criteria as suggested in [10].
Because of issues involving the stability and convergence of VOS techniques, Shampine and Gordon [10] recommends the restrictions on the ratio of successive steps. This is to ensure stability. Consider the current step size as \( h \) and the final step size as \( h_{end} \). By multiplying a safety factor of \( R \) with \( h \) for a conventional estimate of \( h_{end} \) such that \( h_{end} = Rh \) reduces the number of rejected steps.
In this research, a modified doubling and halving step change techniques is implemented based on the step size change algorithm introduced in [11] for Adam-Bashforth and Adams-Moulton based method in backward difference form (see Algorithm 1). Finally, the next section proceeds with the error estimate.
4 Error estimation
In this section, an estimation for the local error of each integration step is obtained similar to the approach suggested in [12]. Our estimation begins by denoting the predictor as follows
\[
p_r y_{n+r}^{(d-j)} = \sum_{i=0}^{j-1} \frac{(rh)^i}{i!} y_n^{(d-j+i)} + h^j \sum_{i=0}^{k-1} \gamma_{r,j,i} \nabla^i f_n.
\]
By applying a \( P_k EC_{k+1} E \) algorithm, the corrector is denoted as follows
\[
c_r y_{n+r}^{(d-j)} = \sum_{i=0}^{j-1} \frac{(rh)^i}{i!} y_n^{(d-j+i)} + h^j \sum_{i=0}^{k-1} \gamma_{r,j,i}^* \nabla^i f_{n+r}
\]
For computational purposes, the corrector is written in term of the predictor as follows
\[
c_r y_{n+r}^{(d-j)} = p_r y_{n+r}^{(d-j)} + \gamma_{r,j,i}^* \nabla^i p_r f_{n+r}
\]
Algorithm 1 Integration coefficients
1: Begin
2: Block := 2;
3: Temp := Templ := 1;
4: For $b := 0$, to Block step 1
5: Begin
6: For $j := 1$, to 12 step 1
7: Begin
8: If($j = 0$)
9: Begin
10: $\gamma_{b,0,j} := Templ$;
11: End
12: Else
13: Begin
14: Templ = Templ $\times \frac{(j-1)*B}{j}$;
15: $\gamma_{b,0,j} := Templ$;
16: End
17: End
18: Form := 1, to D[$l$] step 1
19: Begin
20: For $t := 0$, to 15 – $m$ step 1
21: Begin
22: If($m = 1$)
23: Begin
24: Temp:= 1;
25: End
26: Else
27: Begin
28: Temp:= $\gamma_{b,m-1,j+1}$;
29: End
30: Fort := 0, to $j - 1$ step 1
31: Begin
32: Temp:=Temp – $\frac{\gamma_{b,m,t}}{j+1-t}$;
33: End
34: $\gamma_{b,m,j} :=$ Temp;
35: If($j = 0$)
36: Begin
37: $\gamma_{b,m,0} := \gamma_{b,m,0}$;
38: End
39: Else
40: Begin
41: $\gamma_{b,m,j} := \gamma_{b,m,j} - \gamma_{b,m,j-1}$;
42: End
43: End
44: End
45: End
46: End
with $\nabla^i_{pr}$, as the $i$-th backward difference of the predictor where $j = 0, 1, \ldots, d$ and $i = 0, 1, \ldots, k$.
By Milne error estimate, the local truncation error (LTE) can be written as the following formulation
$$\bar{E}^{(j)}_{n+r,k} = h^j \gamma^*_{r,j,i} \nabla^k_{pr} f_{n+r}.$$
Selection of a suitable $p$ for $\bar{E}^{(d-p)}_k$ to control order and step size can be found in [13]. The asymptotic validity can be established using
$$\bar{E}^{(d-p)}_{n+r,k+1} = h^{d-p} \gamma^*_r, d-p, k+1 \nabla^{k+1} f_{n+r}, \quad r = 1, 2.$$
5 Numerical results
Current simulation with numerical approximation for the Duffing oscillator can be obtained from works such as [14–17] and many others. The 2-Point Block Variable Order Stepsize (2PBVOS) was tested with numerous nonlinear Duffing oscillators of different orders and parameters. Results were then compared with current and conventional numerical methods. Problem 1 and 2 are non homogeneous second order differential equations where as Problem 3 is a Duffing Oscillator without any known solution. And finally, Problem 4 is a fourth order nonlinear differential equation which was intended to add a certain level of difficulty.
| STEPS: total steps, | DI: direct integration, |
| MAXE: the overall maximum error, | VOSBD: VOS backward difference, |
| AVER: the average error, | SHPM: standard homotopy perturbation, |
| MTD: the method used | SNM: standard numerical. |
| 2PBVOS: 2-Point Block Variable Order Stepsize |
**Problem 1** The equation $y''(x) + 2y'(x) + y(x) + 8y^3(x) = e^{-3x}$ for $0 \leq x \leq 100$ was obtained from [18] with initial value conditions $y(0) = \frac{1}{2}$, $y'(0) = -\frac{1}{2}$ and $y(x) = \frac{1}{2}e^{-x}$ as the exact solution.
**Problem 2** The equation $y''(x) + y(x) + y'(x) + y^2(x)y'(x) = 2\cos x - \cos^3 x$ for $0 \leq x \leq 100$ was obtained from [19] with initial value conditions $y(0) = 0$, $y'(0) = 1$ and $y(x) = \sin x$ as the exact solution.
**Problem 3** The equation $y''(x) + y(x) + y^3(x) = 0$ for $0 \leq x \leq 5$ was obtained from [20] with initial value conditions $y(0) = 1$, $y'(0) = 0$ and without any known exact solution.
**Problem 4** The equation $y''''(x) + 5y''(x) + 4y(x) - \frac{1}{9}y^3(x) = 0$ for $0 \leq x \leq 14$ was obtained from [21] with initial value conditions $y(0) = 0$, $y'(0) = 1.91103$, $y''(0) = 0$, $y'''(0) = -1.15874$ and $y(x) = 2.1906 \sin 0.9x - 0.02247 \sin 2.7x + 0.000045 \sin 4.5x$ as the exact solution.
Table 1: Comparison of total steps and accuracy for Problems 1 and 2
| TOL | MTD | Problem 1 | | | Problem 2 | | |
|-----|-------|-----------|-------|-------|-----------|-------|-------|
| | | STEPS | MAXE | AVER | STEPS | MAXE | AVER |
| $10^{-2}$ | DI | 156 | 4.54154(-2) | 1.12922(-2) | 254 | 8.49079(-2) | 2.04794(-2) |
| | VOSBD | 154 | 5.54428(-2) | 9.04569(-3) | 217 | 1.07600(-1) | 3.03894(-2) |
| | 2PBVOS| 219 | 9.97057(-1) | 1.13013(-1) | 163 | 5.90439(-1) | 6.87560(-2) |
| $10^{-4}$ | DI | 169 | 3.28968(-4) | 8.48859(-5) | 332 | 1.54704(-3) | 4.72630(-4) |
| | VOSBD | 215 | 4.90227(-4) | 6.47465(-5) | 284 | 1.24649(-3) | 1.92899(-4) |
| | 2PBVOS| 150 | 2.67777(-3) | 1.68773(-4) | 186 | 3.18495(-3) | 7.36456(-4) |
| $10^{-6}$ | DI | 173 | 2.19533(-5) | 2.80453(-6) | 382 | 4.24089(-5) | 1.56849(-5) |
| | VOSBD | 236 | 1.31698(-5) | 1.91707(-6) | 330 | 1.28039(-5) | 3.26641(-6) |
| | 2PBVOS| 169 | 1.18496(-5) | 1.32048(-6) | 279 | 1.22989(-5) | 3.58559(-6) |
| $10^{-8}$ | DI | 204 | 1.48806(-7) | 3.10007(-8) | 651 | 7.93605(-7) | 1.55130(-7) |
| | VOSBD | 224 | 1.88416(-7) | 2.22956(-8) | 569 | 7.22700(-7) | 1.09152(-7) |
| | 2PBVOS| 192 | 1.95831(-7) | 2.73453(-8) | 609 | 3.19819(-7) | 1.91880(-8) |
| $10^{-10}$ | DI | 317 | 1.18565(-9) | 3.94604(-10) | 772 | 7.83863(-9) | 2.03721(-9) |
| | VOSBD | 224 | 1.12450(-9) | 2.04848(-10) | 702 | 9.05773(-9) | 1.01381(-9) |
| | 2PBVOS| 217 | 2.80516(-9) | 1.17721(-9) | 1376 | 2.80516(-9) | 1.28110(-10) |
Table 2: Numerical result for Problem 3
| $x$ | $2PBVOS$ | SHPM | SNM |
|-----|----------|------|-----|
| | $Tot = 1 \times 10^{-1}$ | $Tot = 1 \times 10^{-5}$ | $Tot = 1 \times 10^{-10}$ |
| 0.5 | 7.68843(-1) | 7.68802(-1) | 7.68802(-1) | 7.68766(-1) | 7.68802(-1) |
| 1.0 | 2.34320(-1) | 2.33694(-1) | 2.33692(-1) | 2.33680(-1) | 2.33692(-1) |
| 2.0 | -8.65820(-1) | -8.59353(-1) | -8.59349(-1) | -8.9323(-1) | -8.59349(-1) |
| 3.5 | -2.91355(-1) | -9.30087(-2) | -9.30110(-2) | -9.30340(-2) | -9.30130(-2) |
| 5.0 | 3.19402(-1) | 9.47105(-1) | 9.47130(-1) | 9.47107(-1) | 9.47130(-1) |
Figure 1: Accuracy of DI, VOSBD and 2PBVOS method for Problem 1
Table 3: Comparison of total steps and accuracy for Problem 4
| TOL | MTD | STEPS | MAXE | AVER |
|-----|-------|-------|------------|----------|
| $10^{-2}$ | DI | 48 | 2.06305($-1$) | 3.75201($-2$) |
| | VOSBD | 46 | 2.19901($-2$) | 4.59352($-3$) |
| | 2PBVOS| 44 | 6.68423($-2$) | 1.58501($-2$) |
| $10^{-4}$ | DI | 80 | 6.74572($-4$) | 2.44601($-4$) |
| | VOSBD | 86 | 1.58280($-3$) | 3.94428($-4$) |
| | 2PBVOS| 49 | 3.28712($-4$) | 6.40115($-5$) |
| $10^{-6}$ | DI | 139 | 1.37722($-4$) | 4.02719($-5$) |
| | VOSBD | 102 | 1.26373($-4$) | 3.15140($-5$) |
| | 2PBVOS| 87 | 2.49624($-4$) | 5.12886($-5$) |
| $10^{-8}$ | DI | 399 | 1.28150($-4$) | 3.03717($-5$) |
| | VOSBD | 126 | 1.23095($-4$) | 2.94248($-5$) |
| | 2PBVOS| 114 | 1.29053($-4$) | 3.80954($-5$) |
| $10^{-10}$ | DI | 308 | 1.27015($-4$) | 3.42987($-5$) |
| | VOSBD | 225 | 1.19540($-4$) | 3.24947($-5$) |
| | 2PBVOS| 236 | 1.28890($-4$) | 4.07321($-5$) |
Figure 2: Accuracy of DI, VOSBD and 2PBVOS method for Problem 2
5.1 Discussion and conclusion
Table 1 displays the comparison of numerical results between three VOS methods, DI, VOS and 2PBVOS. The DI method established by Suleiman [3] is the benchmark for most VOS algorithm. In this research, the DI method acts as the standard of efficiency. An overall review of Table 1 so the competitive nature of the 2PBVOS method against the VOSBD and well within the range of efficiency provided by the DI method. For Problem 1, it is apparent that the 2PBVOS requires the least number of steps for each tolerance (with the exception when TOL=10\(^{-2}\)) while maintaining a level of accuracy similar to DI and VOSBD. On the other hand, results for Problem 2 shows the advantage of the 2PBVOS in terms of total step for larger tolerances, when TOL is between 10\(^{-2}\) and 10\(^{-6}\). For finer tolerances (TOL 10\(^{-8}\) and 10\(^{-10}\)), the 2PBVOS method is seen to be more accurate but, with the cost of compromising the number steps.
Problem 3 is a Duffing oscillator without any known exact solution. This problem was selected to test the accuracy of the 2PBVOS method. The approximated solution obtained by the 2PBVOS method is compared with conventional methods. Table 2 provides the approximated solution for the SHPM, SNM and 2PBVOS (tolerances 10\(^{-1}\), 10\(^{-5}\) and 10\(^{-10}\)). Results show that the 2PBVOS becomes more accurate solution when a finer TOL is used.
A higher order Duffing oscillator (order 4) is considered to observe the capability of the 2PBVOS method when dealing with more difficult problems. The numerical results in Table
3 again features the comparison between the DI, VOSBD and 2PBVOS methods. And once again, the 2PBVOS is proven to require the least number of steps without loss of accuracy.
Figure 1 to 3 illustrates efficiency of the methods. Here, efficiency of the methods is defined by the undermost curve of the provided graphs. The figures clearly show that the 2PBVOS has the undermost curve of all 3 methods with the exception of a few accuracy. In conclusion, it is apparent that the 2PBVOS method is a viable option for solving Duffing oscillators. The 2PBVOS also has the added advantage of being parallel programmable which will reduce computational cost even more.
Acknowledgments
This research has been supported by Ministry of Education (MoE) under the Fundamental Research Grant Scheme (FRGS), project number USIM/FRGS/FEM/055002/51517 and Universiti Sains Islam Malaysia (USIM) under the Short Term Grant Scheme, project number PPP/FST-0117/051000/11417.
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Salinity Adjustments in the Presence of Temperature Data Assimilation
ALBERTO TROCCOLI,* MAGDALENA ALONSO BALMASEDA, JOACHIM SEGSCHNEIDER,+ JEROME VIALARD, AND DAVID L. T. ANDERSON,
European Centre for Medium-Range Weather Forecasts, Reading, United Kingdom
KEITH HAINES,# Meteorology Department, Edinburgh University, Edinburgh, United Kingdom
TIM STOCKDALE, AND FREDERIC VITART, European Centre for Medium-Range Weather Forecasts, Reading, United Kingdom
ALAN D. FOX Meteorology Department, Edinburgh University, Edinburgh, United Kingdom
(Manuscript received 4 April 2001, in final form 2 July 2001)
ABSTRACT
This paper is an evaluation of the role of salinity in the framework of temperature data assimilation in a global ocean model that is used to initialize seasonal climate forecasts. It is shown that the univariate assimilation of temperature profiles, without attempting to correct salinity, can induce first-order errors in the subsurface temperature and salinity fields. A recently developed scheme by A. Troccoli and K. Haines is used to improve the salinity field. In this scheme, salinity increments are derived from the observed temperature, by using the model temperature and salinity profiles, assuming that the temperature–salinity relationship in the model profiles is preserved. In addition, the temperature and salinity fields are matched below the observed temperature profile by vertically displacing the original model profiles.
Two data assimilation experiments were performed for the 6-yr period 1993–98. These show that the salinity scheme is effective at maintaining the haline and thermal structures at and below thermocline level, especially in tropical regions, by avoiding spurious convection. In addition to improvements in the mean state, the scheme allows for more realistic variability than the univariate scheme in the first few relevant climate forecast data. Some comparisons with sparse salinity observations are also made, which suggest that the subsurface salinity variability in the western Pacific is better reproduced in the experiment in which the salinity scheme is used. The salinity analyses might be improved further by use of altimeter sea level or sea surface salinity observations from satellite.
1. Introduction
A currently used strategy to produce ocean analyses for seasonal forecast purposes is to force an ocean model with recent history of wind stress, heat fluxes, and precipitation minus evaporation fields, and then use the analyzed ocean state as initial conditions in a coupled ocean–atmosphere model. It is mainly the subsurface structure of the temperature fields that provides predictive skill on the timescale of a few months. The analyzed ocean states are not perfect, however, as both forcing fields and ocean models contain errors. Ocean temperature data assimilation has proven to be capable of improving the simulated upper ocean temperature structure in such a way as to be beneficial for seasonal climate forecasting (e.g., Alves et al. 1999; Ji et al. 1998; Fischer et al. 1997; Rosati et al. 1997). The seasonal forecasting system at the European Centre for Medium-Range Weather Forecasts (ECMWF) uses an ocean analysis in which in situ temperature data have been assimilated.
Not much attention has been given to salinity in the context of temperature data assimilation for seasonal climate forecasts. Hitherto, the most common approach has been to leave the salinity field unmodified when updating the temperature field. This is partly because...
subsurface salinity observations available in near–real time are very sparse, and partly because the salinity field was thought to be of less importance for the density in the upper tropical ocean. However we will show that not modifying salinity when updating temperature may lead to the generation of artificial and unrealistic water masses which corrupt the model state. We show that this can cause serious errors not only in salinity, but also in the temperature field.
As pointed out by Cooper over a decade ago (Cooper 1988), salinity variability also sometimes plays an important role in determining the three-dimensional density structure even in tropical regions. Recently, observations in the western equatorial Pacific have revealed large interannual variations of salinity at subsurface levels (Kessler 1999; Ji et al. 2000). The physical causes for the observed anomalies are not fully explored yet, and it is also unclear to what extent the ocean analyses at ECMWF, in which salinity is treated as a prognostic tracer, can reproduce the observed changes.
Recently, several different attempts have been made to infer salinity when temperature is the only subsurface data available. Some of the proposed methods make use of Empirical Orthogonal Functions (EOFs) to decompose the vertical structure of temperature ($T$) and salinity ($S$) profiles and determine relationships between them, as observed over limited regions and periods. The EOFs thus obtained are used to derive salinity from $T$ when direct observations of $S$ are not available. For example, Vossepoel et al. (1999) used 9000 $T$ and $S$ profiles in the equatorial Pacific for the period 1975–96 (i.e., an average of about 3 observations per year in a 1° by 1° region). The EOFs of the data provide a correction to a first guess, which is obtained from a climatological $T$–$S$ relation, so as to improve the $S$ variability. However, the representativeness of the EOFs depends on the availability of $T$ and $S$ observations. Because of the sparsity of $S$ data, it is difficult to extend these results to regions outside the tropical Pacific. Furthermore, the fact that EOFs can only represent structures that are present in the training data may prevent reconstruction of $S$ profiles that have not been observed in the past.
An approach that overcomes some of the limitations of the methods described above has been proposed by Troccoli and Haines (1999, hereafter TH99). The basic idea is to use the $T$–$S$ relationships of the closest $T$ and $S$ profiles in time and space to reconstruct the salinity profile from temperature information only. The approach has proven to be successful in the reconstruction of observed salinity profiles in the western tropical Pacific Ocean when the $T$–$S$ relationships are taken from observed profiles up to a few weeks before the time of the reconstruction (TH99). In the work presented here, observed $T$–$S$ relationships are replaced by the $T$–$S$ relationship of the model background, which is derived locally from the model predicted $T$ and $S$ profiles. The main advantage of this approach compared to employing EOFs is that no learning period is needed. On the other hand, the scheme relies on realistic model $T$ and $S$ profiles. In order to test the method in a data assimilation framework, experiments have been devised using an ocean global circulation model, in which temperature data are assimilated.
The work is organized as follows: in section 2 the ocean model, the data assimilation system, and the experiments are described. Results from the latter are presented in section 3. A discussion is provided in section 4.
2. Experimental setup
This section presents the experimental setup adopted in this work. The setup chosen is slightly different from that used in the operational mode at ECMWF in that some parameters have been changed. In particular, we use data whose quality control is preprocessed, guaranteeing that the same temperature data are used in all experiments. Furthermore, the maximum depth to which data are assimilated is reduced from 1050 to 425 m, to match the bottom of the Tropical Atmosphere Ocean (TAO) mooring observation profiles. In the following, a brief description of the ocean model is given first. Then the data assimilation system is described and, finally, the two experiments to test the TH99 salinity scheme are outlined.
a. Ocean model
The ocean model used in this work is the Hamburg Ocean Primitive Equation model (HOPE; Wolff et al. 1997), modified by ECMWF for seasonal forecasting in coupled mode (e.g., Stockdale et al. 1998; Alves et al. 1998). Here we only describe its main features. It is a 3D primitive equation model using $z$ coordinates and a variable sea surface height in a global domain. The model’s horizontal structure uses an E grid (Arakawa and Lamb 1977) with a horizontal resolution of 2.8° × 2.8° (latitude–longitude) plus an equatorial refinement: the meridional resolution is 0.5° within 10° of the equator, which changes smoothly from 0.5° to 2.8° between 10° and 30°. In the vertical there are 20 levels, 12 of which are in the upper 425 m. The parameterization of the vertical mixing uses a Richardson number–dependent $K$ scheme (where $K$ is the vertical eddy diffusivity coefficient), a modification from that of Pacanowski and Philander (1981). The $K$ value is increased mainly within the mixed layer, which is diagnosed as the depth range in which temperatures differ by less than 0.5°C from the sea surface temperature (SST). In order to avoid numerical problems with static instability, an ad hoc convection scheme is included, which mixes two adjacent model levels if $\frac{d\rho_o}{dz} > 0$ locally, where $\rho_o$ is the potential density.
The model is forced by daily average momentum, heat, and fresh water fluxes taken from the ECMWF atmospheric analysis system. In order to avoid unrealistic drifts, additional weak restoring terms (timescale
of 1 yr) are applied to the three-dimensional $T$ and $S$ fields by using annual climatological values from Levitus and Boyer (1994) and Levitus et al. (1994, hereafter referred to as Levitus). An additional weak relaxation (timescale of 1 yr) is applied to the Levitus surface $S$ implying a damping time of 6 months for the surface salinity. A strong relaxation (timescale of 3 days) is applied to the surface temperature using weekly analyses (Reynolds and Smith 1995) provided by the National Centers for Environmental Prediction (NCEP).
b. Data assimilation system
The data assimilation method used in this study is an optimal interpolation (OI) derived from Smith et al. (1991). The observations are subsurface temperature measurements, obtained mainly from the U.S. National Oceanographic Data Center through the Global Temperature Salinity Pilot Project (GTSPP) data distribution network. The main components of the observing system are the XBTs and TAO moorings in the equatorial Pacific. TAO-type moorings in the tropical Atlantic from the developing Pirata array and Profiling Autonomous Lagrangian Circulation Explorer (PALACE) float data distributed through the Global Telecommunication System (GTS) are also used, even though these data types are much more recent and only have an impact towards the end of the experiments. The OI method is used to map these subsurface temperature observations onto the model background. The observed $T$ profiles are first interpolated onto the model levels, which are treated independently from each other in the OI. The OI of the temperature field (with the model $T$ used as a background) is performed every 10 days, using observations grouped in 10-day bins. Following Smith et al. (1991), the background is given the same weight as an individual observation. The background errors are expressed as anisotropic and inhomogeneous Gaussian functions whose correlation length scales near the equator are 1500 km zonally and 200 km meridionally. In all the experiments described in this paper the assimilation is done over the levels from 2 to 12 (i.e., between 30- and 425-m depth). For further detail on the OI implementation in the HOPE model see Alves et al. (1999).
In order to obtain the updated vertical salinity profiles (i.e., the salinity analyses), the temperature profiles obtained by the OI are processed through the TH99 scheme. This procedure is performed on each model grid point. This scheme is in two parts. First, a vertical displacement of the model background profile to match the bottom of the analysed $T$ profile is made. The displacement corresponds to the difference between the depth of the deepest analysed temperature and the depth of the same temperature in the model profile (an example is shown in Fig. 1). The salinity profile is also shifted by the same amount. This first part of the scheme assumes that isopycnal surfaces are often displaced even below the depth to which observations usually extend, for example, by internal waves. The matching should also help to prevent convective adjustments at the bottom of the observed profile. However, if the temperature at the bottom of the analysed profile is outside the $T$ range of the model background, no displacement is performed. Typically, this may happen in coastal regions and at high latitudes. Second, the scheme computes an $S$ analysis within the depth range of the $T$ profile, using the $T$–$S$ relationships from the model $T$ and $S$ background profiles, at each grid point. For example, at a $T$ observation of 20°C, the analysed $S$ will be the same as the $S$ present at the depth of 20°C water in the model.
Fig. 1. Schematic of the vertical displacement (first part of the TH99 scheme). The displacement is the difference between the depth of the deepest observed (or, as in our case, the output of the OI) temperature (thin solid line) and the depth of the same temperature in the model profile (bold solid line). This displacement is then added to (hit as in the figure) or lower the model profile in order to complete the observed profile below the deepest observed $T$ (dashed line).
Fig. 2. Schematic of the data assimilation system. TH99 scheme is the salinity scheme.
Table 1. The three experiments.
| Expt | Period (yr) | Assimilation |
|------|-------------|--------------|
| CNT | 1993–98 | None |
| TOI | 1993–98 | OI |
| TOIS | 1993–98 | OI + TH99 |
profile. For profiles with $T$ inversions, the nearest (in $z$) $T$ match is used.
No information other than the temperature analysis (OI in the present case) and the model $T$ and $S$ profiles is needed for the TH99 scheme to work (see Fig. 2). It is known, however, that $T–S$ preservation is not a good hypothesis when nonisentropic processes are dominating (e.g., in the mixed layer or in the vicinity of river inflow) for which $T$ and $S$ variations may be highly uncorrelated. Therefore, if the OI temperature is outside the range of the model $T$ profile (as typically happens near the surface), then the model salinity is not modified. Also, in order to avoid extrapolating $T–S$ relationships of near-surface water to deeper layers, the model $T–S$ relationship from the upper 50 m of the water column is used only if the corresponding OI temperature is also near the surface. Otherwise, no change is made to the model salinity.
In addition, a latitudinal filter has been applied to the salinity and temperature increments such that the whole salinity increment is applied only within 30° of the equator. Outside this region, the weight given to the salinity analysis diminishes linearly to zero at latitudes poleward of 60°. This is done to avoid implementing the TH99 scheme in areas where the stratification is weak and $S(z)$ persistence is more appropriate (see Emery and Dewar 1982).
c. Description of the experiments
Three experiments, listed in Table 1, are run to test the TH99 salinity scheme. They all use the ocean model setup described in section 2a. The initial conditions are taken from a spinup run which has been relaxed with a 10-day timescale to the Levitus climatology at all depths. The experiments are run for the period 1993–98.
To assess the impact of the TH99 salinity scheme on the OI analysis, two experiments are considered: one in
Fig. 3. Equatorial sections of temperature. (a) Annual mean Levitus climatology, (b) the difference between expt. CNT and Levitus averaged over the 6-yr mean (1993–98), (c) same as in (b) but for expt. TOI, and (d) same as in (b) but for expt. TOIS. Negative values are shaded. Contour interval is 0.4°C.
which the TH99 salinity scheme is added to the OI (TOIS) and the other in which only the OI is used (TOI). In both experiments the temperature observations are presented to the OI procedure first. In TOIS the TH99 scheme is applied locally as a second step at each model grid point, as described in section 2b. The $T$ and $S$ increments thus calculated are then uniformly added to the model background over a 10-day period, in order to allow the model to gradually adjust to the analyzed density field. For reference, a run with no data assimilation is also performed (CNT), which will be used to check how the data assimilation affects systematic model errors.
3. Assimilation results
In this section we analyze the impact of the TH99 salinity scheme, by comparing the two runs TOIS and TOI with observations (e.g., Levitus climatology) and the experiment CNT. We first analyze a 6-yr mean in section 3a and then we investigate the salinity and the sea level variability in sections 3b and 3c, respectively.
a. Analysis of mean fields
To investigate whether TH99 can improve the mean state, we examine time-averaged fields from the entire run (i.e., the 6-yr mean 1993–98). We first consider the equatorial section through the Pacific and Atlantic Oceans. The equatorial Pacific is an area relatively rich in $T$ data and it is also very important for seasonal forecasting.
Figure 3 shows temperature sections along the equator for the Pacific and Atlantic Oceans. In the figure, panel (a) shows the climatological average from Levitus, and panels (b)–(d) show the differences between CNT, TOI, TOIS means and Levitus. Although we use Levitus as a measure of climatology, it should be born in mind that it is not an absolute measure of the mean state of the oceans. It is known, for example, that the TAO thermal data are rather cooler than Levitus in the western Pacific, either because of a different averaging period (Levitus used all data from 1900–93) or a better data coverage than Levitus, during the TAO period. We compared the Levitus climatology with the TAO climatology from Yu and McPhaden (1999), and found that TAO was colder by more than 2°C around 150-m depth in the western Pacific (Fig. 4).
The dominant feature in Fig. 3a is the sloping thermocline, which is an important feature of these two oceans. The CNT experiment shows substantial deviations of up to 3°C at the depth of the thermocline. The CNT experiment is warmer than Levitus in the eastern Pacific and in the Atlantic Ocean, and colder in the western Pacific. The cooler mean temperatures in the western Pacific are in fact in good agreement with the TAO data but not with the Levitus data, as will be seen later. However, the warmer temperatures in the Atlantic and eastern Pacific Oceans are due to systematic bias in the CNT experiment. This bias is linked to a too diffuse thermocline in the model, possibly due to limitations of the mixing scheme combined with a poor vertical resolution.
Figures 3c and 3d show that in TOI and TOIS, some of these temperature differences are substantially reduced as a result of temperature assimilation. The warm biases at the thermocline level in the eastern Pacific and across the Atlantic are very substantially reduced in both assimilation experiments. The temperature differences in the western Pacific remain substantially unchanged, however, consistent with the TAO data being colder than Levitus in this region, as shown in Fig. 4. Since the long-term mean of CNT is already consistent with the TAO data, the assimilation of temperature data does not change the mean thermal structure of CNT in the subsurface western Pacific very much.
Below the thermocline, however, significant differences with respect to Levitus, appear in TOI, which is up to 1.2°C warmer than Levitus around 600 m in the eastern Pacific, and more than 2°C warmer than Levitus at 600 m in the Atlantic Ocean. It can be noted that this would correspond to a vertical displacement of the isotherms on the order of 100 to 200 m at these depths. The differences between TOI and Levitus are thus quite large. These spurious differences are not present in CNT and must, therefore, be induced by the assimilation. They disappear in TOIS showing that the TH99 scheme helps to improve the deep ocean thermal structure in the assimilation. A discussion of the causes of the differences in the two experiments TOI and TOIS is deferred to later in this section, after introducing the salinity fields.
Figure 5 shows the salinity sections corresponding to the temperature sections from Fig. 3. The Levitus climatology (Fig. 5a) is characterized by relatively fresh water close to the surface, an intermediate salinity maximum around the depth of the thermocline, and monotonically decreasing salinity below about 200 m. Low surface salinities are present at both the eastern and western boundaries in both oceans due to strong precipitation and/or river runoff. The subsurface salinity maximum is most pronounced in the western part of the basins. Because of errors in the specified surface freshwater flux and in the model formulation, CNT is different from Levitus (Fig. 5b). It is slightly fresher near the boundaries in the surface layer, and saltier around the subsurface salinity maximum. However, for the section shown, the departure from climatology is small below 200 m.
Figure 5c shows that the assimilation of temperature data in experiment TOI introduces large changes in the salinity field in the subsurface. In particular, salinity is lower than Levitus at around 200 m (by up to 0.6 psu in both the western Pacific and Atlantic). Below 300 m, salinity is higher than Levitus (by up to 0.2 psu in the Pacific and 0.5 psu in the western Atlantic). This indicates a transfer of salt from intermediate to deeper layers, as will be discussed later. The additional correction of salinity in experiment TOIS (Fig. 5d) results in smaller differences with respect to Levitus salinity, and in particular the differences in TOI below 300 m in experiment TOIS essentially disappear. At the thermocline level, differences are also notably diminished in the western Pacific ocean compared to TOI. All in all, below the depth of 50 m, TOIS shows a promising improvement over TOI, when compared to Levitus. The behavior of all three experiments is very consistent in the surface layer, but as mentioned earlier, we do not expect the TH99 scheme to improve surface-layer salinity.
We can now start discussing possible causes of the differences between TOI and TOIS. Figure 6 shows meridional sections along 30°W of climatological temperature and of an instantaneous model output from TOI. After only 3 months, the temperature structure reveals large errors in the equatorial region. The isotherms between 5°N and 5°S have been displaced downward in an unrealistic way in TOI. This is most likely caused by strong vertical mixing or convection. Very weakly stratified or unstable water columns can be created as the result of temperature assimilation in regions where there is a subsurface salinity maximum. Below this maximum, $S$ decreases with depth and static stability is sensitively dependent on the temperature stratification. If the temperature increments given by the OI scheme in
TOI are such as to decrease the vertical $T$ stratification in these regions, (while $S$ is left unchanged), the water column may become statically unstable. The model mixing scheme then responds by spuriously increasing the vertical mixing. This is strongly reduced by the TH99 scheme in TOIS: the scheme adjusts the salinity profile in order to preserve $T–S$ characteristics and thus ensures static stability.
The spuriously increased mixing is most likely to occur where the salinity maximum in the main thermocline is relatively prominent or, more generally, when the salinity gradient below the $S$ maximum is large. This explains why differences between TOI and TOIS are more pronounced in the equatorial Atlantic where the subsurface $S$ maximum is stronger than in the Pacific.
An objective way of identifying those areas most likely to be affected by the enhanced mixing is provided by the following analysis. The stability of the water column can be expressed as the derivative of $\rho_g = \rho_\theta(\Theta, S)$ with respect to depth ($z$ positive upward):
$$\frac{d\rho_g}{dz}(\Theta, S) = \left( \frac{\partial \rho_g}{\partial \Theta} \right)_S \frac{d\Theta}{dz} + \left( \frac{\partial \rho_g}{\partial S} \right)_\Theta \frac{dS}{dz}$$
$$= -\alpha \rho_t \frac{d\Theta}{dz} + \beta \rho_t \frac{dS}{dz}, \quad (1)$$
where $\rho_g$ is the potential density, $\Theta$ the potential temperature, and $\alpha$ and $\beta$ are the thermal and haline expansion coefficients. In a statically stable water column $d\rho_g/dz$ is negative. In TOI the temperature profile is changed while the $S$ profile is retained. If $dS/dz$ is positive, this can lead to a statically unstable profile if temperatures are reduced at that depth by the OI. The critical value of the temperature stratification $(d\Theta/dz)_c$, which would cause convection to begin (when $d\rho_g/dz$ is zero), is given by:
$$\left( \frac{d\Theta}{dz} \right)_c = \frac{\beta}{\alpha} \frac{dS}{dz} = \gamma \frac{dS}{dz}, \quad (2)$$
where $\gamma = \gamma(\Theta, S) > 0$.
If we assume, as shown by TH99, that temperature variability in the thermocline occurs mostly through vertical displacements of the water masses, it is possible to compute the minimum vertical displacement of the $T$ profile for which this will happen. The smaller this value, the greater the risk of spurious convection. Figure 7 shows the results of such evaluation with the temperature and salinity fields taken from the Levitus climatology along the equatorial section (left) and the 30°W meridional section (right). The solid lines show the minimum displacement, while the dashed lines give the depth at which instability occurs. The plot on the left shows that the Atlantic sector (between 50°W and 10°E) is more prone to instability than the Pacific sector. In the Atlantic, upward shifts of the temperature profile of between 15 and 60 m (solid line) are generally sufficient to make the water column unstable at depths that vary between 90 and 240 m (dashed line). In the Pacific these displacements are always more than 70 m and generally well over 100 m.
This analysis yields a more rigorous confirmation of what could have been deduced from the climatological $S$ in Fig. 5a: the $S$ maximum in the Atlantic is up to 1 psu larger than in the Pacific, but the $S$ values at depth are very close in the two oceans.
The smaller amount of temperature data collected in the Atlantic is another contributing factor as to why TOI and TOIS differences are more pronounced in the equatorial Atlantic than in the Pacific, in particular in the thermocline. In the Atlantic during 1993–98 the main source of $T$ profiles are XBT casts along shiptracks, so that observations at one location are only made a few times per year. Some of these will tend to generate spurious mixing in TOI and to erode both the temperature and salinity stratification. The only compensation will be the relaxation to climatology, which acts on the slow timescale of 1 yr. On the other hand, in the Pacific Ocean there are frequently repeated observations at the same location from the TAO array. Once the salinity gradients have been eroded (this can be seen happening in Fig.
8), the subsequent temperature observations can constrain the temperature field without generating more spurious mixing or convection. The temperature field is thus very well constrained whereas the salinity field is still in error.
Note that in TOI, the assimilation makes no temperature increments below 425-m depth. This is an extreme “data sparsity” problem and means that if the analysis starts to go wrong, there is nothing to bring it back other than the very slow relaxation to climatology. Thus, once a warm column begins to develop at these depths, it may be hard to stop. Extending the temperature analysis to lower depths might reduce this problem, or at least push it down deeper. In the experiments presented here, we chose 425 m instead of the operationally used 1050 m in order to match the depth to which TAO observations extend. It is mainly XBT observations that extend to greater depth.
To further study the impact of the TH99 scheme, we consider now a 6-yr mean meridional section at the same location as for Fig. 6 (30°W). Figures 8a–d show the $T$ and $S$ fields for both TOI and TOIS and the difference between the two experiments (Figs. 8e,f). The $T$ field is characterized by a tight thermocline between 8°S and 13°N. The $S$ field has two surface maxima at around 17°S and 24°N, from both of which subsurface salinity maxima extend toward the equator. In Figs. 8a and 8b, starting at the base of the main thermocline, an anomalous warm and salty water column is seen in TOI in the neighborhood of the equator. Such a feature is not present in the Levitus climatology: it is a manifestation of the spurious mixing activity discussed previously. On the other hand, the $T$ and $S$ fields of TOIS look more realistic (Figs. 8c,d), with only a slight downward bulge in the salinity field at the equator and a corresponding, though smaller bulge in the $T$ field (5° and 6°C isotherms). This suggests that some mixing may still be occurring intermittently in the TOIS experiment, probably due to the fact that the assimilation does not take into account the actual depth of each observation profile (the deepest assimilation level is fixed, at 425 m). The difference between TOI and TOIS along this section (Figs. 8e,f) shows large discrepancies in $T$ and $S$, especially in the 7°S–8°N band, where the stability analysis (Fig. 7b) shows that instabilities are most likely.
We now investigate the effect of the differences in $T$ and $S$ on the density field. Figure 9a shows an equatorial section of density and Figs. 9b,c of temperature and salinity, respectively. In both oceans TOI is lighter than TOIS at the pycnocline level (around 150 m) and denser below. This is exactly what we would expect if TOI has had enhanced convection, that is, denser water convecting down from above. In the Pacific Ocean, $T$ differences between the two experiments are small (Fig. 9b). The density differences are thus mainly linked to the salinity (e.g., saltier water in TOI below the pycnocline results in denser water). In the Atlantic Ocean, there is a competing effect of $T$ and $S$ on the density field (e.g., with TOI warmer and saltier below the thermocline). However, the salinity effect is once again dominating.
It is interesting to consider these density differences because they have an impact on sea level. Because of the compensating effects of $T$ and $S$ differences, and because of vertical compensation between denser water in TOI below the pycnocline and lighter water above, the overall difference in sea level is generally small. Along the equator in the Pacific and in the Atlantic, TOIS has a higher sea level than TOI, but the difference does not exceed 2 cm for the 6-yr average (not shown).
b. Salinity variability
In the previous section we have shown that the use of the TH99 scheme generally improves the mean state
Fig. 8. Meridional sections at 30°W of the 6-yr mean (1993–98). (a) Temperature and (b) salinity for the OI-only run (expt TOI), (c) temperature and (d) salinity for the OI plus salinity scheme run (expt TOIS), (e) TOIS − TOI temperature difference, and (f) TOIS − TOI salinity difference. Negative values are shaded. The enhanced vertical mixing is evident in TOI between 7°S and 8°N (a), (b). This causes large differences both in $T$ and $\delta$ between TOIS and TOI (e), (f).
of the ocean. However, for seasonal climate forecast initialization, the variability is also of concern. In this section we examine the salinity variability both by looking at differences between the time-varying salinity fields in TOI and TOIS and by comparing them with other modeling and observational results.
To begin with, we look at integrated measures of the salinity in two regions, the Niño-4 region in the western Pacific (5°N–5°S, 160°E–150°W), and a box spanning the Equatorial Atlantic from 5°N to 5°S. Figures 10a,b show the average salinity in the top 280 m of the water column and the average from 60–280 m, respectively, for the Niño-4 region. Figures 10c,d show the same quantities for the Atlantic box.
It is immediately clear that the integrated salinity in the TOI run drifts downward rapidly as soon as assimilation is applied and that most of this drift takes place below the mixed layer, that is, below 60 m. In contrast the TOIS run maintains its mean salinity values as assimilation begins. This leads to average salinity differences of up to 0.05 psu in the Niño-4 region and up to 0.2 psu in the equatorial Atlantic in Figs. 10b,d. The reason for the lower salinity in TOI is the loss of salt to layers below 280 m due to spurious convection. The salinity variability is large in the surface layers and is fairly similar in each run since the surface forcing is virtually the same in the two runs. The seasonal cycle is particularly clear in the Atlantic box, while interannual variations are clear in the Pacific where the 1997 ENSO shows up very strongly in Fig. 10a. The freshening in 1997 appears to be confined to the near-surface layers since Fig. 10b shows a much smaller signal.
Variability in the 60–280-m layer shows more interesting signals. In the Niño-4 region the salinity variability still shows a seasonal cycle, but whereas in TOI this has a fairly constant amplitude, in TOIS the amplitude appears to increase for four years culminating in the 1997 ENSO event, after which the salinity cycle returns to much lower values. If this is a real signal it would invite speculation on the role of salt in the warm water pool in the runoff to ENSO events. Clearly salinity variability is larger in the TOIS run but it is difficult to know whether this is realistic. In the Atlantic box the salinity variations show little annual cycle and are less correlated between the TOI and TOIS runs.
Observational salinity data with information about temporal variability are very sparse. We found no suitable comparison data at all in the Atlantic. The section along 165°E in the western Pacific is one of the best observed but even here data coverage is poor. The most thorough analysis of this section is published in Kessler (1999, hereafter K99). Figure 2 of K99 shows the evolution of salinity as a function of depth and time for the region 3°–5°S. From the beginning of 1993 the figure shows that subsurface salinity increases until the beginning of the ENSO of 1997. Figure 4 of K99 shows a similar temporal trend and suggests that a wider range of latitudes is involved. This is at least consistent with
Fig. 10. Temporal evolution of the salinity averaged over (a), (c) 0–280 m and (b), (d) 60–280 m for the (a), (b) Niño-4 region and (c), (d) the equatorial Atlantic for TOI (dashed) and TOIS (solid).
the increasing salt trend over the whole Niño-4 area shown in Figs. 10a,b from mid-1993.
Figure 11 shows the model equivalent of K99 Fig. 2, that is, the salinity average $3^\circ$–$5^\circ$S at $165^\circ$E for the assimilation runs. Vertical lines show the times when this area was observed, indicating the data used to construct K99 Fig. 2. The annual sampling is clearly inadequate to capture all the changes taking place in the salinity layer. Again there is a clear suggestion from the TOIS plot (Fig. 11a) that salinity is increasing from early 1993 to mid-1996, as presented in K99. Notice also the sudden deepening of the salinity maximum and the downward spread of salt in TOI in the second half of 1997. This is an example of the intermittent nature of the spurious convection generated if salinity is not accounted for during the assimilation of $T$ profiles.
Finally we look at two specific CTD profiles from this same area. Ji et al. (2000) looked at two CTD profiles at $2^\circ$S, $165^\circ$E, one from 2 May 1995 (hereafter CTD95), and the other from 10 July 1996 (hereafter CTD96). They did this to try to explain an observed discrepancy in sea level between these dates, which could not be explained by the $T$ profile differences. They found that the CTD95 salinity profile was fresher than the CTD96, down to a depth of about 180 m. Ji et al. (2000) argue that the interannual $S$ variation would explain the 5–10 dyn cm sea level difference.
Figures 12a and 12b show the same two CTD profiles compared with the May 1995 and July 1996 monthly average salinity profiles for TOI and TOIS. Note that on a timescale of one month, the CTD rms variability could be as large as 0.2 psu in the thermocline and even larger closer to the surface (Fig. 2 in TH99). As a reference, the Levitus annual salinity profile at $(2^\circ$S, $165^\circ$E), to which TOI and TOIS are weakly relaxed, is also plotted in Figs. 12a,b.
The agreement of the $S$ profiles for May 1995 for TOI and TOIS with CTD95 are reasonably good from 100–200 m through the salinity maximum (Fig. 12a). However, at deeper levels TOIS is clearly more realistic, being much closer to the observations and to Levitus. The CTD96 observations clearly show higher salinities than CTD95, and both TOI and TOIS also show an increase to some extent. The salinity maximum in TOIS is, however, closer in value and in depth to the observed and again at deeper levels TOIS is also closer to the observed profile. Vossepoel and Behringer (2000) also compared their own assimilation results for salinity with a similar set of CTD casts. Their near-surface fit to CTD96, in Fig. 16 of Vossepoel and Behringer (2000), is 0.25 psu compared to 0.08 psu in TOIS, and at the depth of the $S$ maximum it is 0.75 psu compared to 0.4 psu in TOIS.
c. Sea level variability
We will now examine impact of assimilation on the sea level variability. Figure 13 shows the variations in the average sea level in the Niño-4 region for the two model runs, and for the TOPEX/Poseidon (T/P) altimeter data. Most of the variability is due to the seasonal cycle but there are significant interannual variations which are also clear, and the ENSO of 1997/98 stands out strongly. It is clear that both model runs do a good job at tracking the sea level changes through this period, including the interannual component, and it is not really possible to distinguish the runs on the basis of sea level comparisons. This is not unexpected because the erroneous vertical redistribution of salt produced in the TOI assimilation run should not affect the mean density of the water column since it occurs from convection, and therefore the dynamic height component of sea level is unlikely to change. We note that neither run shows any serious problems in 1996 where Ji et al. (2000) identified a sea level discrepancy in their model due to salinity errors. Differences between TOI and TOIS, as well as between each of them and the altimeter data, are generally less than 3 cm for this region (after removing the 1993–95 mean in each case).
In Figs. 14a,b we show a comparison between the T/P sea level observations and TOIS in terms of (a) rms errors and (b) correlations for the period 1993–98. These plots have been constructed by taking the T/P gridded products (Le Traon et al. 1998) and the corresponding model fields. Note that the seasonal cycle has already been removed from these figures so that they represent a comparison of interannual variability. Along the equator in the Pacific, the agreement between the assimilation experiment and T/P is good with rms errors with respect to T/P at about 3 cm. The correlation between T/P and model sea level (Fig. 14b) is larger than 90% in the equatorial Pacific. In the equatorial Atlantic the interannual signal is small and the correlation exceeds 80% only in a limited domain. Similar figures for the TOI experiment show essentially the same level of agreement with the T/P data.
The better performance of the Pacific over the Atlantic is partly due, as noted in section 2b, to the larger amount of temperature data available for assimilation in the Pacific. In the Atlantic, $T$ observations are more sporadic since they derive from the XBT network rather than the TAO-type array in the Pacific that reports daily.
4. Discussion
The salinity scheme proposed by Troccoli and Haines (1999) has been applied to the ocean model used at ECMWF, by combining it with the preexisting temperature optimal interpolation (OI) procedure. An experiment in which salinity was corrected (TOIS) has been run for the 1993–98 period and compared with one in which only temperature is updated (TOI). The 6-yr mean analysis has shown promising results for TOIS, with significant salinity improvements, with respect to TOI, especially below 50-m depth. Indeed, where TOI leaves $S(z)$ unchanged in regions where salinity decreases with depth, this can lead to first-order errors in the model mean state. The water column can become statically unstable leading to spurious vertical mixing when the temperature increment tends to decrease the thermal stratification. This has a particularly dramatic effect in the tropical Atlantic where there is a strong salinity maximum and where there are sparse measurements to constrain the temperature field. In the experiment TOIS, these first-order errors are virtually eliminated as the TH99 scheme allows preservation of water mass properties, thus preventing spurious convection from occurring.
Although the salinity profiles are generally better reproduced by TOIS than TOI, the sea level variability, measured by the rms errors between the T/P sea surface height and the two model experiments, is not noticeably improved with TOIS. This is mainly because spurious convection in TOI has little impact on sea level as the vertically integrated density is essentially unaltered.
The approach of this paper has been to use in situ thermal data to correct salinity. A similar type of approach, but based on EOFs, has also been tested by Vossepoel et al. (1999), but in their scheme a back history of salinity is used in order to derive the EOFs. This is a serious limitation in applying the scheme in a global assimilation system such as that used at ECMWF. Indeed, one of the regions of improved response of our scheme was shown to be the Atlantic where the mean state was substantially improved. The Atlantic, an area with limited $T$ and $S$ data coverage, was not considered by Vossepoel et al. (1999).
Vossepoel and Behringer (2000) have extended their schemes to include altimetry. This is clearly a next step for us too. The use of altimeter data in the ECMWF system has been explored with encouraging results by Segschneider et al. (2000), and we have recently combined the scheme described here with altimeter data from T/P and the European Remote-Sensing Satellite (ERS). A similar effort has also combined these schemes in the Ocean Circulation and Climate Advanced Modelling Project (OCCAM) high-resolution model (K. Haines 2000, personal communication). One of the main reasons for becoming interested in salinity came from comparing the model sea level with real-time altimeter
data as part of the Developing Use of Altimetry for Climate Studies (DUACS) program of the European Community. This led to a realization that salinity was being handled badly in our real-time analysis system. Therefore, the integration of altimeter information into the system presented here can only improve the performance of our simulations.
Vossepoel and Behringer (2000) have considered using surface salinity observations. A better representation of the sea surface salinity would greatly improve the top 50 m of the vertical salinity profile, as found by Reynolds et al. (1998). However, they also point out that the surface signal is unable to penetrate below this depth. Therefore, the improvement of the upper water column given by the use of surface salinity would complement the TH99 scheme analysis for the remaining part of the water column, so as to provide a better analysis throughout the water column. This is not idle speculation as there is a real prospect that surface salinity observations from satellite will become available in the not-too-distant future (Lagerloef et al. 1995). In addition many of the floats in the Argo network, which is currently being established, will provide salinity profile data which will greatly help in keeping the model $T$–$S$ relationship on track.
Overall, our results present a method which overcomes many of the troublesome aspects of a univariate OI scheme. It is not, however, a panacea. The concept of $T$–$S$ conservation is inappropriate in the surface layer, hence sea surface salinity data would greatly help to improve the assimilation scheme. We could perhaps also obtain some improvement in the salinity analysis either by including altimeter data or tuning the assimilation scheme further. However, it seems unlikely that the salinity field will be well reproduced in ocean models without the assimilation of at least some salinity observations from both the surface and the subsurface, at regular intervals.
Acknowledgments. Part of this work has been supported by the European Union Environment and Climate project DUACS (ENV4-CT96-0357). The altimeter products have been produced by the CLS Space Oceanography Division as part of the European Union Environment and Climate project AGORA (ENV4-CT9500113) and DUACS (ENV4-CT96-0357). Author AT received support from the NERC through a WOCE grant during the early part of this work. We thank Jocelyn Williams for drawing Fig. 1 and Michael McPhaden for supplying us with the CTD data used in Figure 12 and Billy Kessler for the observation data used in Fig. 11, including extending his analysis to the end of 1998 for us.
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Registration of Scandalous, Immoral, and Disparaging Matter Under Section 2(a) of the Lanham Act: Can One Man’s Vulgarity Be Another’s Registered Trademark?
THEODORE H. DAVIS, JR.*
TABLE OF CONTENTS
I. INTRODUCTION ................................................................. 332
II. THE REGISTRATION PROCESS ........................................... 335
III. SECTION 2(a) JURISPRUDENCE: A SURVEY ....................... 338
A. Establishing an Underlying Rationale ............................. 338
B. The Problem of Standards ............................................ 339
1. The Proper Relationship Between the Mark and the Covered Goods and Services .................................................. 339
a. The Riverbank Canning Analysis .............................. 339
b. The Per Se Inquiry ............................................... 345
2. Defining “Scandalous,” “Immoral,” and “Disparaging” ........ 349
a. “Scandalous” and “Immoral” Marks .......................... 350
b. “Disparaging” Marks ............................................. 352
3. Applying the Standards ............................................. 355
a. Word Marks ....................................................... 355
b. Design Marks ..................................................... 358
C. The Problem of Standing .............................................. 359
IV. TOWARDS A NEW SCANDALOUS, IMMORAL, AND DISPARAGING JURISPRUDENCE .................................................. 364
A. Refusal to Register Scandalous, Immoral, or Disparaging Marks as an Unconstitutional Condition ........................................ 364
B. Interaction of Goods, Services, and Marks Under Section 2(a) .......... 374
C. Evaluating the Sufficiency of Section 2(a) “Injuries” as Article III Standing .......................................................... 384
1. Moral Offense as Redressable Injury Under Article III and Section 2(a) .......................................................... 386
2. “Lowering of Governmental Standards” as Cognizable Injury Under Article III and Section 2(a) .......................... 394
3. Standing to Challenge Registration of Scandalous, Immoral, and Disparaging Marks: A Final Note .......................... 396
V. CONCLUSION .................................................................. 400
* An earlier draft of this Article received the 1992 Ladas Memorial Award, awarded annually by the Brand Names Education Foundation for the paper judged best on the subject of trademark law or a matter that directly relates to trademark law.
I. INTRODUCTION
Although federal registration of a trademark, service mark, collective mark, or certification mark\(^1\) on the Principal Register provides its owner with numerous competitive advantages,\(^2\) the door to registration is not open to all marks. Consistent with its underlying purpose of consumer protection, for example, the Lanham Act\(^3\) contains broad prohibitions against the registration of marks that are likely to create confusion between their owners' goods or services and those of prior registrants.\(^4\) Similarly, the Act bars from
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**Kilpatrick & Cody, Atlanta, Georgia. B.A. (1987), Davidson College; J.D. (1990), University of Virginia. Member, Georgia and District of Columbia Bars. © 1993 by Theodore H. Davis, Jr. and the Ohio State Law Journal.**
The author gratefully acknowledges the expert (and tolerant) assistance of Mead Data Central's Janet A. Powell and Laurie A. Cline in researching this Article, the helpful comments of Jerre B. Swann, Christopher P. Bussert, William H. Brewster, and Karise Y. Grier on previous drafts, and Carolyn D. Scott's careful review of the *Official Gazette*. Although scandal, immorality, and disparagement are wholly foreign to her, this Article is for Catherine.
\(^1\) Under federal law, a "trademark" may be "any word, name, symbol, or device, or any combination thereof" that may be used by its owner "to identify and distinguish his or her goods, including a unique product, from those manufactured or sold by others and to indicate the source of the goods, even if that source is unknown," while a "service mark" acts to identify and distinguish the services of its owner. In contrast, a "certification mark" is a mark that certifies such things as a product's regional origin or mode of manufacture, and "collective marks" include designations indicating membership in a union, an association, or other organization. 15 U.S.C. § 1127 (1988). In keeping with the convention employed by the Lanham Act, *see, e.g., id.*, the term "marks" as used in this Article collectively refers to all of these designations unless otherwise noted.
\(^2\) Federal registrants, for example, enjoy nationwide constructive notice of their use and ownership of the underlying mark. *Id.* § 1072. Prior to the fifth anniversary of the issuance of a registration, the registration constitutes prima facie evidence of the registrant's exclusive right to use the mark in interstate commerce; after that time this presumption becomes conclusive. *Id.* § 1115(a); *see also id.* § 1121 (providing for federal jurisdiction in infringement suits brought by federal registrants without regard to the amount in controversy); *id.* § 1117 (providing for awards of profits, treble damages, costs, and attorneys fees to federal registrants who are successful in infringement suits); *id.* § 1125(6) (providing for exclusion from U.S. of goods infringing upon rights of registrant).
\(^3\) Pub. L. No. 79-489, 60 Stat. 427 (1946), codified as amended at 15 U.S.C. §§ 1051–1127 (1988 & Supp. III 1991) [hereinafter the Act].
registration marks that affirmatively misrepresent the qualities or geographical origin of the goods or services associated with them.\textsuperscript{5}
The Act does not, however, restrict registrability solely to promote the competitive process by preventing consumer confusion or deception. Rather, it also prohibits registration of a broad variety of marks based merely on their content or subject matter.\textsuperscript{6} Thus, for example, applicants applying to register such material as the flag of the United States, the official seal of a state, or the portrait of a recently deceased President will encounter express congressional disapproval.\textsuperscript{7} Likewise, individuals seeking to block registration of their names without their consent may arm themselves with the Act’s express prohibition against such actions.\textsuperscript{8}
This Article focuses on the latter of these types of restrictions. More specifically, this Article examines the content-based prohibitions contained in Section 2(a) of the Act, which prohibits registration of, inter alia, marks consisting of or comprising scandalous, immoral, or disparaging matter.\textsuperscript{9}
\textsuperscript{4} \textit{See} 15 U.S.C. § 1052(d) (1988) (barring registration of marks “likely, when used on or in connection with the goods of the applicant, to cause confusion, to cause mistake, or to deceive”).
\textsuperscript{5} \textit{See id.} § 1052(e)–(f).
\textsuperscript{6} These prohibitions are contained in Section 2 of the Act, which provides in relevant part as follows:
No trade-mark by which the goods of the applicant may be distinguished from the goods of others shall be refused registration on the principal register on account of its nature unless it—
(a) Consists of or comprises immoral, deceptive, or scandalous matter; or matter which may disparage or falsely suggest a connection with persons, living or dead, institutions, beliefs, or national symbols, or bring them into contempt, or disrepute.
(b) Consists of or comprises the flag or coat of arms or other insignia of the United States, or any State or municipality, or of any foreign nation, or any simulation thereof.
(c) Consists of or comprises a name, portrait, or signature identifying a particular living individual except by his written consent, or the name, signature, or portrait of a deceased President of the United States during the life of his widow, if any, except by the written consent of the widow.
\textit{Id.} § 1052(a)–(c).
\textsuperscript{7} \textit{Id.} § 1052(b)–(c).
\textsuperscript{8} \textit{Id.} § 1052(a).
\textsuperscript{9} \textit{Id.} [hereinafter Section 2(a)]. For the text of this provision, see \textit{supra} note 6.
Although an examination of these provisions is beyond the scope of this Article, most state trademark acts include similar prohibitions against state registration of scandalous,
Although among the lesser known provisions of the Act, this section arguably has spawned its most interesting case law. Indeed, few other bodies of federal law can lay claim to the sheer scope of the subject matter encompassed by Section 2(a) jurisprudence, a subject matter ranging from the Virgin Mary to the Reverend Sun Myung Moon, from tabernacle safes to condoms, and from World War I soldiers to penis size-increasing devices.
immoral, and disparaging material. *See, e.g.*, ALA. CODE § 8-12-7 (1984 Supp.); ALASKA STAT. § 45.50.010 (1986); ARIZ. REV. STAT. ANN. § 44-1442 (1989); ARK. CODE ANN. § 4-71-104 (Michie 1987); CAL. BUS. & PROF. CODE § 14220 (West 1990); COLO. REV. STAT. § 7-70-108 (1983); CONN. GEN. STAT. § 35-11b (West 1985); DEL. CODE ANN. tit. 6, § 3303 (1983); FLA. STAT. ch. 495.021(1) (West 1985); GA. CODE ANN. § 10-1-441 (1982); IDAHO CODE 48-502(b)(1) (1990); ILL. REV. STAT. ch. 140, para. 9 (1972); IND. CODE § 24-2-1-3 (1982); IOWA CODE ANN. § 548.2 (West 1989); KAN. STAT. ANN. § 81-112 (1985); KY. REV. STAT. ANN. § 365.575 (Michie/Bobbs-Merrill 1989); LA. REV. STAT. ANN. § 51:212 (West 1990); MD. CODE ANN. BUS. REG. § 1-404 (1992); MASS. GEN. L. ch. 110B § 3 (1990); MICH. COMP. LAWS § 429.32 (1982); MISS. CODE ANN. § 75-25-3 (1971); MO. REV. STAT. § 417.011 (1978); MONT. CODE ANN. § 30-13-303 (1985); NEB. REV. STAT. § 87-112 (1943); NEV. REV. STAT. § 600.330 (1991); N.H. REV. STAT. ANN. § 350-A:2 (1991); NJ. STAT. ANN. § 56:3-13.2 (West 1989); N.Y. GEN. BUS. LAW § 361 (McKinney 1988); N.C. GEN. STAT. § 80-2 (1989); N.D. CENT. CODE § 47-22-02 (1988); OHIO REV. CODE ANN. § 1329.55 (Baldwin 1991); OKLA. STAT. tit. 78, § 22 (1989); OR. REV. STAT. § 647.035 (1991); 54 PA. CONS. STAT. ANN. § 1111 (Supp. 1991); R.I. GEN. LAWS § 6-2-3 (1990); S.C. CODE ANN. § 39-15-120 (Law. Coop. 1976); S.D. CODEFIED LAWS ANN. § 37-6-6 (1989); TENN. CODE ANN. § 47-25-502 (1990); TEX. BUS. & COM. CODE ANN. § 16.08 (West 1987); UTAH CODE ANN. § 70-3-2 (1953); VT. STAT. ANN. tit. 9, § 2527 (1991); VA. CODE ANN. § 59.1-79 (1989); WASH. REV. CODE ANN. § 19.77.020 (West Supp. 1989); WYO. STAT. § 40-1-102 (1992); see also Model State Trademark Bill § 2 (1964).
Despite these express prohibitions in the trademark area, the United States Code is silent on the subject of whether allegedly scandalous, immoral, or disparaging material may be protectable under the patent and copyright laws. In light of this silence, whether such bars may be read into the relevant statutes has been a subject of some judicial debate. The modern view, however, is that in the absence of a provision corresponding to Section 2(a), the patent and copyright statutes contemplate the protection of any works or inventions otherwise falling within their scope. Compare National Automatic Device Co. v. Lloyd, 40 F. 89, 89–90 (N.D. Ill. 1889) (gambling devices lack utility and thus are ineligible for patent protection) with Ex parte Murphy, 200 U.S.P.Q. (BNA) 801, 802–03 (Bd. Pat. App. 1977) (approving patentability of invention used solely for gambling); compare also Broder v. Zeno Mauvais Music Co., 88 F. 74, 78 (N.D. Cal. 1898) (denying protection on ground that "the word 'hottest,' as used in the chorus of [the] song 'Dora Dean,' has an indelicate and vulgar meaning and that for that reason the song cannot be protected by copyright") with Mitchell Bros. Film Group v. Cinema Adult Theater, 604 F.2d 852, 854, 858 (5th Cir. 1979) (copyright statute contains no explicit or implicit bar to the copyrighting of obscene materials).
Part I of this Article briefly introduces the federal registration process, including the *ex parte* and *inter partes* litigation characteristic of proceedings involving allegedly scandalous, immoral, or disparaging marks.\(^{10}\) Part II surveys the case law arising under Section 2(a), describing the methodology employed in evaluations of the registrability of marks arguably falling within its scope. Finally, Part III critiques this jurisprudence, identifying three areas in which prevailing Section 2(a) doctrine suffers from critical deficiencies. This Part suggests alternative interpretations of the Lanham Act that would avoid these flaws and at the same time better serve the underlying purposes of unfair competition law and the Constitution itself.
II. THE REGISTRATION PROCESS
Upon receipt of an application to register a mark on the Principal Register,\(^{11}\) the United States Patent and Trademark Office ("PTO") assigns it to an Examining Attorney for processing.\(^{12}\) Although this *ex parte* review generally focuses on whether the application complies with various formal requirements,\(^{13}\) the Examining Attorney also evaluates whether the mark applied for complies with the Act's substantive barriers to registration.\(^{14}\)
\(^{10}\) For purposes of this Article, the term "ex parte" refers to cases in which an applicant challenges the Patent and Trademark Office's determination that the applicant's mark is not entitled to registration. In contrast, the term "inter partes" refers to conflicts between: (1) competing applicants for registration; (2) an applicant and another party seeking to block registration of the applicant's mark; and (3) a federal registrant and another party seeking to cancel the registrant's registration.
\(^{11}\) In addition to the Principal Register, the Lanham Act also provides for the maintenance of a Supplemental Register for marks that are capable of distinguishing their owners' goods and services but do not do so as of yet. *See* 15 U.S.C. §§ 1091–95 (1988). Because each of the cases discussed by this Article involved eligibility of marks for the Principal Register, this Part does not attempt to set forth the application process for the Supplemental Register.
\(^{12}\) *Id.* § 1062(a).
\(^{13}\) Thus, for example, the PTO might reject an application because it does not include the required specimens demonstrating that the mark is being used in conjunction with the specified goods or services. *See* 37 C.F.R. § 2.56 (1992).
\(^{14}\) *See generally* Glenwood Lab., Inc. v. American Home Prod. Corp., 455 F.2d 1384, 1387 (C.C.P.A. 1972). For purposes of Section 2(a) determinations, this process is as follows:
In order to achieve uniformity in [PTO] practice in this area, the Examining Attorney, before refusing registration of a mark on the ground that it consists of or
Should the Examining Attorney initially reject the application, the applicant may respond with appropriate legal arguments or additional submissions.\textsuperscript{15} This process continues until: (1) the applicant abandons the application; (2) the Examining Attorney withdraw the objection(s) upon reconsideration; or (3) the application receives a final rejection.\textsuperscript{16} If the mark ultimately is approved for registration, the PTO notices that approval by publishing the mark in its \textit{Official Gazette}, with a registration normally issuing within six months.\textsuperscript{17}
Not all final determinations of registrability are made by Examining Attorneys. Prior to 1958, for example, an unsuccessful \textit{ex parte} applicant could appeal to the Commissioner of Patents.\textsuperscript{18} Since that time, such an applicant may appeal to the PTO's administrative appellate body, the Trademark Trial and Appeal Board ("the Board").\textsuperscript{19} In proceedings before the Board, the Examining Attorney bears the burden of establishing that the mark is unregistrable\textsuperscript{20} and is entitled to file a brief responsive to that of the applicant, who in turn is then allowed a reply brief.\textsuperscript{21}
\begin{quote}
comprises immoral or scandalous matter, must consult with his or her supervisor, who in turn will bring the matter to the attention of the Deputy Assistant Commissioner for Trademarks for approval.
\textbf{UNITED STATES PATENT AND TRADEMARK OFFICE, U.S. DEP'T OF COMM., TRADEMARK MANUAL OF EXAMINING PROCEDURE § 1203.01 at 1200–14 (1992 ed.) [hereinafter T.M.E.P.].
\textsuperscript{15} See 15 U.S.C. § 1062(b) (1988).
\textsuperscript{16} See generally James E. Hawes, \textsc{Trademark Registration Practice} § 1.08[2], at 1–16 (1992); 2 J. Thomas McCarthy, \textsc{McCarthy on Trademarks and Unfair Competition} § 19.40[1], at 19–214 (3d ed. 1992).
\textsuperscript{17} 37 C.F.R. § 2.80 (1992).
\textsuperscript{18} See Pub. L. No. 85-609, 72 Stat. 540 (1958). As a practical matter, the Commissioner typically delegated responsibility for hearing the appeal to PTO employees under his supervision. See, e.g., \textit{Ex parte} Parfum L'Orle, Inc., 93 U.S.P.Q. (BNA) 481 (Comm'r Patents 1952) (appeal heard by Patent Office Examiner in Chief); \textit{Ex parte} Martha Maid Mfg. Co., 37 U.S.P.Q. (BNA) 156 (Comm'r Patents 1938) (appeal heard by Assistant Commissioner of Patents).
Note that pursuant to Pub. L. No. 93-596, 88 Stat. 1949 (1975), the office of "Commissioner of Patents" became the "Commissioner of Patents and Trademarks."
\textsuperscript{19} 15 U.S.C. § 1070 (1988). An applicant whose application has foundered on purely procedural requirements still may petition the Commissioner to waive the requirement. See 37 C.F.R. § 2.146 (1992). The Commissioner does not, however, have the authority to waive statutory requirements. See, e.g., \textit{In re} Kruysman, Inc., 199 U.S.P.Q. (BNA) 110 (Comm'r Patents 1977).
\textsuperscript{20} \textit{In re} Budge Mfg. Co., 857 F.2d 773, 775 (Fed. Cir. 1988).
\textsuperscript{21} 37 C.F.R. § 2.144 (1992).
\end{quote}
The registrability of particular marks may also be challenged by third parties. Within thirty days after the mark's publication in the *Official Gazette*, for example, any party who believes that she will be damaged by the mark's registration may challenge it in a formal opposition proceeding.\(^{22}\) Similarly, the same party facing an existing registration of the mark may petition to cancel it by alleging that the registration was improperly issued under the Act.\(^{23}\) Both types of these *inter partes* proceedings are heard by the Board in its capacity as an administrative fact finder.
If dissatisfied with the Board's decision, parties to *inter partes* proceedings and unsuccessful applicants may appeal to the United States Court of Appeals for the Federal Circuit\(^{24}\) or, alternatively, may elect to have their cases heard on a *de novo* basis by a federal district court.\(^{25}\) Because there are no reported cases under Section 2(a) in which a party has appealed to a district court, this Article examines decisions falling within the jurisdiction of the Federal Circuit and its predecessor, the Court of Customs and Patent Appeals.\(^{26}\)
---
\(^{22}\) 15 U.S.C. § 1063 (1988); 37 C.F.R. § 2.101–07 (1992).
\(^{23}\) 15 U.S.C. § 1064 (1988); 37 C.F.R. § 2.111–15 (1992). Once a mark has been registered for five years, the registration may be cancelled only on the narrow grounds specified in 15 U.S.C. § 1064(3). Among these, however, is the allegation that the mark has been registered in violation of Section 2(a).
\(^{24}\) See 15 U.S.C. § 1071(a) (1988); 28 U.S.C. § 1295 (1988).
\(^{25}\) See 15 U.S.C. §§ 1071(b), 1121 (1988). An appellant electing to proceed before the Federal Circuit thereby waives his right to an appeal before a district court. *Id.* § 1071(b)(1). Nevertheless, an *inter partes* appellee may direct the appeal to a district court even if the appellant has appealed to the Federal Circuit by filing a notice of appeal in the district court within 20 days after the filing of the appeal to the Federal Circuit. 37 C.F.R. § 2.145(c)(3) (1992).
The primary advantage of an appeal to a district court is that a party may submit any additional evidence it feels necessary, whereas an appellant before the Federal Circuit is limited to the record before the Board. *See generally* Squirto v. Tomy Corp., 697 F.2d 1038 (Fed. Cir. 1983); *see also* Wells Fargo & Co. v. Stagecoach Properties, Inc., 685 F.2d 302 (9th Cir. 1982) (Board's decision to be accorded "substantial weight" by reviewing district court but can be overcome by persuasive evidence).
\(^{26}\) Prior to October 1, 1982, appeals from the Board were heard by the Court of Customs and Patent Appeals. On that date, however, this court merged with the United States Claims Court to form the new United States Court of Appeals for the Federal Circuit. Pub. L. No. 97-164, 96 Stat. 25 (1982). Pursuant to the Federal Circuit's decision in South Corp. v. United States, 690 F.2d 1368 (Fed. Cir. 1982) (en banc), all decisions of the Court of Customs and Patent Appeals are binding precedent in the Federal Circuit.
III. SECTION 2(a) JURISPRUDENCE: A SURVEY
A. Establishing an Underlying Rationale
Although, as shown in the following sections, numerous applicants have proven willing to pursue registration of their marks in the face of Section 2(a) objections, the resulting decisions focus almost exclusively on whether particular marks are, in fact, scandalous, immoral, or disparaging. Consequently, there is a dearth of case law examining whether the statute represents a permissible means towards achieving a valid government purpose.
To the extent that applicants have directly attacked Section 2(a)'s validity, however, these attacks have failed. In *In re McGinley*,\(^{27}\) for example, the applicant challenged Section 2(a)'s constitutionality after both the Examining Attorney and the Board found his mark impermissibly scandalous.\(^{28}\) Claiming on appeal to the Court of Customs and Patent Appeals that his mark fell under the First Amendment's protection, the applicant argued that a refusal to register violated his constitutional rights.\(^{29}\)
The court, however, rejected this argument. It first found that Section 2(a)'s prohibitions did not affirmatively bar the mark's use altogether. Rather, the court relied on the applicant's ability to use and protect his mark even in the absence of a federal registration to conclude that "it is clear that the PTO's refusal to register appellant's mark does not affect his right to use it. No conduct is proscribed, and no tangible form of expression is suppressed. Consequently, appellant's First Amendment rights would not be abridged by the refusal to register his mark."\(^{30}\)
Of equal importance, however, the *McGinley* court found that Congress' intent to make the benefits of registration unavailable to particular marks also passed constitutional muster. Properly viewed, the court held, the PTO's refusal to register the mark was a valid legislative allocation of the federal
\(^{27}\) 660 F.2d 481 (C.C.P.A. 1981).
\(^{28}\) See *In re McGinley*, 206 U.S.P.Q. (BNA) 753 (T.T.A.B. 1979), aff'd, 660 F.2d 481 (C.C.P.A. 1981).
\(^{29}\) *McGinley*, 660 F.2d at 484. Note that, as a purely technical matter, the applicant's claims sounded in a denial of due process under the Fifth Amendment, rather than a direct violation of his First Amendment rights. *See id.* Consistent with the *McGinley* court's treatment of this issue, however, this Article will refer to mark owners' "First Amendment rights," although "Fifth Amendment rights" would be more accurate.
\(^{30}\) *Id.* at 484 (citation omitted); see also *In re Hershey*, 6 U.S.P.Q.2d (BNA) 1470, 1472 (T.T.A.B. 1988) (Cissel, Member, concurring). On the distinction between a mark's use and its registration, see infra notes 282-84 and accompanying text.
government’s resources. The court noted that the PTO’s processing of applications, together with its maintenance of previously registered marks, required continuing government expenditures.\textsuperscript{31} Finding that “[a]part from nominal fees, these costs are underwritten by public funds,” the court concluded that “[w]e do not see this as an attempt to legislate morality, but, rather, a judgment by the Congress that such marks [should] not occupy the time, services, and use of funds of the federal government.”\textsuperscript{32}
B. \textit{The Problem of Standards}
1. \textit{The Proper Relationship Between the Mark and the Covered Goods and Services}
a. \textit{The Riverbank Canning Analysis}
The earliest cases to interpret Section 2(a) and its predecessors\textsuperscript{33} left no doubt that an innocuous mark could become unregistrable by its association with particular goods or services. In \textit{In re Riverbank Canning Co.},\textsuperscript{34} the talisman of all Section 2(a) jurisprudence, the PTO determined that the mark MADONNA was sufficiently scandalous when applied to wines as to preclude
\textsuperscript{31} As the court observed:
The benefits of registration, in part with government assistance, include public notice of the mark in an official government publication and in official records which are distributed throughout the world, maintenance of permanent public records concerning the mark, availability of the Customs Service for blocking the importation of infringing goods, access to federal courts where there is a presumption of validity of the registration (\textit{e.g.}, that the mark is \textit{not} immoral or scandalous), notices to the registrant concerning maintenance of the registration, and, to some extent, direct government protection of the mark in that the PTO searches its records and refuses registration to others of conflicting marks.
\textit{McGinley}, 660 F.2d at 486.
\textsuperscript{32} \textit{Id.}
\textsuperscript{33} The ban against registration of immoral or scandalous marks was first enacted as Section 5(a) of the Trademark Act of 1905, Pub. L. No. 489, 33 Stat. 724 (1905). Congressional disapproval of disparaging marks, however, did not appear until Section 2(a)’s passage as part of the Lanham Act in 1946. \textit{See infra} note 104 and accompanying text.
\textsuperscript{34} 95 F.2d 327 (C.C.P.A. 1938).
its registration. On appeal, the Court of Customs and Patent Appeals agreed with the applicant that the term was not inherently scandalous.\textsuperscript{35} Nevertheless, the court held, “[i]t is . . . obvious that, in determining whether a mark ‘consists of or comprises . . . scandalous material,’ consideration ordinarily must be given to the goods upon which the mark is used.”\textsuperscript{36}
In applying this standard, the court disclaimed any intent to moralize on the applicant’s product.\textsuperscript{37} Apparently taking judicial notice that “wine, like any intoxicating beverage, may be, and often is, used to excess,”\textsuperscript{38} however, the court concluded that:
We can readily understand that many who are accustomed to the use of wine as a beverage, remembering the use of it as a beverage in Biblical times, would not be shocked at the use of the word “Madonna” or a representation of the Virgin Mary as a trade-mark upon wine used for beverage purposes; but we also believe that there are many wine users who, knowing that the excessive use of wine is a great evil and not uncommon, would be shocked by such use of said mark upon wine, especially in view of the fact that such mark would probably be displayed, among other places, in barrooms.
In our opinion, to commercialize the name of, or a representation of, the Virgin Mary as a trade-mark is of very doubtful propriety, and we feel certain that its use upon wine for beverage purposes would be shocking to the sense of propriety of nearly all who do not use wine as a beverage, and also to many of those who do so use it; therefore, we think that such use of the word “Madonna” would be scandalous and its registration prohibited under said trade-mark act.\textsuperscript{39}
Although, consistent with \textit{Riverbank Canning}, religious marks associated with alcoholic beverages have continued to fare poorly in the registration process, under both the 1905 Act\textsuperscript{40} and the Lanham Act.\textsuperscript{41} The Board also has
\textsuperscript{35} \textit{Id.} at 328.
\textsuperscript{36} \textit{Id.}
\textsuperscript{37} \textit{See id.} (“Whether wine in itself is harmless we are not called upon here to determine, and we express no opinion upon that subject.”).
\textsuperscript{38} \textit{Id.} at 329.
\textsuperscript{39} \textit{Id.} The dissenters argued that the numerous uses of wine referenced in the Bible precluded the mark from being considered scandalous when applied to that beverage, but would have joined the court had the goods been “whisky, brandy, rum, beer, or the like.” \textit{Id.} at 330 (Jackson, J., dissenting).
\textsuperscript{40} Although the cases themselves are unreported, the 1938 testimony of the Commissioner of Patents provided the House Subcommittee on Trademarks with troubling evidence of distillers’ attempts under the 1905 Act to register for their goods marks connected with religious organizations or their employees:
applied this analysis to tobacco. In *In re Reemtsma Cigarettenfabriken G.m.b.H.*,42 the Board refused to allow registration of the mark SENUSSI for cigarettes on the ground that the tenets of the Senussi Moslem sect forbade the use of tobacco. In contrast, however, the Board in *In re Waughet*43 allowed registration of the AMISH mark for cigars after testimony that not only did the Amish faith permit smoking, but at least seventy-five percent of Amish men did so.
Subsequent decisions have not limited the *Riverbank Canning* analysis to marks for addictive substances. For example, in *Doughboy Industries, Inc. v. Reese Chemical Co.*,44 a manufacturer of, among other things, “Donald Ducks and shmoos,” opposed registration of the applicant’s DOUGH-BOY mark for an anti-venereal disease preparation.45 Although dismissing the opposer’s allegations of a likelihood of confusion between its and the applicant’s products under Section 2(d) of the Act,46 the Commissioner’s office engaged in an
---
I would like to mention to the committee an attempt that was made to register, immediately upon the death of Knute Rockne, the name of Knute Rockne for whisky and alcoholic beverages . . . and the attempt to register the name Notre Dame for alcoholic beverages.
Now, to me those attempts shock my sense of propriety as an American citizen, in addition to my official capacity.
*Hearings Before the Subcomm. on Trademarks of the House Comm. on Patents on H.R. 9041*, 75th Cong., 3d Sess. 79 (1938) [hereinafter 1938 House Hearings] (testimony of Commissioner Coe).
41 Although *Riverbank Canning* was decided under Section 5(a) of the 1905 Act, the Board subsequently cited its holding in once again refusing to register the MADONNA mark for wine under Section 2(a). *See In re P.J. Valckenberg, G.m.b.H.*, 122 U.S.P.Q. (BNA) 334 (T.T.A.B. 1959); *see also In re Sociedade Agricola E. Comercial Dos Vinhos Messias, S.A.R.L.*, 159 U.S.P.Q. (BNA) 275 (T.T.A.B. 1968) (refusing registration to MESSIAS mark for wine and brandy on ground that religious connotations of term to Jews and Christians rendered the mark scandalous as used). *But cf.* H. Sichel Sohne, G.m.b.H. v. John Gross & Co., 204 U.S.P.Q. (BNA) 257 (T.T.A.B. 1979) (cancelling registration of registrant’s BLUE CHAPEL mark for wines under Section 2(d), on finding that registrant’s mark likely to be confused with prior registered BLUE NUN mark for wines).
42 122 U.S.P.Q. (BNA) 339 (T.T.A.B. 1959).
43 138 U.S.P.Q. (BNA) 594 (T.T.A.B. 1963).
44 88 U.S.P.Q. (BNA) 227 (Comm’r Patents 1951).
45 *Id.* at 227.
46 15 U.S.C. § 1052(d) prohibits the registration of marks likely to be confused with those of prior users. When determining whether a likelihood of confusion exists between two marks, tribunals in the Federal Circuit apply the multifactoried analysis set forth in *In re E.I. Du Pont de Nemours & Co.*, 476 F.2d 1357, 1361 (C.C.P.A. 1973).
independent *ex parte* inquiry into the possibly disparaging nature of the mark. Finding "Doughboy" to refer to American soldiers in the First World War, Examiner in Chief Federico denied registration, noting that "[a] trade mark does not exist apart from the goods in connection with which it is used . . . and the nature of a trade mark for the purpose of section 2(a) may be determined from the associations conveyed by the word used as the mark with the goods in connection with which it is used."47
The *Riverbank Canning* methodology also has made its way into the women's undergarment industry. In *In re Runsdorf*,48 which addressed the registrability of the mark BUBBY TRAP for brassieres, the Board relied on the mark's association with these goods to find the proposed use "offensive to a segment of the public sense of propriety."49 Similarly, in *Ex parte Martha Maid Mfg. Co.*,50 the Assistant Commissioner of Patents found the mark QUEEN MARY (presumably otherwise inoffensive) to be impermissibly scandalous when applied to women's underwear.
Notwithstanding the majority of the decisions discussed above, however, *Riverbank Canning* does not always work to the applicant's disadvantage. For example, in *In re Hepperle*,51 the Examining Attorney initially denied registration to the applicant's ACAPULCO GOLD mark for suntan lotion in part on the ground that it was a commonly recognized term for marijuana. The Board relied on the *Riverbank Canning* analysis to reverse, however, noting that "in our opinion, to the average purchaser of suntan lotion in the normal marketing milieu for such goods the term 'ACAPULCO GOLD' would
---
47 88 U.S.P.Q. (BNA) at 228. Anticipating the Board's treatment of the same issue eight years later, see supra note 41, the Examiner in Chief held *Riverbank Canning* applicable under the Lanham Act, with the following apt characterization of the earlier decision's holding:
In applying . . . the Act of 1905 the Court of Customs and Patent Appeals held in effect that it was not necessary that a word be scandalous per se to be unregistrable as a trade mark, but that a trade mark was unregistrable if it was scandalous by reason of the particular goods in connection with which it was used, the question being whether the use of a mark upon particular goods may be scandalous.
88 U.S.P.Q. (BNA) at 228.
48 171 U.S.P.Q. (BNA) 443 (T.T.A.B. 1971).
49 Id. at 443.
50 37 U.S.P.Q. (BNA) 156 (Comm'r Patents 1938).
51 175 U.S.P.Q. (BNA) 512 (T.T.A.B. 1972).
suggest the resort city of Acapulco, noted for its sunshine and other climatic attributes rather than marijuana."52
Likewise, in *In re In Over Our Heads, Inc.*,53 the Examining Attorney denied registration to the applicant's MOONIES mark (complete with a stylized pair of buttocks) for exhibitionistic dolls, after determining the word portion of the mark to be "lacking in taste and is an affront to an organized religious sect."54 On appeal, however, the Board affirmatively relied on the applicant's description of goods to dismiss the objection: "We believe that applicant's mark MOONIES—with its naked buttocks design and spelled without emphasizing the letter 'm'—would, when used on a doll, most likely be perceived as indicating that the doll 'moons,' and would not be perceived as referencing members of the Unification Church."55
*Hepperle* and *In Over Our Heads* notwithstanding, perhaps the clearest example of the *Riverbank Canning* analysis working in an applicant's favor is the Board's decision in *In re Old Glory Condom Corp.*56 In *Old Glory*, the applicant marketed condoms under a composite mark consisting of the words "Old Glory Condom Corp" and "a pictorial representation of a condom decorated in a manner to suggest the American flag":57
The applicant's purpose in adopting this mark was not merely to identify the source of origin of its products. Rather, as the Board found, the applicant
---
52 *Id.* at 512. The *Hepperle* Board did, however, ultimately disallow registration for the applicant's mark because of its confusing similarity to an existing registration for the same mark for use in connection with lipstick and face powder. *Id.*
53 16 U.S.P.Q.2d (BNA) 1653 (T.T.A.B. 1990).
54 *Id.* at 1654.
55 *Id.*; see also *In re Leo Quan Inc.*, 200 U.S.P.Q. (BNA) 370, 371 (T.T.A.B. 1978) (apparently finding nature of applicant's goods persuasive of applicant's claim that its mark was an innocent acronym).
56 Serial No. 74/004,391, 1993 TTAB LEXIS 3 (T.T.A.B. March 3, 1993).
57 *Id.* at *1.
sought “to focus attention on the AIDS epidemic and, in particular, to emphasize that Americans have a patriotic duty to fight the AIDS epidemic and other sexually transmitted diseases.”\textsuperscript{58} The Examining Attorney, however, was unimpressed with the applicant’s self-professed goal, and denied registration on Section 2(a) grounds after concluding that the consuming public would be offended by the use of the American flag to promote products associated with sexual activity.\textsuperscript{59}
On the applicant’s appeal, the Board reversed. Noting that “whether [the] applicant’s mark would be likely to offend must be judged not in isolation but in the entire context of the mark’s use,”\textsuperscript{60} the Board held that that context mandated a different result from that reached by the Examining Attorney. In particular, the Board found that the applicant’s intent in adopting its mark was entitled to probative weight in any determination of registrability under Section 2(a). As the Board concluded:
Here, applicant markets its condoms in packaging which emphasizes applicant’s commitment to the sale of high quality condoms as a means of promoting safer sex and eliminating AIDS and its belief that the use of condoms is a patriotic act. Although we know that not everyone would share applicant’s view that the use of condoms is a patriotic act, the seriousness of purpose surrounding the use of applicant’s mark—a seriousness of purpose made manifest to purchasers on the packaging for applicant’s goods—is a factor to be taken into account in assessing whether the mark is offensive or shocking. When we consider that factor, along with the others we have discussed, we find that applicant’s mark can in no way be considered “scandalous” under Section 2(a).\textsuperscript{61}
\textsuperscript{58} \textit{Id.} at *3. In addition to accepting the applicant’s testimony in reaching this finding, the Board also noted that the applicant’s packaging for its products bore the following “Old Glory Pledge”: “We believe that it is patriotic to protect and save lives. We offer only the highest quality condoms. Join us in promoting safer sex. Help eliminate AIDS. A portion of Old Glory profits will be donated to AIDS related services.” \textit{See id.}
\textsuperscript{59} \textit{Id.} at *3–4. The Examining Attorney applied the \textit{Riverbank Canning} analysis throughout the litigation in reaching this conclusion. \textit{See, e.g.,} Examining Attorney’s Appeal Brief at 5, \textit{In re Old Glory Corp.}, Serial No. 74/004,391, 1993 TTAB LEXIS 3 (T.T.A.B. March 3, 1993) (“[T]he applicant’s mark is scandalous, not because it is obscene or objectionable \textit{per se}, but because its use of a representation of an American flag to advertise condoms would offend a substantial composite of the public.”).
\textsuperscript{60} \textit{Old Glory}, Serial No. 74/004,391, 1993 TTAB LEXIS 3, at *17.
\textsuperscript{61} \textit{Id.} at *17–18 (footnote omitted).
b. The Per Se Inquiry
In contrast to the approach under *Riverbank Canning*, another line of cases has focused on the mark itself. Under these cases, the proper inquiry under Section 2(a) has tended to be whether the mark is unregistrable *per se*, separately and independently of the nature of the mark owner’s business. Consequently, association with particular goods or services will not affect the registrability of an otherwise clearly acceptable or unacceptable mark.
The earliest examples of such an analysis appear within the Commissioner’s office. In *Ex parte Summit Brass and Bronze Works, Inc.*, for example, the PTO refused registration to the mark AGNUS DEI for tabernacle safes for members of the Catholic clergy. Declining to take into account the clearly religious nature of these goods, the First Assistant Commissioner of Patents looked only to the mark itself, concluding that “[t]o commercialize an emblem of such highly sacred religious significance would, I think, be offensive to most individuals of the Christian faith, and thus scandalous within the meaning of the statute.”
In contrast, however, registration of the allegedly immoral mark LIBIDO for perfumes was allowed in *Ex parte Parfum L’Orle, Inc.* Noting (incorrectly, in light of *Summit Brass*) that “this appears to be the first instance in which the question of refusal of a registration on the ground of the immoral or scandalous nature of the mark itself has arisen on appeal,” the Examiner in Chief found that the widespread use of similarly sexually charged terms in the perfume industry precluded a finding that the mark was impermissibly immoral under Section 2(a)’s predecessor.
The majority of more recent decisions at least implicitly have adopted *Summit Brass’* and *Parfum L’Orle’s* underlying application of a *per se* standard. A variation of this analysis, albeit in a case ultimately denying registration, occurred in *McGinley*, which addressed the registrability of a mark consisting of “a photograph of a nude man and woman kissing and embracing in a manner appearing to expose the male genitalia” for a sexually-oriented
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62 59 U.S.P.Q. (BNA) 22 (Comm’r Patents 1943).
63 *Id.* at 23. Curiously enough, however, the Assistant Commissioner *did* take into account the religious nature of the goods in denying registration on the alternative ground that the mark would likely be viewed as mere ornamentation, rather than as a trademark. *See id.*
64 93 U.S.P.Q. (BNA) 481 (Comm’r Patents 1952).
65 *Id.* at 481 (emphasis added).
66 *Id.* at 482.
newsletter and social club services.\textsuperscript{67} In refusing to allow registration, the Examining Attorney relied heavily on the nature of the applicant’s goods and services to find the mark impermissibly scandalous.\textsuperscript{68}
The Board took an even dimmer view of the applicant’s mark, even without consideration of the applicant’s businesses. It found that the unrestricted description of the goods and services contained in the application made possible the mark’s exposure to virtually the entire populace.\textsuperscript{69} Given such an expansive audience, the Board concluded, “applicant’s photograph, when used as a mark for any goods or services, is offensive to propriety and morality, outrages a sense of decency, and is shocking to the moral sense of members of the community, whose sensibilities are protected by the statute.”\textsuperscript{70}
On the applicant’s appeal, the Court of Customs and Patent Appeals expressly rejected the PTO’s invitation to consider the nature of the applicant’s goods and services:
Contrary to the Solicitor’s argument, the Lanham Act does not require, under the rubric of “scandalous,” any inquiry into the goods or services not shown in the application itself. Thus, the PTO’s views with respect to the specific information disseminated by appellant in his newsletter and the specific services provided by appellant are not relevant.\textsuperscript{71}
\textsuperscript{67} \textit{In re McGinley}, 660 F.2d 481, 482 (C.C.P.A. 1981). Testimony before the Board established that the individuals in the photograph were none other than the applicant himself and his wife, who together operated “Bob and Geri’s Wide World Social Swing Club.” \textit{In re McGinley}, 206 U.S.P.Q. (BNA) 753, 753 (T.T.A.B. 1979), \textit{aff’d}, 660 F.2d 481 (C.C.P.A. 1981). The Board, however, was unimpressed with the models’ marital status. \textit{Id.} at 756 (“We have no doubt that the overwhelming majority of [potential viewers] would be affronted by the use as a mark of a photograph of a nude couple embracing, whether or not the models who posed for the photograph happened to be married to each other.”).
\textsuperscript{68} \textit{See McGinley}, 660 F.2d at 482 (“Such activities are considered deviations from the sexual norm of husband and wife relations. Such activities are immoral or scandalous. . . . The mark graphically indicates the activity carried on in applicant’s Club; sex not normally sanctioned by (even today’s permissive) social standards.” (quotations and emphasis deleted)).
\textsuperscript{69} \textit{In re McGinley}, 206 U.S.P.Q. (BNA) 753, 755–56 (T.T.A.B. 1979), \textit{aff’d}, 660 F.2d 481 (C.C.P.A. 1981).
\textsuperscript{70} \textit{Id.} at 756 (emphasis added).
\textsuperscript{71} \textit{McGinley}, 660 F.2d at 485. The court’s holding on this point was anticipated by the Board’s decision in \textit{In re Madsen}, 180 U.S.P.Q. (BNA) 334 (T.T.A.B. 1973), which addressed the registrability of WEEK-END SEX for a magazine. In overturning the Examining Attorney’s rejection of the mark, the Board noted, “the question of whether or not the contents of the magazine may be pornographic in nature, is not an issue to be decided by this Board. If such were the criterion, many well-known magazines with
This language notwithstanding, however, the court nevertheless upheld the Board's determination that the design itself was sufficiently scandalous as to preclude its registration.\textsuperscript{72}
Consistent with \textit{McGinley}'s refusal to examine closely the precise nature of the applicant's goods and services, other decisions have undertaken the Section 2(a) inquiry as a \textit{per se} determination. In \textit{In re Tinseltown, Inc.},\textsuperscript{73} for example, the applicant's claimed motivation for placing its BULLSHIT mark on the outside of its fashion accessories was to satirize the use of designers' names on similar products.\textsuperscript{74} The Board, however, limited its inquiry solely to whether the nature of the word itself precluded its registration.\textsuperscript{75} Answering this question in the affirmative, the Board denied registration.
Similarly, in \textit{Greyhound Corp. v. Both Worlds Inc.},\textsuperscript{76} the Greyhound Corporation opposed the applicant's attempt to register for shirts a design mark consisting of a defecating dog on Section 2(a) grounds as well as an alleged likelihood of confusion with Greyhound's design mark for identical goods. As in \textit{Tinseltown}, the Board declined to accord weight to the applicant's intent to "mock[] the craze for shirts bearing prestigious emblems."\textsuperscript{77} Instead, like the \textit{McGinley} court, the Board found that the design's use as a mark potentially exposed it to the entire population.\textsuperscript{78} Given such possible exposure, the Board concluded, "a substantial composite of the general public would find the use on a shirt of a graphic portrayal of a dog in the act of defecating, including the depiction of the feces, to be scandalous."\textsuperscript{79}
Although \textit{McGinley}, \textit{Tinseltown}, and \textit{Greyhound} each found the particular mark in question to be unregistrable,\textsuperscript{80} the strongest example of a \textit{per se} inoffensive or arbitrary titles might well have been precluded registration in the Patent Office." \textit{Id.} at 335.
\textsuperscript{72} See \textit{McGinley}, 660 F.2d at 487.
\textsuperscript{73} 212 U.S.P.Q. (BNA) 863 (T.T.A.B. 1981).
\textsuperscript{74} \textit{Id.} at 864.
\textsuperscript{75} See \textit{id.} at 865 (framing inquiry as "whether the mark 'BULLSHIT' comprises matter which gives offense to the conscious or moral feelings or is shocking to the sense of decency or propriety of a substantial composite of the general public of the United States").
\textsuperscript{76} 6 U.S.P.Q.2d (BNA) 1635 (T.T.A.B. 1988).
\textsuperscript{77} \textit{Id.} at 1638.
\textsuperscript{78} \textit{Id.} at 1639 ("[T]he goods are T-Shirts and polo shirts, goods which may be encountered in sales establishments patronized by a wide variety of people of all ages and convictions or may be worn and seen by people in virtually all public places.").
\textsuperscript{79} \textit{Id.}
\textsuperscript{80} For another example of this methodology to produce a similar result, see \textit{In re Anti-Communist World Freedom Congress, Inc.}, 161 U.S.P.Q. (BNA) 304 (T.T.A.B. 1969) (mark found impermissibly disparaging to national symbol of foreign country).
standard may be found in a case upholding registration. In *In re Thomas Laboratories, Inc.*,81 a manufacturer of a penis size-increasing device sought to register for its goods the following design mark, perhaps best described by the Board as “a melancholy, unclad male figure ruefully contemplating an unseen portion of his genitalia”82:
Consistent with *Riverbank Canning*, the Examining Attorney initially refused registration on the theory that “the mark, in the marketplace, is not viewed in a vacuum, but is viewed in connection with the goods.”83 The Board, however, rejected this approach by examining the mark independently of the goods, noting:
Turning . . . to a consideration of the goods themselves, inasmuch as no question has been raised concerning the legality of the sale thereof in commerce which can be regulated by Congress, there can be no occasion for this factor to play a role, either expressly or implicitly in the determination of registrability. In this connection, it should be noted that the goods are already the subject matter of a registration owned by applicant, the mark therein being the designation “LEGEND LENGTHENER.”84
Taken as a whole, these cases present two arguably conflicting treatments of the relationship between a mark and its goods or services. On the one hand, the trend apparently is to reject the theory that an innocuous mark may be made unregistrable by the covered goods or services.85 On the other hand, however,
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81 189 U.S.P.Q. (BNA) 50 (T.T.A.B. 1975).
82 *Id.* at 52.
83 *Id.* at 51.
84 *Id.* (footnote omitted).
85 *See, e.g., In re Hershey*, 6 U.S.P.Q.2d (BNA) 1470 (T.T.A.B. 1988) (allowing registration of applicant’s BIG PECKER mark for use in connection with shirts without
a trier of fact predisposed to find the mark unregistrable *per se* may rely on the mark owner's recitation of goods or services to establish an expansive potential audience.\textsuperscript{86} If, as the *McGinley* Board found, an arguably impermissible mark may be exposed "to youngsters just learning to read, to teenagers, to senior citizens, to persons of strong moral and religious convictions, to members of the clergy, and to an uncountable number of other persons in the large and varied population of the United States,"\textsuperscript{87} there can be little doubt as a practical matter as to the ultimate outcome of the inquiry.\textsuperscript{88}
2. Defining "Scandalous," "Immoral," and "Disparaging"
As might be expected, precisely what constitutes "scandalous," "immoral," or "disparaging" matter often is the subject of debate, even in cases in which the proper relationship between the mark and the relevant goods or services is not at issue. Notwithstanding the absence of clear congressional definitions,\textsuperscript{89} however, the Court of Customs and Patent Appeals has held that the language of Section 2(a) is not unconstitutionally vague.\textsuperscript{90} Moreover, the
\textsuperscript{86} See Greyhound Corp. v. Both Worlds Inc., 6 U.S.P.Q.2d (BNA) 1635, 1639 (T.T.A.B. 1988) (refusing registration in part because that applicant's mark when used on shirts would be exposed to virtually unlimited number of people); see also In re Tinseltown, 212 U.S.P.Q. (BNA) 863, 865 (T.T.A.B. 1981).
\textsuperscript{87} In re McGinley, 206 U.S.P.Q. (BNA) 753, 755 (T.T.A.B. 1979), aff'd, 660 F.2d 481 (C.C.P.A. 1981).
\textsuperscript{88} It perhaps bears emphasis that this methodology differs from that employed in the *Riverbank Canning* analysis in a fundamental respect. Under *Riverbank Canning*, the trier of fact should examine whether the intrinsic nature of the covered goods or services renders an otherwise innocent mark scandalous, immoral, or disparaging. In contrast, however, *McGinley* suggests that any doubts concerning an arguably unregistrable mark *per se* may be resolved against its owner if the unrestricted distribution or provision of the covered goods or services would increase the likelihood of the mark's exposure to individuals particularly susceptible to being scandalized or disparaged. Thus, to the extent that *per se* inquiries have taken into account the mark owner's goods and services, this consideration has gone to determine the scope of the mark's potential audience, rather than the nature of the mark itself.
\textsuperscript{89} See *McGinley*, 660 F.2d at 485 ("Because there is a paucity of legislative history of this provision, we must look to the 'ordinary and common meaning' of [scandalous]."); In re Riverbank Canning, 95 F.2d 327, 328 (C.C.P.A. 1938) ("Its legislative history does not aid us in arriving at the intent of Congress in its enactment . . . .") (interpreting 1905 Act); see also infra note 106.
\textsuperscript{90} See *McGinley*, 660 F.2d at 484:
court’s early decisions left little doubt that, at least in its view, any uncertainty should be resolved against the applicant: “The field is almost limitless from which to select words for use as trade-marks, and one who uses debatable marks does so at the peril that his mark may not be entitled to registration.”
a. “Scandalous” and “Immoral” Marks
In the absence of clear congressional guidance, the definitions of “scandalous” and “immoral” generally are regarded as equivalent and properly discerned “by reference to court and board decisions and dictionary definitions.” As a practical matter, litigation has turned on the definition of the former term. In Riverbank Canning, for example, the court accepted dictionary definitions of “scandalous” as encompassing all marks “[c]ausing or tending to cause scandal; . . . shocking to the sense of truth, decency, or
[The right to registration] cannot be denied without compliance with Fifth Amendment due process requirements. This entails a determination of whether the term “scandalous” is sufficiently precise to enable the PTO and the courts to apply the law fairly and to notify a would-be registrant that the mark he adopts will not be granted a federal registration. The Supreme Court “has consistently held that lack of precision is not itself offensive to the requirements of due process. ‘. . . [T]he Constitution does not require impossible standards’; all that is required is that the language ‘conveys sufficiently definite warning as to the prescribed conduct when measured by common understanding and practices . . . .’”
Id. (citation and footnote omitted) (second brackets in original).
91 Riverbank Canning, 95 F.2d at 329. At least one Board decision, however, has rejected this presumption. See In re In Over Our Heads Inc., 16 U.S.P.Q.2d (BNA) 1653 (T.T.A.B. 1990):
Because the guidelines are somewhat vague and because the determination is so highly subjective, we are inclined to resolve doubts on the issue of whether a mark is scandalous or disparaging in favor of applicant and pass the mark for publication with the knowledge that if a group does find the mark to be scandalous or disparaging, an opposition proceeding can be brought and a more complete record can be established.
Id. at 1654–55.
92 McGinley, 660 F.2d at 485.
93 See, e.g., id. at 484 n.6 (“Because of our holding . . . that appellant’s mark is ‘scandalous,’ it is unnecessary to consider whether appellant’s mark [also] is ‘immoral.’ We note the dearth of reported trademark decisions in which the term ‘immoral’ has been directly applied.”); see also T.M.E.P., supra note 14, § 1203.01, at 1200–13 (“Although the words ‘immoral’ and ‘scandalous’ might have slightly different connotations, case law has generally included immoral matter in the same category as scandalous matter.”).
propriety; disgraceful; offensive; disreputable” or, alternatively, “‘[g]iving offense to the conscience or moral feelings; exciting reprobation; calling out condemnation.’”94 Finding the mark in question to be “shocking to the sense of propriety,” the court denied registration.95
The majority of subsequent decisions have reaffirmed this methodology, namely reliance on pre-Lanham Act dictionaries for appropriate definitions.96 As the McGinley court observed of this procedure in apparent disapproval of the Board’s reliance in that case on both contemporary and pre-Lanham Act dictionaries,97 “[w]e note that the [1940’s] dictionary editions cited were extant at the time of the enactment of the Lanham Act in 1946, and it is these definitions which, in the absence of evidence to the contrary, the Congress considered in framing the Act.”98 At least two more recent Board decisions, however, have departed from this practice in favor of (substantively identical) definitions drawn from contemporary dictionaries.99
Whatever the definitions chosen, the Court of Customs and Patent Appeals has held that “[w]hether or not the mark, including innuendo, is scandalous is to be ascertained from the standpoint of not necessarily a majority, but a substantial composite of the general public.”100 Nevertheless, other decisions by the Board have suggested that the relevant perspective from which scandal and immorality should be examined is that of the potential purchasers of the mark owner’s goods and services rather than the public as a whole.101 Notwithstanding the general adoption of Lanham Act-era definitions of
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94 Riverbank Canning, 95 F.2d at 328 (quoting contemporary dictionaries).
95 Id. at 329.
96 See, e.g., McGinley, 660 F.2d at 485–86; In re Hershey, 6 U.S.P.Q.2d (BNA) 1470, 1471 (T.T.A.B. 1988); Greyhound Corp. v. Both Worlds Inc., 6 U.S.P.Q.2d (BNA) 1635, 1638 (T.T.A.B. 1988); In re Tinseltown, 212 U.S.P.Q. (BNA) 863, 865 (T.T.A.B. 1981).
97 See In re McGinley, 206 U.S.P.Q. (BNA) 753, 754 (T.T.A.B. 1979), aff’d, 660 F.2d 481 (C.C.P.A. 1981).
98 McGinley, 660 F.2d at 486 n.11.
99 See Bromberg v. Carmel Self Serv., Inc., 198 U.S.P.Q. (BNA) 176, 178 (T.T.A.B. 1978) (defining “scandalous” as, inter alia, “giving scandal,” “scandalizing,” creating “the distressing effect on others of unseemly or unrighteous conduct,” or “that which offends established moral conception or disgraces all who are associated or involved”); In re Runsdorf, 171 U.S.P.Q. (BNA) 443 n.1 (T.T.A.B. 1971) (“offensive to public or individual sense of propriety or morality”).
100 McGinley, 660 F.2d at 485.
101 See, e.g., In re Hepperle, 175 U.S.P.Q. (BNA) 512, 512 (T.T.A.B. 1972) (“average purchaser”); see also In re Hershey, 6 U.S.P.Q.2d (BNA) 1470, 1472 (T.T.A.B. 1988) (Cissell, Member, concurring) (“prospective purchaser”).
"scandalous," most decisions have taken the apparently inconsistent position that the public whose feelings are at issue is not that of Congressman Lanham's immediate post-war generation.\textsuperscript{102} Rather, "in determining whether a proposed mark is scandalous or immoral, it is imperative that fullest consideration be given to the moral values and conduct which contemporary society has deemed to be appropriate and acceptable."\textsuperscript{103}
b. "Disparaging" Marks
Unlike their scandalous and immoral counterparts, disparaging marks historically have received little attention under Section 2(a). To the extent that a mark with particular significance to a certain group is used with goods or services disapproved by that group, the PTO and courts are likely to invoke \textit{Riverbank Canning} to determine registrability.\textsuperscript{104} Thus, for example, the
\textsuperscript{102} See \textit{In re Old Glory Condom Corp.}, Serial No. 74/004,391, 1993 TTAB LEXIS 3, at *11 (T.T.A.B. March 3, 1993) ("[W]hat was considered scandalous as a trademark or service mark twenty, thirty or fifty years ago may no longer be considered so, given the changes in societal attitudes. Marks once thought scandalous may now be thought merely humorous (or even quaint) . . . .").
\textsuperscript{103} \textit{In re Thomas Lab.}, 189 U.S.P.Q. (BNA) 50, 52 (T.T.A.B. 1975); see also \textit{In re Leo Quan Inc.}, 200 U.S.P.Q. (BNA) 370, 371 (T.T.A.B. 1978) (referencing "mores of our time"); \textit{In re Madsen}, 180 U.S.P.Q. (BNA) 334, 335 (T.T.A.B. 1973) ("In resolving the issue as to registrability of the mark . . . consideration must be given to the moral values and conduct fashionable at the moment, rather than that of past decades . . . ."); cf. \textit{McGinley}, 660 F.2d at 487 (Rich, J., dissenting) ("I think the decision [in \textit{Riverbank Canning}] is no longer of precedential value in view of the social changes in the ensuing 43 years.").
Note, however, that at least one Board decision expressly has rejected the argument that a particular word may become less scandalous as a result of more frequent use in ordinary speech. \textit{See In re Tinseltown}, 212 U.S.P.Q. (BNA) 863 (T.T.A.B. 1981):
We do not say that there has not been an increase in the amount of usage of profanities in our contemporary society and a diminution of the social inhibitions to such usage. No person blessed with the gift of hearing can fail to be cognizant of this much freer use of obscenities in contemporary America. Neither is it our function to moralize about this trend. However, the fact that profane words may be uttered more freely does not render them any the less profane. Nor does this fact amend the statute by which we are required to determine the registrability of such matter as marks.
\textit{Id.} at 866.
\textsuperscript{104} \textit{See, e.g., In re Sociedade Agricola E. Comercial Dos Vinhos Messias, S.A.R.L.}, 159 U.S.P.Q. (BNA) 275 (T.T.A.B. 1968); \textit{In re P.J. Valckenberg}, G.m.b.H., 122.
registrability of the names of particular religious groups as marks for tobacco likely will turn on the groups' views on the evils of smoking.\textsuperscript{105}
In the absence of such a relationship, however, the case law until recently failed to produce a clear standard.\textsuperscript{106} Indeed, although presented with several opportunities to define "disparagement" under these circumstances,\textsuperscript{107} the Board did not even attempt to do so until its 1988 \textit{Greyhound} decision. In that case, however, it adopted a relatively detailed rule:
Disparagement is essentially a violation of one's right of privacy—the right to be "let alone" from contempt and ridicule. . . . The two elements of such a claim are (1) that the communication reasonably would be understood as referring to the plaintiff; and (2) that the communication is disparaging, that is,
\textsuperscript{105} Compare \textit{In re Waughtel}, 138 U.S.P.Q. (BNA) 594 (T.T.A.B. 1963) (allowing registration) with \textit{In re Reemtsma Cigarettenfabriken G.m.b.H.}, 122 U.S.P.Q. (BNA) 339 (T.T.A.B. 1959) (refusing registration).
\textsuperscript{106} This failure is hardly surprising given the lack of a statutory definition of "disparage." As the Assistant Commissioner of Patents predicted to the House Subcommittee on Trademarks as early as 1939, "the use of this word in this connection is going to cause a great deal of difficulty in the Patent Office, because . . . it is always going to be just a matter of the personal opinion of the individual parties as to whether they think [the mark] is disparaging." \textit{1939 House Hearings}, supra note 104, at 21 (testimony of Assistant Commissioner Frazer).
\textsuperscript{107} See, e.g., Bromberg v. Carmel Self Serv., Inc., 198 U.S.P.Q. (BNA) 176 (T.T.A.B. 1978); \textit{In re Condas S.A.}, 188 U.S.P.Q. (BNA) 544 (T.T.A.B. 1975); \textit{In re Anti-Communist World Freedom Congress, Inc.}, 161 U.S.P.Q. (BNA) 304 (T.T.A.B. 1969); see also Doughboy Indus., 88 U.S.P.Q. (BNA) at 227.
would be considered offensive or objectionable by a reasonable person of ordinary sensibilities.\textsuperscript{108}
In determining whether particular marks are impermissibly disparaging, the Board has examined such considerations as personal testimony,\textsuperscript{109} the mark owner's membership in the allegedly disparaged group,\textsuperscript{110} documentary evidence of the presence or absence of offense,\textsuperscript{111} the mark owner's intent to disparage,\textsuperscript{112} and whether the mark would be impermissibly scandalous separately and independently of the disparagement inquiry.\textsuperscript{113}
\textsuperscript{108} Greyhound Corp. v. Both Worlds Inc., 6 U.S.P.Q.2d (BNA) 1635, 1639 (T.T.A.B.1988) (citation omitted).
\textsuperscript{109} Compare Bromberg, 198 U.S.P.Q. (BNA) at 176 (holding opposers' allegations that the mark brought them into contempt and disrepute sufficient to establish their standing to challenge its registration) with Condas, 188 U.S.P.Q. (BNA) at 544 (according limited weight to hearsay testimony that "the Japanese American Citizens League considers the word 'JAP' to be derogatory and injurious to those of Japanese ancestry"); compare also In re Riverbank Canning, 95 F.2d 327, 329 (C.C.P.A. 1938) (finding testimony by applicant's customers of lack of offense unpersuasive) with Waughtel, 138 U.S.P.Q. (BNA) at 595 (finding persuasive testimony by members of sect that use of sect's name as a mark for tobacco not disparaging).
\textsuperscript{110} Condas, 188 U.S.P.Q. (BNA) at 544 (allowing registration of JAP trademark upon showing that the applicant was Japanese). The Condas Board additionally found "persuasive of a similar finding" a decision by a New York state court rejecting a contention that the term was "derogatory or would subject Americans of Japanese ancestry to contempt, ridicule, or scandal." \textit{Id.} (citing Japanese American Citizens League v. Takada, 171 U.S.P.Q. (BNA) 109 (N.Y. Sup. Ct. 1971)).
\textsuperscript{111} Note, however, that the Board frequently finds this evidence unpersuasive. \textit{See}, e.g., \textit{In re In Over Our Heads, Inc.}, 16 U.S.P.Q.2d (BNA) 1653, 1654 (T.T.A.B. 1990); Condas, 188 U.S.P.Q. (BNA) at 544 (both according limited weight to newspaper articles detailing allegedly disparaging nature of word in question). \textit{But see In re Leo Quan Inc.}, 200 U.S.P.Q. (BNA) 370, 371 (T.T.A.B. 1978) (finding persuasive testimony submitted by applicant of long-term use without complaints of offense).
\textsuperscript{112} See \textit{In re Anti-Communist World Freedom Congress, Inc.}, 161 U.S.P.Q. (BNA) 304, 305 (T.T.A.B. 1969).
\textsuperscript{113} Greyhound Corp. v. Both Worlds Inc., 6 U.S.P.Q.2d (BNA) 1635, 1639–40 (T.T.A.B. 1988).
Note, however, that the Board has declined to recognize a bright-line rule on this issue, \textit{i.e.}, that a finding that a mark is impermissibly scandalous or immoral necessarily translates into a finding that the mark is impermissibly disparaging as well. \textit{See In re Old Glory Condom Corp.}, Serial No. 74/004,391, 1993 TTAB LEXIS 3 (T.T.A.B. March 3, 1993):
It is clear to us that the examining attorney's refusal of registration on the grounds that applicant's mark is scandalous was based, in large part, on her finding that the mark
3. Applying the Standards
a. Word Marks
Registrability of particular word marks generally depends on their lexicographic meanings, with *Riverbank Canning* establishing the practice of reliance on dictionaries to fix the definition of the word or words under consideration.\(^{114}\) Unlike the situation frequently found in cases defining the words “scandalous” or “immoral,” however, the Board consistently has turned to contemporary dictionaries, rather than those in print at the time of the Lanham Act’s passage, to discern this meaning.\(^{115}\) Not surprisingly, this practice can lead to “dueling dictionaries,” as the mark’s owner and the PTO invoke competing editions with definitions favorable to their respective positions.\(^{116}\)
Notwithstanding the case law’s extensive reliance on dictionaries, however, these decisions leave unresolved the extent to which the text of a dictionary definition may be dispositive. In *Tinseltown*, for example, the Board held that a dictionary’s designation of the word “bullshit” as “profane” was sufficient, in
\(^{114}\) See *In re Riverbank Canning Co.*, 95 F.2d 327, 328 (C.C.P.A. 1938). The court did, however, disregard the primary definition of “Madonna” contained in each of the dictionaries, namely an Italian form of address, in finding that “there can be no doubt that in the United States, and among all English-speaking peoples, the word ‘Madonna’ is generally understood to refer to the Virgin Mary or to a pictorial representation of the Virgin Mary.” *Id.*
\(^{115}\) See, e.g., *In Over Our Heads*, 16 U.S.P.Q.2d (BNA) at 1654; *In re Hershey*, 6 U.S.P.Q.2d (BNA) 1470, 1470–72 (T.T.A.B. 1988); *In re Tinseltown, Inc.*, 212 U.S.P.Q. (BNA) 863, 866 (T.T.A.B. 1981); *Leo Quan*, 200 U.S.P.Q. (BNA) at 371; *In re Runsdorf*, 171 U.S.P.Q. (BNA) 443, 443 (T.T.A.B. 1971); *In re Sociedade Agricola E. Comercial Dos Vinhos Messias, S.A.R.L.*, 159 U.S.P.Q. (BNA) 275, 275 (T.T.A.B. 1968); see also *In re Reemtsma Cigarettenfabriken G.m.b.H.*, 122 U.S.P.Q. (BNA) 339 (T.T.A.B. 1959) (referencing contemporary encyclopedia entry).
\(^{116}\) See, e.g., *Hershey*, 6 U.S.P.Q.2d (BNA) at 1470–72; *Runsdorf*, 171 U.S.P.Q. (BNA) at 443–44.
and of itself, to preclude its registration.\textsuperscript{117} Rejecting the applicant’s contention that the term should be considered in a separate category as it had been assigned a “respectable, nonprofane meaning” in another contemporary dictionary,\textsuperscript{118} the Board observed,
The argument might be persuasive were it not for the fact that the same edition lists other clearly profane words which are similarly defined for their non-profane meanings. It is not at all uncommon for profane words to have secondary as well as literal meanings or to be used other than, merely, as expletives. The fact that Merriam-Webster included such definitions in its third edition (whereas they are not found in the second edition) merely reflects a change in editorial policy as to what words or definitions should be incorporated rather than that the words have somehow lost their profane or obscene connotations.\textsuperscript{119}
Similarly, the Board also allowed a dictionary definition of “bubby” as a “vulgar” term for the female breast to dispose of the registrability inquiry in \textit{In re Runsdorf}.\textsuperscript{120} Finding that “[v]ulgar,’ as defined, means, inter alia, lacking in taste, indelicate, [and] morally crude,” the Board concluded that such material “can, in our opinion, be encompassed by the term scandalous matter.”\textsuperscript{121} Consistent with its decision in \textit{Tinseltown}, the Board gave little weight to another dictionary proffered by the applicant that defined the term without reference to its putative vulgarity in denying registration to the mark BUBBY TRAP for brassieres.
As in the case of the \textit{Riverbank Canning} methodology, however, this reasoning does not always work to the applicant’s disadvantage. For example, the owner of Reg. No. 1,532,169 overcame an initial Section 2(a) rejection of his stylized ORGASM mark for beauty products in part with the following argument:
The term “orgasm” is defined in \textit{Webster’s New Collegiate Dictionary} (1980 ed.), p. 802, as “intense or paroxysmal emotional excitement; esp: the climax of sexual excitement typically occurring toward the end of coitus.” There is no indication that the word is considered vulgar or obscene. By contrast, the same
\textsuperscript{117} \textit{Tinseltown}, 212 U.S.P.Q. (BNA) at 866.
\textsuperscript{118} \textit{See id.} at 864 (“Applicant contends . . . that the word ‘bullshit’ is in such common usage in contemporary America that it is defined in modern dictionaries as having the meaning of nonsense or exaggerated talk, rather than the feces of a bull . . . .”).
\textsuperscript{119} \textit{Id.} at 866 (footnote omitted).
\textsuperscript{120} 171 U.S.P.Q. (BNA) 443 (T.T.A.B. 1971).
\textsuperscript{121} \textit{Id.} at 444.
dictionary's definition of "fuck" contains the notation "usu. [usually] considered obscene" and its definition of the word "shit" contains the notation "usu. [usually] considered vulgar." Thus, in the opinion of the editors of this standard dictionary, there is nothing vulgar or obscene about the term "orgasm."122
Thus, the absence of negative references in a word's definition may weigh towards its registrability.123
In another line of cases, the Board has accorded dictionary definitions significantly less weight in allowing registration of allegedly improper marks. In *In re Hershey*,124 for example, the Examining Attorney rejected the applicant's BIG PECKER BRAND mark for T-shirts after finding that its primary component was a slang reference to the word "penis" in "various publications such as Playboy, Medical Economics, Financial Times and Newsweek," and one that—as in *Rundsorf*—was deemed "vulgar" by contemporary dictionaries.125 Not surprisingly, the applicant responded with his own dictionaries and other material defining the word as "one that pecks, a woodpecker or a bird's bill."126
In contrast to the analysis in *Rundsorf* and *Tinseltown*, the Board did not allow the PTO's adverse dictionary definition to dispose of the inquiry, but instead looked to the applicant's specimens. Noting that they featured a rooster head well-endowed with a large beak, the Board observed that "[w]e fully recognize that the bird design may be removed at any time, but the specimens do serve to buttress the applicant's contention that the mark is not intended to refer to male genitalia but, rather, refers to the more common meaning of a
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122 Response to Office Action at 2, *In re Spira*, Serial No. 74/512,169 (Tm. Ex. Div. 1985) (brackets in original) (copy on file with author).
123 See also *In re In Over Our Heads, Inc.*, 16 U.S.P.Q.2d (BNA) 1653 (T.T.A.B. 1990):
[T]he term "Moonies" appears in dictionaries and is defined as meaning, in one sense, members of a particular religious group. These dictionary listings do not state that this term is derogatory or disfavored. Hence, in reaching our decision in this case, we have operated on the premise that "Moonies" is an accepted, nonderogatory term for members of The Unification Church.
*Id.* at 1654 n.4.
124 6 U.S.P.Q.2d (BNA) 1470 (T.T.A.B. 1988).
125 *Id.* at 1470–71.
126 *Id.* at 1472.
bird’s beak.”\textsuperscript{127} Finding that the mark was “at most, a double entendre,” the Board allowed its registration.\textsuperscript{128}
Similarly, in \textit{In re Leo Quan Inc.},\textsuperscript{129} the Board allowed the applicant to explain away the “erotic connotations” found in a dictionary definition of its BADASS mark. Accepting the applicant’s assertions that the mark was an acronym for “Bettencourt Acoustically Designed Audio Sound Systems,” the Board noted “[w]e are unwilling to assign base motives to an applicant who propounds a plausible explanation for a trademark which is susceptible to a wholly innocent pronunciation . . . .”\textsuperscript{130} In doing so, the Board expressly rejected as a ground for nonregistrability the argument that “[o]ne of a certain cast of mind may perhaps see evil wherever the eye may light or in whatever may fall on the ear.”\textsuperscript{131}
Likewise, in \textit{Parfum L’Orle}, the PTO held that the mere reference to sex in a definition of LIBIDO did not necessarily render the word impermissibly immoral. Rather, registration was allowed in light of the fact that “[i]t is notorious that the perfume trade uses names and advertisements of a suggestive nature . . . . Many of the names used have been registered . . . and some of these might well have been refused on the ground raised in this case.”\textsuperscript{132} Consequently, this line of cases discourages exclusive reliance on a single dictionary entry in favor of an examination of the overall context in which a mark is used.
\textbf{b. Design Marks}
In contrast to decisions involving word marks, relatively few cases have examined the registrability of allegedly scandalous, immoral, or disparaging design marks. Moreover, to the extent that design marks have been subject to Section 2(a) challenges, no clear principles have emerged. For example, although the \textit{McGinley} court denied registration to a photograph of a nude
\begin{itemize}
\item \textsuperscript{127} \textit{Id.} (footnote omitted).
\item \textsuperscript{128} \textit{Id.} For a case employing similar methodology to reach a contrary result, see Doughboy Indus. v. Reese Chem. Corp., 88 U.S.P.Q. (BNA) 227, 228 (T.T.A.B. 1951) (denying registration after finding the meaning of applicant’s mark “shown by the specimens submitted with the application”).
\item \textsuperscript{129} 200 U.S.P.Q. (BNA) 370 (T.T.A.B. 1978).
\item \textsuperscript{130} \textit{Id.} at 371.
\item \textsuperscript{131} \textit{Id.}
\item \textsuperscript{132} \textit{Ex parte Parfum L’Orle}, 93 U.S.P.Q. (BNA) 481, 482 (Comm’r Patents 1952).
\end{itemize}
couple “appearing to expose the male genitalia,”\textsuperscript{133} the \textit{Thomas Laboratories} Board allowed registration of a depiction of a nude male, emphasizing that “applicant’s mark is not a photograph of a nude male figure but is rather a cartoon-like representation . . . .”\textsuperscript{134} Likewise, although the \textit{Greyhound} Board found impermissibly scandalous and disparaging “a graphic portrayal of a dog in the act of defecating, including depiction of the feces,”\textsuperscript{135} the PTO \textit{has} approved the registration of more farcical representations of a urinating dog and a defecating man, both for commercial paper.\textsuperscript{136} Consequently, applicants apparently may escape rejection by presenting caricatures of subject matter that otherwise would be unregistrable \textit{per se} if portrayed realistically.\textsuperscript{137}
C. The Problem of Standing
As the discussion above might suggest, the vast majority of Section 2(a) cases involve appeals of refusals to register particular marks. Nevertheless, it is, of course, possible to oppose an application to register or petition to cancel an existing registration of an allegedly scandalous, immoral, or disparaging mark in a formal proceeding even if the mark meets the PTO’s standards.\textsuperscript{138} As with litigation before any federal tribunal, however, a party seeking to challenge registration of a mark on Section 2(a) grounds must first satisfy the threshold jurisdictional hurdle of standing established by Article III of the Constitution.\textsuperscript{139}
\textsuperscript{133} \textit{In re} McGinley, 660 F.2d 481, 482 (C.C.P.A. 1981). The \textit{McGinley} dissenters took issue with this characterization of the mark. Although adopting the majority’s general analysis, Judge Rich observed that “amazingly, on the crucial matter the majority equivocates in the phrase ‘appearing to expose the male genitalia.’ Either it does or it doesn’t and I find it doesn’t.” \textit{Id.} at 487 (Rich, J., dissenting).
\textsuperscript{134} \textit{In re} Thomas Lab., 189 U.S.P.Q. (BNA) 50, 52 (T.T.A.B. 1975).
\textsuperscript{135} Greyhound Corp. v. Both Worlds Inc., 6 U.S.P.Q.2d (BNA) 1635, 1639 (T.T.A.B. 1983).
\textsuperscript{136} See United States Patent and Trademark Office, U.S. Dep’t of Comm., Official Gazette of the U.S. Pat. and Trademark Off., May 31, 1988, at TM 68 [hereinafter Official Gazette].
\textsuperscript{137} See also \textit{In re} In Over Our Heads, Inc., 16 U.S.P.Q.2d (BNA) 1653, 1654 (T.T.A.B. 1990) (allowing registration of composite word and design mark featuring stylized buttocks).
\textsuperscript{138} See supra notes 22–23 and accompanying text.
\textsuperscript{139} Standing doctrine has its origins in the so-called “Case and Controversy” language of Article III, section 2, clause 1, which establishes the federal judiciary’s jurisdiction over, inter alia, “all Cases, in Law and Equity, arising under this Constitution, the Laws of the
As summarized by the Supreme Court, "the question of standing is whether the litigant is entitled to have the court decide the merits of the dispute or of particular issues." More specifically, "[t]he 'gist of the question of standing' is whether the party seeking relief has 'alleged such a personal stake in the outcome of the controversy as to assure that concrete adverseness which sharpens the presentation of the issues . . . .'" Consequently, "to entitle a private individual to invoke the judicial power to determine the validity of executive or legislative action he must show that he has sustained or is immediately in danger of sustaining a direct injury . . . ."
The Lanham Act sets forth similar statutory standards for determining a party's standing to bring an opposition or cancellation action. Section 13, for example, provides that "[a]ny person who believes that he would be damaged by the registration of a mark upon the principal register may, upon payment of the prescribed fee, file an opposition in the Patent and Trademark Office . . . of the mark sought to be registered." Likewise, under Section 14, "any person who believes that he is or will be damaged by [an existing] registration of a mark" may petition to cancel it.
In interpreting these provisions, the Court of Customs and Patent Appeals has noted that "[n]o absolute test can be laid down for what must be proved to establish standing as a petitioner in a cancellation proceeding or as an opposer in an opposition." Nevertheless, the court has held that standing is appropriately recognized only for parties having "a personal interest in the outcome [of the proceeding] beyond that of the general public." Under this rule, the standing barrier should be invoked "to preclude meddlesome parties
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United States, and Treaties made, or which shall be made, under their Authority [and] to Controversies . . . between Citizens of different States." U.S. Const. art. III, § 2, cl. 1.
140 None of the Board’s decisions discussed in this Section on their face purport to apply any of the various tests for determining standing articulated by the Supreme Court. For this reason, this Article does not address the general principles emerging from the Court’s decisions at this point but instead does so at infra notes 244–314 and accompanying text.
141 Warth v. Seldin, 422 U.S. 490, 498 (1975).
142 Flast v. Cohen, 392 U.S. 83, 99 (1968) (quoting Baker v. Carr, 369 U.S. 186, 204 (1962)).
143 Ex parte Levitt, 302 U.S. 633, 634 (1937).
144 15 U.S.C. § 1063(a) (1988).
145 Id. § 1064.
146 Lipton Indus. v. Ralston Purina Co., 670 F.2d 1024, 1028 (C.C.P.A. 1982). The standards for satisfying Section 13 and Section 14 are identical. Id.
147 Id.
from instituting proceedings as self-appointed guardians of the purity of the Register."148
Although an opposition or cancellation proceeding brought under Section 2(a) is virtually by definition one to protect the "purity of the Register," the Board has had few opportunities to address the issue of standing in such actions. For example, in Sta-Power Indus. v. Lasting Products, Inc.,149 the owner of the mark STA-POWER for various automotive goods opposed registration of the applicant's S-T-A-Y POWER mark for a desensitizing agent "intended to prevent premature ejaculation during intercourse and . . . advertised as a product which can lead to sexual fulfillment."150 After rejecting the opposer's claims of a likelihood of confusion under Section 2(d), the Board declined to grant standing to oppose based on testimony "that applicant's use of a similar mark on a product indicated for sexual fulfillment is 'offensive' to opposer corporation and its 'image.'"151 Despite this claim, however, the
148 Norac Co. v. Occidental Petroleum Corp., 197 U.S.P.Q. (BNA) 306, 320 (T.T.A.B. 1977); cf. United Shoe Mach. Corp. v. Compo Shoe Mach. Corp., 56 F.2d 292 (C.C.P.A. 1932) (interpreting 1905 Act):
The statute gives any person who believes that he would be damaged the right to oppose . . . These provisions are very broad, and should be broadly construed. Of course, Congress did not mean to grant these rights to a mere intermeddler . . . and thereby authorize such a person to interfere in the affairs of [another] and in the business of the Patent Office. Certainly the person seeking to cancel a registration or oppose an application for registration must have a greater interest than a member of the general public who by such recognition suffers no invasions of his rights or privileges. It is well understood in the application of equitable remedies that one who seeks such application is bound to show an interest in a suit personal to himself and not such an interest as he has only by virtue of being a citizen.
Id. at 295.
149 177 U.S.P.Q. (BNA) 351 (T.T.A.B. 1973).
150 Id. at 352.
151 Id.; cf. Carson v. Here's Johnny Portable Toilets, Inc., 698 F.2d 831, 834 (6th Cir. 1983) (affirming dismissal of plaintiff's attempt to enjoin use of trademark on "odious" products on theory that such use caused him embarrassment).
On this issue, note that, largely since the decision in Sta-Power, approximately half the states have enacted so-called "dilution" statutes, most of which are based on Section 12 of the Model Trademark Act:
Likelihood of injury to business reputation or of dilution of the distinctive quality of a mark registered under this Act, or a mark valid at common law, or a trade name valid at common law, shall be a ground for injunctive relief notwithstanding the absence
opposer did not expressly state as a ground for opposition that the mark was impermissibly scandalous, immoral, or disparaging under Section 2(a).
Had such an express claim been made, the outcome may have been different. For example, in *Greyhound*, the Board confronted the argument that an opposer with admitted standing to oppose under Section 2(d) lacked standing to challenge registration of the applicant’s mark under Section 2(a) as well.\(^{152}\) In contrast to the result in *Sta-Power*, the *Greyhound* Board held that “when an opposer has demonstrated its standing in connection with any ground on which it bases the opposition, it may rely on any other statutory ground which negates the applicant’s right to registration and may invoke the general public interests in support of its claim.”\(^{153}\)
Such a rule, however, does not resolve the more difficult question of under what circumstances a party lacking an alternative statutory ground may object
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Model State Trademark Bill § 12 (1964). These statutes frequently are relied on by plaintiffs alleging that the use of their marks in an unsavory manner dilutes the marks’ value. *See, e.g.*, American Express Co. v. Vibra Approved Lab., 10 U.S.P.Q.2d (BNA) 2006 (S.D.N.Y. 1989) (preliminary injunction under New York dilution law against defendant’s “condom card” featuring plaintiff’s AMERICAN EXPRESS and DON’T LEAVE HOME WITHOUT IT marks). Thus, although these state statutes do not provide a basis for opposition to a particular mark’s federal registration, the opposer in *Sta-Power* might very well now be able to secure injunctive relief against the applicant’s use of its mark under state legislation, even if, as was the case before the Board, the opposer could not demonstrate a likelihood of confusion between its and the applicant’s products. *See, e.g.*, Pillsbury Co. v. Milky Way Prods., 215 U.S.P.Q. (BNA) 124 (N.D. Ga. 1981) (injunctive relief under Georgia dilution law against defendant’s use in its magazine of plaintiff’s trade characters “Poppin’ Fresh” and “Poppie Fresh” engaged in sexual intercourse and fellatio).
\(^{152}\) Greyhound Corp. v. Both Worlds Inc., 6 U.S.P.Q.2d (BNA) 1635, 1638 (T.T.A.B. 1988).
\(^{153}\) *Id.* For a case in which the would-be petitioners failed to demonstrate the alternative statutory grounds required under *Greyhound*, see Abraham’s Seed v. John One Ten, 1 U.S.P.Q.2d (BNA) 1230 (T.T.A.B. 1986). In *Abraham’s Seed*, the petitioner’s application to register its Christian “fish symbol” mark previously had been rejected by a PTO Examining Attorney on Section 2(a) grounds as well as a likelihood of confusion with the registrant’s prior registered virtually identical mark. Faced with this rejection, the petitioner challenged the applicant’s registration on Section 2(a) grounds, but failed to expressly claim standing under Section 2(d). The Board, however, found the fact that the PTO had denied registration to the petitioner’s mark under Section 2(a) but nevertheless had allowed registration to the registrant’s mark to be irrelevant to the petitioner’s ability to claim standing under that section. Noting the absence of a Section 2(d) claim similar to that in *Greyhound*, the Board dismissed the petition in its entirety. *Id.* at 1233.
to the registration of a particular mark under Section 2(a). In *Bromberg v. Carmel Self Service, Inc.*, for example, two women opposed registration of the applicant’s ONLY A BREAST IN THE MOUTH IS BETTER THAN A LEG IN THE HAND mark for restaurant services solely on Section 2(a) grounds, arguing that it disparaged women and brought them into contempt and disrepute. In response, the applicant argued that the would-be opposers’ failure to allege potential commercial damage from the mark’s registration precluded them from claiming standing under the interaction of Sections 2(a) and 13.
The Board, however, rejected this latter theory. Although acknowledging the legal status of corporations and other commercial enterprises as “persons” under the law, the Board questioned “whether these are persons possessing the emotional characteristics requisite to being or feeling offended by that which may be considered scandalous.” For this reason, it concluded, it was more likely that individuals, rather than commercial enterprises, would be sufficiently offended by a mark as to oppose its registration. Under the circumstances, “such parties were therefore certainly among those intended to be protected under Section 2(a) of the Statute.” Holding sufficient the mere allegation that a mark’s registration would scandalize the opposers, the Board allowed the opposition to proceed after finding only that “the instant opposers . . . are persons within the meaning of Section 13 and members of a group who may believe the mark to be scandalous . . . .”
This language notwithstanding, however, *Bromberg* does not stand for the proposition that a potential opposer may enjoy standing on behalf of an entire class of individuals. To the contrary, the *Bromberg* Board held that Section 13’s requirement that each opposer pay a filing fee and be identified precluded a single opposer from advancing putative evidence of alleged damage to an
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154 198 U.S.P.Q. (BNA) 176 (T.T.A.B. 1978).
155 *Id.* at 177. The opposers supported this claim with affidavits from a number of women’s groups. *Id.*
156 *Id.* at 178.
157 *Id.* at 178–79. Note that the Board did not express similar qualms in *Greyhound*, in which it found that the plaintiff was subject to disparagement notwithstanding its corporate status. *See Greyhound*, 6 U.S.P.Q.2d (BNA) at 1636–37.
158 *Bromberg*, 198 U.S.P.Q. (BNA) at 179.
159 *Id.* The results of the opposition in *Bromberg* are not reported. Ultimately, however, the applicant’s mark was denied registration on Section 2(d) grounds after the Board found it to be confusingly similar to another opposer’s A LEG IN THE HAND WILL PUT A SMILE ON YOUR FACE mark. *See Golden Skillet Corp. v. Carmel Self Serv., Inc.*, 201 U.S.P.Q. (BNA) 790 (T.T.A.B. 1979).
entire class. As the Board concluded, “[t]here is no provision in the Trademark Act for class actions and reference to damage which might be incurred by a particular class is inappropriate . . . .”\textsuperscript{160}
\textit{Bromberg} therefore establishes several apparently incongruous principles. On the one hand, potential opposers may not rely on claims of damage to an entire class of individuals to which they belong as a means of establishing their standing to challenge a mark’s registration. On the other hand, at least in cases in which allegedly scandalous or immoral marks are at issue, such opposers nevertheless must demonstrate that a “substantial composite of the general public” is likely to consider a mark offensive to prevail on the merits in a Section 2(a) opposition.\textsuperscript{161}
IV. TOWARDS A NEW SCANDALOUS, IMMORAL, AND DISPARAGING JURISPRUDENCE
To this point, this Article has surveyed decisions addressing Section 2(a) with an eye toward impartially setting forth their results. The remainder of the Article identifies three areas in which prevailing Section 2(a) doctrine suffers from severe deficiencies and suggests alternative interpretations of the Lanham Act that cure these deficiencies. In particular, the following sections examine: (1) the constitutional problems associated with denying registration to particular marks according to a content-based standard; (2) the proper relationship between goods or services covered by a mark and the mark itself for purposes of determining registrability under Section 2(a); and (3) constitutional standing requirements for individuals seeking to challenge a mark’s registration under Section 2(a).
A. Refusal to Register Scandalous, Immoral, or Disparaging Marks as an Unconstitutional Condition
In applying the “unconstitutional conditions” doctrine, the Supreme Court generally has employed one of two approaches. The first of these is premised on the theory that the government may not discourage the exercise of
\textsuperscript{160} \textit{Bromberg}, 198 U.S.P.Q. (BNA) at 178.
\textsuperscript{161} \textit{See In re McGinley}, 660 F.2d 481, 485 (C.C.P.A. 1981). \textit{Bromberg} arguably is more consistent with the \textit{Greyhound} disparagement inquiry, which requires consideration of the more personalized “reasonable person” standard. \textit{See Greyhound}, 6 U.S.P.Q.2d (BNA) at 1639.
constitutionally protected rights\textsuperscript{162} by withholding particular benefits. Thus, for example, the Court has held that denial of a tax exemption for individuals refusing to take a special loyalty oath impermissibly infringed upon their freedom of speech.\textsuperscript{163} Similarly, the Court also has invalidated a state government’s refusal to provide unemployment benefits to an individual unwilling, for religious reasons, to work on Saturdays.\textsuperscript{164} As the Court has noted of this line of cases:
For at least a quarter-century, this Court has made clear that even though a person has no “right” to a valuable governmental benefit and even though the government may deny him the benefit for any number of reasons, there are some reasons upon which the government may not rely. It may not deny a benefit to a person on a basis that infringes his constitutionally protected interests.\textsuperscript{165}
As a practical matter, the Court is more likely to adopt this approach in cases in which the government has extended the benefit in question to a very broad class of recipients, but has purposefully excluded individuals holding certain viewpoints.\textsuperscript{166}
\textsuperscript{162} See supra note 29.
\textsuperscript{163} See Speiser v. Randall, 357 U.S. 513 (1958):
To deny an exemption to claimants who engage in certain forms of speech is in effect to penalize them for such speech. Its deterrent effect is the same as if the State were to fine them for this speech. . . . [T]he denial of a tax exemption for engaging in certain speech necessarily will have the effect of coercing the claimants to refrain from the proscribed speech.
Id. at 518–19.
\textsuperscript{164} See Sherbert v. Verner, 374 U.S. 398, 406 (1963) (holding that denial of benefits to petitioner under such circumstances “effectively penalizes the free exercise of her constitutional liberties”); see also Thomas v. Review Bd. of the Indiana Employment Sec. Div., 450 U.S. 707, 717 (1981).
\textsuperscript{165} Perry v. Sindermann, 408 U.S. 593, 597 (1972). For other cases adopting this reasoning, see, e.g., FCC v. League of Women Voters, 468 U.S. 364, 399–401 (1984) (invalidating restriction on public broadcasting stations’ use of federal funds to editorialize); Healy v. James, 408 U.S. 169, 181 (1972) (holding that state college’s denial of access to campus facilities for certain unpopular groups “burdens or abridges” the right to association); cf. Shapiro v. Thomson, 394 U.S. 618, 634 (1969) (denial of welfare benefits to individuals residing in state for less than one year impermissibly burdens right to travel).
\textsuperscript{166} See, e.g., Arkansas Writers’ Project, Inc. v. Ragland, 481 U.S. 221 (1987) (invalidating state sales tax scheme taxing general interest magazines but exempting
In the second line of cases, however, the Court has deferred to legislative allocations of benefits as presumptively valid determinations of how best to distribute limited government resources.\textsuperscript{167} In contrast to the rule discussed above, this line of holdings most frequently occurs in cases in which the government has singled out a particular viewpoint for favorable treatment in a manner that leaves nonrecipients in a position no worse off than they would be in the absence of any government action.\textsuperscript{168} In these cases, the Court has treated the denial of "entitlements" to would-be beneficiaries as a nonsubsidy, rather than a coercive penalty qualifying it as an unconstitutional condition.\textsuperscript{169}
As set forth above in greater detail,\textsuperscript{170} tribunals in the Federal Circuit traditionally have viewed Section 2(a) as the latter type of regulation.\textsuperscript{171} More specifically, the Court of Customs and Patent Appeals in \textit{McGinley} held Section 2(a)'s prohibitions to be a legitimate decision by the government not to expend its limited resources processing applications to register particular marks or maintaining those registrations once they are issued. As the court noted of PTO funding at that time, the costs for such procedures largely were underwritten by public funds.\textsuperscript{172}
\textsuperscript{167} See, e.g., Lyng v. Castillo, 477 U.S. 635, 638–39 (1986) (distinction in assistance program between households of one family and households with separate units subject only to rational basis review); Dandridge v. Williams, 397 U.S. 471, 485 (1970) (applying rational basis review to state regulation establishing unequal ceilings for grants to families of unequal sizes).
\textsuperscript{168} See, e.g., Harris v. McRae, 448 U.S. 297, 317 n.19 (1980) ("A refusal to fund protected activity, without more, cannot be equated with the imposition of a ‘penalty’ on that activity."); Maher v. Roe, 432 U.S. 464, 474 (1977) (upholding refusal to pay for indigent women's abortion expenses on ground that "[t]he State may have made childbirth a more attractive alternative, thereby influencing the woman’s decision, but it has imposed no restriction on access to abortion that was not already there").
\textsuperscript{169} See, e.g., Regan v. Taxation With Representation, 461 U.S. 540, 549 (1983) ("We have held in several contexts that the legislature’s decision not to subsidize the exercise of a fundamental right does not infringe the right, and thus is not subject to strict scrutiny."); see also Arkansas Writers' Project, Inc. v. Ragland, 481 U.S. 221, 237 (1987) (Scalia, J., dissenting) ("The reason that denial of participation in a tax exemption or other subsidy scheme does not necessarily 'infringe' a fundamental right is that—unlike direct restriction or prohibition—such a denial does not, as a general rule, have any significant coercive effect.").
\textsuperscript{170} See supra notes 27–32 and accompanying text.
\textsuperscript{171} See, e.g., \textit{In re Tinseltown}, 212 U.S.P.Q. (BNA) 863, 865 (T.T.A.B. 1981).
\textsuperscript{172} \textit{In re McGinley}, 660 F.2d 481, 486 (C.C.P.A. 1981).
Whether this factual underpinning was valid in 1981, however, it no longer is so. Rather, congressional funding of the PTO's operations since that time has shifted to a "user-funded" mechanism supported entirely by processing fees paid by applicants and registrants seeking to maintain their registrations. Indeed, not only are public funds not currently being used to finance the PTO operations cited by the *McGinley* court, this system at times has generated a surplus so large that the PTO has considered lowering fees. Under these circumstances, it is the PTO's *opposition* to a mark, rather than its approval, that is more likely to cause the expenditure of federal funds and, for that reason, Section 2(a) is inappropriately considered a presumptively valid decision not to fund.
More importantly, however, the Act's content-based prohibitions against registration would fail to qualify as valid nonsubsidies even under the funding system in place at the time of *McGinley*. It is well established that "the registration scheme of the Trademark Act is one more inclined to inclusion than exclusion, the obvious idea being to give as comprehensive a notice as possible . . . of the trademarks and service marks in which others have claimed rights." Consistent with this philosophy, Section 2(a) does not identify certain classes of marks for favorable consideration, with impermissibly immoral, scandalous, or disparaging marks merely being denied the federal subsidy of registration through omission; rather, the statute instead specifically singles out and targets the latter for *disfavorable* treatment. As Section 2(a) itself expressly provides, "No trade-mark . . . shall be refused registration on the principal register on account of its nature *unless* it . . . [c]onsists of or comprises immoral, deceptive, or scandalous matter; or matter which may disparage . . . persons . . . or bring them into contempt or disrepute."
---
173 See infra note 176.
174 See, e.g., Pub. L. No. 101-508, § 10101, 104 Stat. 1388, 1388–91 (1990); see also 56 Fed. Reg. 65,142, 65,147 (1991); USTA Holds Annual Meeting: Trademark Review Commission Releases Report, 34 PAT. TRADEMARK & COPYRIGHT J. (BNA) 56, 58 (1987).
175 See BNA Patent Conference Reviews Recent Developments, 37 PAT. TRADEMARK & COPYRIGHT J. (BNA) 173, 173–74 (1988).
176 As a practical matter, this likely was true even in 1981. See *McGinley*, 660 F.2d at 487 (Rich, J., dissenting) ("More 'public funds' are being expended in the prosecution of this appeal than would ever result from the registration of [this] mark.").
177 See, e.g., Bullfrog Films, Inc. v. Wick, 847 F.2d 502, 509–10 (9th Cir. 1988) (holding nonsubsidy argument unavailable to government if no treasury funds being expended).
178 In re Old Glory Corp., Serial No. 74/004,391, 1993 TTAB LEXIS 3, at *15 n.3 (T.T.A.B. March 3, 1993).
179 15 U.S.C. § 1052(a) (1988).
This purposeful content-based exclusion of particular marks from the Register renders Section 2(a) ineligible for treatment as a presumptively valid decision not to subsidize even were the public fisc at stake.\textsuperscript{180} Even in those cases in which it has upheld legislation singling out a particular viewpoint for funding, the Court repeatedly has conditioned its holdings on a finding that the decision was not intended to discourage contrary expression.\textsuperscript{181} Rather, “[a] regulation of speech that is motivated by nothing more than a desire to curtail expression of a particular point of view . . . is the purest example of a ‘law . . . abridging the freedom of speech, or of the press.’”\textsuperscript{182}
A finding that Section 2(a) properly should be held to satisfy the requirements of the First Amendment is not, of course, dispositive of the separate and independent issue of whether it does satisfy those standards. Nevertheless, commercial speech qualifies for \textit{some} sort of constitutional protection.\textsuperscript{183} Indeed, the Court has held that although the government may
\textsuperscript{180} See, e.g., Keene v. Meese, 619 F. Supp. 1111, 1126 (E.D. Cal. 1985) (applying unconstitutional conditions doctrine on finding that congressional decision to withhold particular benefits “reflects a conscious attempt to place a whole category of materials beyond the pale of legitimate discourse”).
\textsuperscript{181} See, e.g., Rust v. Sullivan, 111 S. Ct. 1759, 1772 (1991) (“This is not a case of the Government ‘suppressing a dangerous idea’. . . .”); Regan v. Taxation With Representation, 461 U.S. 540, 548 (1983) (applying rational review standard, but noting that higher standard of review would be warranted “if Congress were to discriminate invidiously in its subsidies in such a way as to ‘ai[m] at the suppression of dangerous ideas’”).
\textsuperscript{182} FCC v. League of Women Voters, 468 U.S. 364, 383–84 (1984) (quoting Consolidated Edison Co. v. Public Serv. Comm’n, 447 U.S. 530, 546 (1980) (Stevens, J., concurring in judgment)); see also Speiser v. Randall, 357 U.S. 513, 518 (1958) (“It cannot be gainsaid that a discriminatory denial of a [benefit] for engaging in speech is a limitation on free speech.”); Hannegan v. Esquire, Inc., 327 U.S. 146 (1946) (rejecting subsidy theory on evidence of viewpoint discrimination in denying benefit); cf. Los Angeles City Council v. Taxpayers for Vincent, 466 U.S. 789, 804 (1984) (“The First Amendment forbids the government [from] regulat[ing] speech in ways that favor some viewpoints or ideas at the expense of others.”).
\textsuperscript{183} See, e.g., Zauderer v. Office of Disciplinary Counsel, 471 U.S. 626 (1985); Virginia State Bd. of Pharmacy v. Virginia Citizens Consumer Council, Inc., 425 U.S. 748 (1976); First Nat’l Bank v. Bellotti, 435 U.S. 765, reh’g denied, 438 U.S. 907 (1978).
It is beyond dispute that trademarks, service marks, collective marks, and certification marks qualify as protectable commercial speech. See Sambo’s Restaurants, Inc. v. City of Ann Arbor, 663 F.2d 686 (6th Cir. 1981):
“Sambo’s” is a valuable trade name that communicates useful information to consumers. To be sure, since its inception in 1957, the trade name “Sambo’s” has
regulate speech that is false, deceptive, or misleading,\textsuperscript{184} or that proposes an illegal transaction,\textsuperscript{185} restrictions on commercial expression not falling within these categories must satisfy a tripartite test: (1) the asserted governmental interest must be substantial; (2) the regulation must directly advance the asserted government interest; and (3) the regulation may not be more extensive than is necessary.\textsuperscript{186} Thus, assuming that Section 2(a) means what it says, and that its prohibitions against the registration of certain categories of marks are straightforward content-based restrictions, the proper focus in any inquiry into Section 2(a)'s constitutionality becomes whether these restrictions meet this test.\textsuperscript{187}
That they do is doubtful. The Court has held that the government does not have a legitimate interest in suppressing merely "tasteless" commercial speech,\textsuperscript{188} even speech that—as in \textit{Doughboy Industries}, \textit{Thomas Laboratories}, \textit{McGinley}, and \textit{Old Glory}—promotes sexually-related products or services.\textsuperscript{189} Rather, assuming that the commercial speech in question does not consist of obscenity or child pornography, "the fact that [it] may be offensive to some
\textit{Id.} at 694 (citations omitted); \textit{see also} Friedman v. Rogers, 440 U.S. 1, 22 n.3 (1979) (Blackmun, J., concurring in part and dissenting in part) ("Trade names are a vital form of commercial speech.").
\textsuperscript{184} \textit{See} Friedman, 440 U.S. at 19.
\textsuperscript{185} \textit{See} Pittsburgh Press Co. v. Human Relations Comm'n, 413 U.S. 376 (1973).
\textsuperscript{186} \textit{See} Central Hudson Gas & Elec. Corp. v. Public Serv. Comm'n, 447 U.S. 557, 563–66 (1980); \textit{see also} Shapero v. Kentucky Bar Ass'n, 486 U.S. 466, 472 (1988); Zauderer v. Office of Disciplinary Counsel, 471 U.S. 626, 638 (1985).
\textsuperscript{187} \textit{See In re McGinley}, 660 F.2d 481, 484 (C.C.P.A. 1981) ("[The right to registration] cannot be denied without compliance with . . . due process requirements.").
\textsuperscript{188} \textit{See} Virginia State Bd. of Pharmacy v. Virginia Citizens Consumer Council, Inc., 425 U.S. 748, 765 (1976) (holding that even "tasteless and excessive" commercial speech is not stripped of First Amendment protection); Sable Communications v. FCC, 492 U.S. 115 (1989) (invalidating ban on "indecent" speech for hire).
\textsuperscript{189} \textit{See, e.g.,} Carey v. Population Serv. Int'l, 431 U.S. 678, 701 (1977) ("Appellants contend that advertisements of contraceptive products would be offensive and embarrassing to those exposed to them, and that permitting them would legitimize sexual activity of young people. But these are classically not justifications validating the suppression of expression protected by the First Amendment."); \textit{see also} Planned Parenthood Ass'n v. Chicago Transit Auth., 592 F. Supp. 544, 554 (N.D. Ill. 1984).
does not justify its suppression." Consequently, affirmative prohibitions on use of a particular mark altogether merely on an allegation of offense would fail to satisfy the first prong of the Court's test and thereby violate the First Amendment.
That being the case, it is equally apparent that the government cannot "produce a result which [it] could not command directly," by conditioning access to a particular benefit on a business' refraining from use of an offensive
190 Bolger v. Youngs Drug Prods. Corp., 463 U.S. 60, 71–72 (1983); Carey, 431 U.S. at 701; see also Consolidated Edison Co. v. Public Serv. Comm'n, 447 U.S. 530, 541 (1980) (invalidating a state regulation allowing a public utility to use bill inserts to advocate particular commercial views but not others, on ground that "[e]ven if a short exposure to Consolidated Edison's views may offend the sensitivities of some consumers, the ability of government 'to shut off discourse solely to protect others from hearing it [is] dependent upon a showing that substantial privacy interests are being invaded in an essentially intolerable manner'" (quoting Cohen v. California, 403 U.S. 15, 21 (1971)); cf. Texas v. Johnson, 491 U.S. 397, 414 (1989) ("If there is a bedrock principle underlying the First Amendment, it is that the government may not prohibit the expression of an idea simply because society finds the idea itself offensive or disagreeable.").
191 As one court has noted, "[i]t would be selling our birthright for a mess of pottage to hold that because [a mark] is offensive and distasteful even to a majority of the public, a legislative body may forbid its use." Sambo's of Ohio v. City Council, 466 F. Supp. 177, 180 (N.D. Ohio 1979).
Note that this principle does not extend to prohibitions against use of allegedly offensive marks that are the result of injunctive relief entered under Section 34 of the Act in an infringement suit. See 15 U.S.C. § 1116 (1988). Rather, given their content-neutrality, the Act's bars against a junior party's use of a mark confusingly similar to that of a senior user are legitimate exercises of congressional power under the Commerce Clause. See Dallas Cowboys Cheerleaders, Inc. v. Scoreboard Posters, Inc., 600 F.2d 1184, 1188 (5th Cir. 1979) (enjoining defendants' "gross and revolting" use of the plaintiff's marks on the ground that "[t]he first amendment is not a license to trammel on legally recognized rights in intellectual property"); see also Coca-Cola Co. v. Gemini Rising, Inc., 346 F. Supp. 1183, 1192–93 (E.D.N.Y. 1972).
In the absence of a likelihood of confusion, whether a court may, consistent with the First Amendment, enjoin use of a plaintiff's mark under state dilution statutes, see supra note 151, on the ground that the plaintiff finds the defendant's use "offensive" is a subject of some judicial disagreement. Compare L.L. Bean, Inc. v. Drake Publishers, Inc., 811 F.2d 26 (1st Cir.) (defendant's use of imitation of plaintiff's mark in farcical "Back-to-School-Sex-Catalogue" magazine insert protected by First Amendment against suit brought under Maine dilution statute), appeal dismissed, 483 U.S. 1013 (1987) with Pillsbury Co. v. Milky Way Prods., 215 U.S.P.Q. (BNA) 124 (N.D. Ga. 1981) (enjoining defendant's use in its magazine of plaintiff's trade characters "Poppin' Fresh" and "Poppie Fresh" engaged in sexual intercourse and fellatio under Georgia dilution statute).
mark.\textsuperscript{192} Thus, for example, the Sixth Circuit in \textit{Sambo's Restaurants, Inc. v. City of Ann Arbor}\textsuperscript{193} held unconstitutional a municipality’s attempt to condition a building permit on an applicant’s abandoning a service mark found to be “a form of latent vilification.”\textsuperscript{194} As the concurring opinion noted in remarks equally appropriate to a refusal to register on the same grounds, “[i]f the company has a right to use the name under the First Amendment, then the [government] may not threaten to refuse [an otherwise available benefit] in order to induce a waiver any more than it may threaten an assault or other illegal conduct.”\textsuperscript{195} To the extent that the historical interpretation of Section 2(a) has required marks only to be “offensive” to be impermissibly “scandalous,” “immoral,” and “disparaging,”\textsuperscript{196} this interpretation is in clear constitutional error.\textsuperscript{197} Taken together with the infirmity of the \textit{McGinley} court’s holding that Section 2(a) is justifiable as a rational exercise of congressional spending authority,\textsuperscript{198} current Section 2(a) doctrine therefore lacks an underlying constitutional basis.
\textsuperscript{192} See Speiser v. Randall, 357 U.S. 513, 526 (1958); cf. In re McGinley, 660 F.2d 481, 484–85 (C.C.P.A. 1981) (“[T]he right to registration cannot be denied without compliance with Fifth Amendment due process requirements.”).
\textsuperscript{193} 663 F.2d 686 (6th Cir. 1981).
\textsuperscript{194} Id. at 694.
\textsuperscript{195} Id. at 696 (Merritt, J., concurring).
\textsuperscript{196} See, e.g., \textit{McGinley}, 660 F.2d at 485–86; In re Riverbank Canning, 95 F.2d 327, 328 (C.C.P.A. 1938); In re Hershey, 6 U.S.P.Q.2d (BNA) 1470, 1472 (T.T.A.B. 1988); Greyhound Corp. v. Both Worlds Inc., 6 U.S.P.Q.2d (BNA) 1635, 1638 (T.T.A.B. 1988); In re Tinseltown, 212 U.S.P.Q. (BNA) 863, 865 (T.T.A.B. 1981); In re Leo Quan Inc., 200 U.S.P.Q. (BNA) 370, 371 (T.T.A.B. 1978); Bromberg v. Carmel Self Serv., Inc., 198 U.S.P.Q. (BNA) 176, 178–79 (T.T.A.B. 1978); In re Madsen, 180 U.S.P.Q. (BNA) 334, 335 (T.T.A.B. 1973); In re Runsdorf, 171 U.S.P.Q. (BNA) 443, 443–44; In re Sociedade Agrícola E. Comerical Dos Vinhos Messias, S.A.R.L., 159 U.S.P.Q. (BNA) 275, 275 (T.T.A.B. 1968); Ex parte Parfum L’Orle, 93 U.S.P.Q. (BNA) 481, 482 (Comm’r Patents 1952); Ex parte Summit Brass and Bronze Works, Inc., 59 U.S.P.Q. (BNA) 22, 23 (Comm’r Patents 1943).
\textsuperscript{197} See Southeastern Promotions, Ltd. v. Conrad, 420 U.S. 546, 549–50 (1975) (invalidating city’s attempt to condition group’s access to public forum on group’s engaging only in “clean and healthful and culturally uplifting” presentations) (quoting respondent from district court); Hannegan v. Esquire, Inc., 327 U.S. 146, 158–59 (1946) (invalidating postal service’s conditioning second-class mailing privileges on magazine’s abstaining from “indecent” speech and that falling into the category of “morally improper and not for the . . . public good”) (quoting Postmaster General’s opinion revoking respondent’s second-class mailing privileges).
\textsuperscript{198} See supra notes 172–82 and accompanying text.
This does not, however, render Section 2(a) an entirely dead letter. For example, interpreting the terms "scandalous" and "immoral" to encompass only obscenity and child pornography, both of which the government has a compelling interest in prohibiting,\textsuperscript{199} would more than satisfy the first prong of the Court's tripartite commercial speech analysis.\textsuperscript{200} So too would restricting Section 2(a)'s prohibition on "disparaging" material to wholly unprotected "fighting words"\textsuperscript{201} or defamation\textsuperscript{202} also comply with the strictures of the First Amendment.\textsuperscript{203}
\textsuperscript{199} Roth v. United States, 354 U.S. 476 (1957) (obscenity); \textit{see also} New York v. Ferber, 458 U.S. 747 (1982) (child pornography).
\textsuperscript{200} \textit{See McGinley}, 660 F.2d at 485 n.9 ("[T]he threshold for objectionable matter is lower for what can be described as 'scandalous' than for 'obscene' . . . .").
\textsuperscript{201} Compare Chaplinsky v. New Hampshire, 315 U.S. 568, 571–72 (1942) (fighting words unprotected by First Amendment) \textit{with} R.A.V. v. City of St. Paul, 112 S. Ct. 2538, 2540 (1992) (invalidating, on First Amendment grounds, a municipal ordinance prohibiting display of a symbol "which one knows or has reason to know 'arouses anger, alarm, or resentment in others on the basis of race, color, creed, religion, or gender'").
Note that in \textit{Sambo's}, the Sixth Circuit rejected on evidentiary grounds the defendant municipality's argument that the plaintiff's service mark was a "fighting word" worthy of affirmative suppression. \textit{See Sambo's Restaurants, Inc. v. City of Ann Arbor}, 663 F.2d 686, 694–95 (6th Cir. 1981).
\textsuperscript{202} \textit{See Gertz v. Robert Welch, Inc.}, 418 U.S. 323, 342–50 (1974) (defamation unprotected by First Amendment).
Whether a mark can be defaming in and of itself is an unsettled issue. In Coca-Cola Co. v. Gemini Rising, Inc., 346 F. Supp. 1183 (E.D.N.Y. 1972), the plaintiff alleged that the defendant's stylized ENJOY COCAINE slogan was \textit{per se} libellous in that its strong resemblance to the plaintiff's ENJOY COCA-COLA mark implicitly represented that the plaintiff was engaged in the marketing of a dangerous drug. \textit{Id.} at 1190. Although not expressly finding that the defendant's use defamed the plaintiff, the court ordered injunctive relief in substantial part on the ground that, "[t]o associate such a noxious substance as cocaine with plaintiff's . . . trademark . . . would clearly have a tendency to impugn [plaintiff's] product and injure plaintiff's business reputation . . . ." \textit{Id.} at 1189; \textit{cf. Gucci Shops, Inc. v. R.H. Macy & Co.}, 446 F. Supp. 838, 840 (S.D.N.Y. 1977) (Lanham Act protects against "ridicule" of plaintiff's mark).
In contrast, however, in \textit{Stop the Olympic Prison v. United States Olympic Comm.}, 489 F. Supp. 1112 (S.D.N.Y. 1980) (action for declaratory judgment), the court expressly rejected the claim that the plaintiff's use of the defendant's mark in literature protesting the planned conversion of the Lake Placid Olympic Village into a federal prison libelled the defendant by linking it to the prison. Relying on the defendant's failure to present evidence either that (1) the plaintiff's use of the mark was false or misleading, or (2) the plaintiff had acted with reckless disregard of whether it was false or not, the court found that no defamation had occurred. \textit{Id.} at 1124–25.
According these definitions to the categories of marks targeted by the statute would still comport with congressional intent by continuing to preclude truly repugnant marks from reaching the Principal Register.\textsuperscript{204} Thus, for example, the registrability of the design mark at issue in \textit{McGinley}, a photograph of an embracing nude couple, would still be subject to challenge on obscenity grounds.\textsuperscript{205} Of greater importance, however, adoption of the alternative interpretations advanced here would bring Section 2(a) into compliance with constitutional requirements—mandates heretofore too frequently ignored.
Although cases such as these are perhaps relevant to a determination of whether a mark is so defaming that it is not entitled to registration under Section 2(a), the plaintiff's objections in \textit{Gemini Rising} and the defendant's objections in \textit{Olympic Prison} were grounded in the opposing party's arguable misappropriation of the marks. To the extent that mark owners have attempted to enjoin use of allegedly defaming marks in the absence of a claim of superior rights to those marks, these attempts have failed. In Japanese Am. Citizens League v. Takada, 171 U.S.P.Q. (BNA) 109 (N.Y. Sup. Ct. 1971), for example, a group of Japanese Americans sought an injunction against, and a public apology for, the defendant's use of its IAP mark for clothing on the grounds that the term subjected them "to contempt, ridicule and scandal." The court, however, declined to issue a preliminary injunction, in substantial part on the ground that "[p]etitioners do not claim that . . . by the use of the word or trade name, [defendant] deprived them of a valuable right to the word." \textit{Id.} at 109.
\textsuperscript{203} Bigelow v. Virginia, 421 U.S. 809, 819 (1975) (acknowledging possibility that commercial speech falling within these categories can legitimately be suppressed).
\textsuperscript{204} See American Communications Ass'n v. Douds, 339 U.S. 382, 407 (1950) ("[I]t is the duty of this Court to construe a statute so as to avoid the danger of unconstitutionality if it may be done in consonance with the legislative purpose."); see also United States v. Congress of Indus. Orgs., 335 U.S. 106, 120-21 (1948); United States v. Delaware & Hudson Co., 213 U.S. 366, 407-08 (1909).
\textsuperscript{205} Note, however, that even the \textit{McGinley} court acknowledged that "[i]t is well established . . . that nudity alone is not obscene." \textit{In re McGinley}, 660 F.2d 481, 485 n.9 (C.C.P.A. 1981); cf. \textit{In re Thomas Lab.}, 189 U.S.P.Q. (BNA) 50, 51 (T.T.A.B. 1975) ("The mere fact that the male figure which constitutes the mark is apparently unclothed cannot in and of itself militate against registrability.").
For differing views on the relationship between "scandalous" or "immoral" material, on the one hand, and "obscenity," on the other, compare \textit{McGinley}, 660 F.2d at 485 n.9 ("[T]he threshold for objectionable matter is lower for what can be described as 'scandalous' than for 'obscene' . . . .") with \textit{Thomas Lab.}, 189 U.S.P.Q. (BNA) at 52 (equating scandalous and immoral material with obscenity).
B. Interaction of Goods, Services, and Marks Under Section 2(a)
As set forth above in greater detail, judicial interpretations of Section 2(a) have produced conflicting treatments of the relationship between a mark and the goods or services in connection with which it is used.\textsuperscript{206} Decisions following \textit{Riverbank Canning}, for example, hold that an otherwise innocuous mark may be made unregistrable by its association with particular goods or services. A separate line of cases, however, has held that the proper inquiry when determining a mark's registrability under Section 2(a) is whether the mark is scandalous, immoral, or disparaging \textit{per se}, separately and independently of the nature of the mark owner's business.
Of these differing treatments, it is the latter that warrants uniform adoption. To begin with, the statutory language itself does not mandate consideration of the covered goods and services. Rather, it simply proscribes registration of any mark that "[c]onsists of or comprises immoral, deceptive, or scandalous matter; or matter which may disparage . . . persons, living or dead, institutions, beliefs, or national symbols, or bring them into contempt, or disrepute."\textsuperscript{207} In stark contrast, however, the content-based restrictions of Sections 2(d) and 2(e) each expressly require consideration of marks "when used on or in connection with the goods of the applicant" in determining registrability.\textsuperscript{208}
That this is a distinction with a difference is apparent from the other subsections of Section 2 that, like Section 2(a), also omit the "when used on or
\textsuperscript{206} See supra notes 33–88 and accompanying text.
\textsuperscript{207} 15 U.S.C. § 1052(a) (1988).
\textsuperscript{208} These sections provide, in relevant part:
No trade-mark by which the goods of the applicant may be distinguished from the goods of others shall be refused registration on the principal register on account of its nature unless it—
. . . .
(d) Consists of or comprises a mark which so resembles a mark registered in the Patent and Trademark Office, or a mark or trade name previously used in the United States by another and not abandoned, as to be likely, \textit{when used on or in connection with the goods of the applicant}, to cause confusion, or to cause mistake, or to deceive . . . . [or]
(e) Consists of a mark which, (1) \textit{when used on or in connection with the goods of the applicant} is merely descriptive or deceptively misdescriptive of them, or (2) \textit{when used on or in connection with the goods of the applicant} is primarily geographically descriptive or deceptively misdescriptive of them . . . .
\textit{Id.} § 1052(d)–(e) (emphasis added).
in connection with the goods” language in favor of an express *per se* standard. For example, Section 2(b) bars registration of the United States flag,\textsuperscript{209} a prohibition that can hardly be considered applicable to some goods and services, but not others.\textsuperscript{210} Similarly, it strains credulity to imagine that Congress intended Section 2(c)'s rule against the registration without consent of the names of deceased Presidents or of living individuals\textsuperscript{211} to be summarily suspended upon a finding that the goods or services in question are benign or innocuous.\textsuperscript{212} \textit{Riverbank Canning}, however, completely fails to take into account these differences in wording.\textsuperscript{213}
\textsuperscript{209} See id. § 1052(b).
\textsuperscript{210} Indeed, Section 2(b) is perhaps the clearest possible evidence that Congress intended to enact a *per se* standard of registrability under at least some sections of the Act. For example, a pennant bearing a stars and stripes design does not become more of a United States flag for purposes of Section 2(b) when used as a trademark for condoms, but less of one when associated with apple pie. To the contrary, it either is the flag or it isn't, separately and independently of the relevant goods or services. Cf. \textit{In re McGinley}, 660 F.2d 481, 487 (C.C.P.A. 1981) (Rich, J., dissenting) ("[A]mazingly, on the crucial matter the majority equivocates in the phrase 'appearing to expose the male genitalia.' Either it does or it doesn't and I find it doesn't.").
\textsuperscript{211} See 15 U.S.C. § 1052(c) (1988).
\textsuperscript{212} Thus, for example, as in Section 2(b) determinations, see supra note 210, the phrase "John Fitzgerald Kennedy" is no less a "name . . . of a deceased President of the United States" when used as a trademark for white bread than is the phrase "Lyndon Baines Johnson" when used in connection with marijuana. Rather, these arrangements of words \textit{in and of themselves} constitute names of deceased Presidents and there is no apparent reason why societal views on the covered goods and services should affect their registrability (or, more properly, the lack thereof), particularly in view of Section 2(c)'s conspicuous omission of the standard "when used on or in connection with the goods of the applicant" qualifier. Indeed, as demonstrated by the following colloquy between Congressman Lanham and Edward S. Rogers concerning the language that eventually became Section 2(c), the provision clearly was intended as a blanket prohibition on the registration of \textit{all} such marks, without regard to their goods or services:
MR. LANHAM. Are there any other objections to this section? There is one to which I wish to call attention, if I may, Mr. Rogers. That is in subsection (c) of section [2]. I am very doubtful whether the name of a President of the United States, even after his widow has passed on should be used in commerce.
. . . .
MR. ROGERS. Subsection (c) of section [2] restates the existing law. I quite agree with you that it is much too narrow, and it ought to be broadened. The idea of prostituting great names by sticking them on all kinds of goods is very distasteful to me. It is prohibited in most countries.
More importantly, however, *Riverbank Canning* is irreconcilable with the Lanham Act on another, more fundamental level. Judicial interpretations of the Act, as well as the common law of unfair competition, historically have afforded protection to marks on the basis of their distinctiveness as identifiers of origin. In infringement actions, courts typically begin likelihood of confusion analyses\(^{214}\) by classifying the plaintiff's mark either as: (1) generic; (2) descriptive; (3) suggestive; (4) arbitrary; or (5) fanciful.\(^{215}\)
Through this classification, federal law encourages mark owners to select marks that do not convey information about their goods or services, *i.e.*, marks
---
MR. LANHAM. Personally I think that there ought to be a provision in any law we enact that will prevent the use of the name of the President or any other well-known American character in this connection.
*1938 House Hearings*, supra note 40, at 79.
213 Outside of Section 2(a) disputes, even the Court of Customs and Patent Appeals has attached significant weight to the presence or absence of this language. For example, in *In re Nantucket, Inc.*, 677 F.2d 95 (C.C.P.A. 1982), the court overruled the Board's interpretation of Section 2(e)(2), which prohibits registration of marks that "when used on or in connection with the goods of the applicant [are] primarily geographically descriptive or deceptively misdescriptive of them." *See* 15 U.S.C. § 1052(e)(2) (1988). In initially refusing to allow registration of the applicant's NANTUCKET mark, the Board took into account only the mark itself and the actual geographic origin of the goods, without consideration of their nature. Reversing this decision, however, the Court of Customs and Patent Appeals noted that "the [B]oard's test does not track the statute. Moreover, in rendering functionless the phrase 'when applied to the goods of the applicant' and the word 'deceptively,' the test violates a cardinal rule of statutory construction, *i.e.*, that a legislature is presumed to have used no superfluous words." *Nantucket*, 677 F.2d at 98; *see also* World Carpets, Inc. v. Dick Littrell's New World Carpets, 438 F.2d 482, 486 (5th Cir. 1971).
214 "[T]he essential question in any case of alleged trademark infringement brought under the Lanham Act or under the law of unfair competition is ‘whether a substantial number of ordinarily prudent purchasers are likely to be misled or confused as to the source of the different products.’" *Information Clearing House, Inc. v. Find Magazine*, 492 F. Supp. 147, 154 (S.D.N.Y. 1977) (quoting *Mushroom Makers, Inc. v. R.G. Barry Corp.*, 441 F. Supp. 1220, 1225 (S.D.N.Y. 1977), *aff'd*, 580 F.2d 44 (2d Cir. 1978), *cert. denied*, 439 U.S. 1116 (1979)).
215 *See, e.g.*, *RESTATEMENT (THIRD) OF UNFAIR COMPETITION* § 13 cmt. b (Tent. Draft No. 2, 1990); *see also* Perini Corp. v. Perini Const., Inc., 915 F.2d 121, 124 (4th Cir. 1990); Zatarains, Inc. v. Oak Grove Smokehouse, Inc., 698 F.2d 786, 790 (5th Cir. 1983); Abercrombie & Fitch Co. v. Hunting World, Inc., 537 F.2d 4, 9 (2d Cir. 1976). These categories, of course, are not easily drawn in all cases: "Although meant as pigeon-holes, these useful labels are instead central tones in a spectrum; they tend to merge at their edges and are frequently difficult to apply." *Soweco, Inc. v. Shell Oil Co.*, 617 F.2d 1178, 1183 (5th Cir. 1980), *cert. denied*, 450 U.S. 981 (1981).
toward the fanciful end of the spectrum. Thus, for example, the generic name of an article may not be protected as a mark.\textsuperscript{216} Likewise, under most circumstances, descriptive words communicating information as to the quality or nature of their goods or services also are in the “public domain” in that all sellers should be free to use these terms truthfully to describe their wares.\textsuperscript{217} In contrast, however, arbitrary\textsuperscript{218} or wholly invented or fanciful marks\textsuperscript{219} that do not communicate any information about their goods or services are entitled to the broadest scope of protection available.
Despite this general rule, protection \textit{is} available under certain circumstances for marks communicating information about their products or services. For example, a completely descriptive mark may be protected, and even registered, if it has become uniquely associated with its owner’s products
\textsuperscript{216} See, e.g., Holzapfel’s Compositions Co. v. Rahtjen’s American Composition Co., 183 U.S. 1, 9 (1901) (public free to use “[t]he only name by which it is possible to describe” an article).
\textsuperscript{217} 1 McCarthy, supra note 16, § 11:05[3], at 11–23. As the Supreme Court has noted of the protection available to purely descriptive marks upon their adoption:
[T]he law would not secure to any person the exclusive use of a trade-mark consisting merely of words descriptive of the qualities, ingredients or characteristics of an article of trade. This for the reason that the function of a trade-mark is to point distinctively, either by its own meaning or by association, to the origin or ownership of the wares to which it is applied, and words merely descriptive of qualities, ingredients or characteristics, when used alone, do not do this. Other like goods, equal to them in all respects, may be manufactured or dealt in by others, who, with equal truth, may use, and must be left free to use, the same language of description in placing their goods before the public.
Estate of Beckwith, Inc. v. Commissioner of Patents, 252 U.S. 538, 543–44 (1920).
\textsuperscript{218} Arbitrary marks, which are next in order of distinctiveness, are words having a common meaning but no connotation in association with the user’s goods. See, e.g., Stork Restaurant, Inc. v. Sahati, 166 F.2d 348 (9th Cir. 1948) (THE STORK CLUB for a restaurant); Borden, Inc. v. Topps Chewing Gum, Inc., 173 U.S.P.Q. (BNA) 447 (T.T.A.B. 1972) (ICE CREAM for chewing gum).
\textsuperscript{219} The most distinctive and, therefore, protectable marks are invented or fanciful terms having no inherent linguistic meaning. See, e.g., Polaroid Corp. v. Polaraid, Inc., 319 F.2d 830, 837 (7th Cir. 1963) (holding POLAROID mark entitled to broad protection as it is a “coined” or “invented” word); Kotabs, Inc. v. Kotex Co., 50 F.2d 810, 811 (3d Cir.) (finding KOTEX mark “a coined word, arbitrary in the extreme”), cert. denied, 284 U.S. 665 (1931); Clorox Chemical Co. v. Chlorit Mfg. Corp., 25 F. Supp. 702, 705 (E.D.N.Y. 1938) (holding CLOROX mark a “fanciful word, arbitrarily selected”).
or services.\textsuperscript{220} Such acquired distinctiveness, or so-called “secondary meaning,” exists “[if], in the minds of the public, the primary significance of a product feature or term is to identify the source of the product rather than the product itself.”\textsuperscript{221}
In contrast, suggestive marks are entitled to protection and federal registration even in the absence of secondary meaning.\textsuperscript{222} Like descriptive marks, however, they too communicate information about their goods or services to potential consumers:
It cannot be said that they are primarily descriptive or that they are purely arbitrary or fanciful without any indication of the nature of the goods which they denominate. Such terms, indeed, shed some light upon the characteristics of the goods, but so applied they involve an element of incongruity, and in order to be understood as descriptive, they must be taken in a suggestive or figurative sense through an effort of the imagination . . . .
\textsuperscript{220} See Armstrong Paint & Varnish Works v. Nu-Enamel Corp., 305 U.S. 315, 336 (1938); Coca-Cola Co. v. Koke Co. of America, 254 U.S. 143, 146 (1920); see also 15 U.S.C. § 1052(e)–(f) (1988) (permitting registration of “merely descriptive” terms that have acquired distinctiveness as indicators of origin).
\textsuperscript{221} Inwood Lab., Inc. v. Ives Lab., Inc., 456 U.S. 844, 851 n.11 (1982); see also Charcoal Steak House, Inc. v. Staley, 139 S.E.2d 185, 187 (N.C. 1964) (“When a particular business has used words publici juris for so long or so exclusively or when it has promoted its product to such an extent that the words do not register their literal meaning on the public mind but are instantly associated with one enterprise, such words have attained a secondary meaning.”). An owner of a descriptive mark seeking to establish that her mark has acquired the secondary meaning necessary for registration may do so by presenting evidence of, inter alia, her advertising expenditures, sales of her goods, and the nature of her use. See generally \textit{In re Owens-Corning Fiberglas Corp.}, 774 F.2d 1116, 1125 (Fed. Cir. 1985); \textit{In re Hollywood Brands}, 214 F.2d 139, 141 (C.C.P.A. 1954); \textit{In re Motorola Inc.}, 3 U.S.P.Q.2d (BNA) 1142, 1143 (T.T.A.B. 1986).
\textsuperscript{222} See, e.g., Thompson Medical Co. v. Pfizer Inc., 753 F.2d 208, 216 (2d Cir. 1985) (“Suggestive marks are eligible for protection without any proof of secondary meaning, since the connection between the mark and the source is presumed.”); see also Hindu Incense v. Meadows, 692 F.2d 1048, 1050 (6th Cir. 1982); American Home Prods. Corp. v. Johnson Chem. Co., 589 F.2d 103, 106–07 (2d Cir. 1978); Norwich Pharmacal Co. v. Charles Pfizer & Co., 165 U.S.P.Q. (BNA) 644 (T.T.A.B. 1970).
\textsuperscript{223} General Shoe Corp. v. Rosen, 111 F.2d 95, 98 (4th Cir.), \textit{reh’g denied}, 112 F.2d 561 (4th Cir. 1940); see also Stix Prods., Inc. v. United Merchants & Mfrs., Inc., 295 F. Supp. 479, 488 (S.D.N.Y. 1968) (“A term is suggestive if it requires imagination, thought and perception to reach a conclusion as to the nature of the goods.”).
Consequently, such a relationship with its goods or services does not render a suggestive word ineligible for protection and, in fact, "suggestive words may be and frequently are very good trademarks."\textsuperscript{224}
\textit{Riverbank Canning}, however, is flatly inconsistent with these fundamental principles of unfair competition law. By providing that an otherwise registrable mark may become unregistrable under Section 2(a) solely through its association with particular goods or services, this approach limits their producers' ability not only to register particular marks but, more importantly, \textit{all} marks communicating information about their businesses. Strictly applied, this analysis would constructively preclude manufacturers of such goods as swingers' newsletters, penis size-increasing devices, and brassieres from using any suggestive or descriptive marks for their wares.\textsuperscript{225}
More importantly, this methodology can prevent registration even of wholly \textit{arbitrary} marks. The lexicographic meaning of the word "doughboy," for example, has no apparent connection to a prophylactic preparation for the prevention of venereal disease. Similarly, the words "Queen Mary" communicate nothing about women's undergarments. As a result, such terms ordinarily would be ideal marks under traditional principles of unfair competition law.\textsuperscript{226} Yet, each was denied registration in \textit{Doughboy}
\begin{quote}
\textsuperscript{224} Continental Scale Corp. v. Weight Watchers Int'l Inc., 517 F.2d 1378, 1380 (C.C.P.A. 1975); \textit{cf. In re Madsen}, 180 U.S.P.Q. (BNA) 334, 335 (T.T.A.B. 1973) (upholding registrability of applicant's mark against an initial Section 2(a) rejection, notwithstanding acknowledgement that "we do not deny that 'WEEK-END SEX' would no doubt bring to mind a magazine dealing with sexual relationships or affairs on weekends").
\textsuperscript{225} \textit{Cf. San Francisco Arts & Athletics, Inc. v. United States Olympic Comm.}, 483 U.S. 522 (1987):
Here, the [defendant] intended, by use of the word "Olympic," to promote a realistic image of homosexual men and women that would help them move into the mainstream of their communities. As Judge Koszinski observed in dissent in the Court of Appeals, just as a jacket reading "I Strongly Resent the Draft" would not have conveyed Cohen's message, so a title such as "The Best and Most Accomplished Amateur Gay Athletes Competition" would not serve as an adequate translation of [defendant's] message. . . . By prohibiting use of the word "Olympic," the [plaintiff] substantially infringes upon the [defendant's] right to communicate ideas.
\textit{Id.} at 569–70 (citation omitted) (Brennan, J., dissenting).
\textsuperscript{226} \textit{See, e.g., Horizon Financial, F.A. v. Horizon Bancorp}, 2 U.S.P.Q.2d (BNA) 1696, 1702 (E.D. Pa. 1987).
Industries\textsuperscript{227} and Martha Maid,\textsuperscript{228} respectively. Riverbank Canning therefore hinders the registration of marks that the remainder of the Act not only permits, but encourages,\textsuperscript{229} thereby flying in the face of the principle that "[e]ach part or section of [the Lanham Act] should be construed in connection with every other part or section so as to produce a harmonious whole, and it is not proper to confine interpretation to the one section to be construed."\textsuperscript{230}
Beyond being inconsistent with the express text of both Section 2(a) and the remainder of the Act, Riverbank Canning therefore unnecessarily erects a substantive barrier to effective competition in certain "politically incorrect" industries that does not exist in others.\textsuperscript{231} Avenues of commercial communication available to such (presumably) innocuous businesses as suntan lotion manufacturers are off limits to those whose wares and services themselves might provoke offense among the general public. In addition to injecting a further level of subjectivity into the registrability inquiry absent from the \textit{per se} test contemplated by Section 2(a)'s express text, this analysis thus applies the Act in a manner in irreconcilable conflict with its underlying purposes of promoting competition and protecting consumers from misinformation.\textsuperscript{232}
\begin{itemize}
\item Doughboy Indus. v. Reese Chem. Corp., 88 U.S.P.Q. (BNA) 227 (T.T.A.B. 1951).
\item Ex parte Martha Maid Mfg. Co., 37 U.S.P.Q. (BNA) 156 (T.T.A.B. 1938).
\item As one court has noted of distinctive marks such as those potentially denied registration under Riverbank Canning because they are descriptive or suggestive, "[e]asily identified trademarks reduce the costs consumers incur in searching for what they desire, and the lower the costs of search the more competitive the market." Scandia Down Corp. v. Euroquilt, Inc., 772 F.2d 1423, 1429 (7th Cir. 1985).
\item In re Nantucket, Inc., 677 F.2d 95, 98 (C.C.P.A. 1982) (citation omitted); see also Kokoszka v. Belford, 417 U.S. 642 (1974):
\begin{quote}
When interpreting a statute, the court will not look merely to a particular clause in which general words may be used, but will take in connection with it the whole statute . . . and the objects and policy of the law, as indicated by its various provisions, and give to it such a construction as will carry into execution the will of the legislature . . .
\end{quote}
\item Id. at 650 (citation omitted).
\item See, e.g., In re Riverbank Canning, 95 F.2d 327, 330 (C.C.P.A. 1938) (Jackson, J., dissenting) ("With respect to some [persons], wine itself is considered a scandalous thing and they would, if they could, not only deny to it a name, but destroy it utterly.").
\item See S. Rep. No. 1333, 79th Cong., 2d Sess. (1946), reprinted in 1946 U.S.C.C.A.N. 1274:
\end{itemize}
Governments, of course, often have legitimate, if not compelling, reasons for discouraging competition in markets for certain goods and services. The appropriate mechanisms for accomplishing this, however, lie outside of content-based applications of trademark law. Thus, for example, express federal prohibitions on the interstate shipment of obscene materials\textsuperscript{233} or state obscenity prosecutions\textsuperscript{234} are each far more likely to bring about a reduction in the number of obscene magazines in circulation than restricting their publishers' access to particular marks.\textsuperscript{235} Likewise, although health concerns may indeed justify the federal government's discouraging the production and sale of multicolored condoms,\textsuperscript{236} proper action should assume the form of FDA regulations narrowly drafted for that purpose, rather than the far more subtle mechanism of denying registration to suggestive marks for these goods\textsuperscript{237} merely because they are, in fact, suggestive.\textsuperscript{238}
Trade-marks, indeed, are the essence of competition, because they make possible a choice between competing articles by enabling the buyer to distinguish one from another. [They] encourage the maintenance of quality by securing to the producer the benefit of the good reputation which excellence creates. To protect [such symbols], therefore, is to protect the public from deceit, to foster fair competition, and to secure to the business community the advantages of reputation and good will by preventing their diversion from those who have created them to those who have not.
\textit{Id.} at 1275.
\textsuperscript{233} \textit{See}, e.g., 18 U.S.C. § 1461 (1988) (criminalizing the mailing of obscene materials); \textit{id.} § 1462 (criminalizing the interstate shipment of obscene materials by common carrier); \textit{id.} § 1465 (criminalizing the interstate shipment of obscene materials for the purpose of sale or distribution).
\textsuperscript{234} \textit{See} Miller v. California, 413 U.S. 15 (1973) (setting forth standard for obscenity).
\textsuperscript{235} As the Board noted in \textit{In re Madsen}, 180 U.S.P.Q. (BNA) 334, 335 (T.T.A.B. 1973), "the question of whether or not the contents of [a] magazine may be pornographic in nature, is not an issue to be decided by this Board. If such were the criterion, many well-known magazines with inoffensive or arbitrary titles might well have been precluded registration in the Patent Office."
\textsuperscript{236} \textit{See} Marylou Tousignant, \textit{Drawing the Line on Patriotic Activity: Distributor Appeals Denial of 'Old Glory' Trademark}, \textit{WASH. POST}, May 21, 1992, at A1.
\textsuperscript{237} In fact, the prophylactics at issue in \textit{Old Glory} were individually packaged (but not multicolored) red, white, and blue condoms. \textit{See id.}
\textsuperscript{238} \textit{Cf.} Anheuser-Busch, Inc. v. L & L Wings, Inc., 962 F.2d 316, 322 (4th Cir.) ("The purpose of the Lanham Act is to eliminate consumer confusion, not to banish all attempts at poking fun or eliciting amusement. The statute is designed to protect consumers from product misinformation, not to deprive the commercial world of all humor and levity." (citation omitted)), \textit{cert. denied}, 113 S. Ct. 206 (1992).
Indeed, that unfair competition law is a wholly inappropriate vehicle for expressing societal opprobrium at particular goods and services is apparent in the holdings of Section 2(a) cases invoking *Riverbank Canning*. Although the need for a thriving market in swingers’ newsletters and penis size-increasing devices may be debatable, the same hardly can be said of underwear and brassieres. Restricting the relevant inquiry to a purely *per se* consideration of the mark itself would avoid imposing competitive penalties on particular industries in the absence of reasoned legislative or administrative findings that such restrictions are necessary—determinations that clearly would not occur for some goods and services particularly suspect under *Riverbank Canning*.
Of equal importance is the fact that, although adoption of the *per se* standard would preclude an innocent mark from becoming impermissibly scandalous, immoral, or disparaging as used, the contrary would not necessarily hold. More specifically, the owner of a patently offensive *per se* mark would not be able to evade Section 2(a) by associating the mark with innocuous goods or services.\(^{239}\) Thus, for example, assuming the correctness of the *Greyhound* Board’s conclusion that a substantial composite of the general public would find scandalous a graphic portrayal of a defecating dog,\(^{240}\) the same graphic portrayal would be no less scandalous if applied to buses. Similarly, the “profane” nature of the BULLSHIT mark at issue in *Tinseltown*\(^{241}\) hardly would have been altered had the goods been fertilizers rather than fashion accessories.\(^{242}\) Limiting Section 2(a) to its express text
\(^{239}\) On this issue, compare Leonard Shapiro, *Native American Coalition Files Action on ‘Redskins’*, WASH. POST, September 11, 1992, at C1, C4 (“Because the word “redskin” has historically and is still commonly used as a pejorative, derogatory term, the . . . registrations of the Washington Redskins should not have been granted and are subject to cancellation.”) with Hadley D. Kress, *Letter to the Editor*, WASH. POST, March 14, 1992, at A22 (“If the Washington Redskins football team was an organization comparable in character to—for example, the Ku Klux Klan—then our Native Americans should well be perturbed. Since the football team is a group of highly competent and generally well behaved athletes, well coached and managed, no persons or group should object to being identified with them.”).
\(^{240}\) Greyhound Corp. v. Both Worlds Inc., 6 U.S.P.Q.2d (BNA) 1635, 1639 (T.T.A.B. 1988).
\(^{241}\) See *In re Tinseltown*, 212 U.S.P.Q. (BNA) 863, 865–66 (T.T.A.B. 1981) (footnote omitted).
\(^{242}\) In other words, although an otherwise acceptable mark would not become unregistrable merely because it was suggestive or descriptive, an otherwise unacceptable mark could not satisfy Section 2(a) by falling into the same categories.
therefore would fulfill its purpose of barring the proscribed matter without unnecessarily subverting the underlying goals of the Act as a whole.\textsuperscript{243}
\textsuperscript{243} Omitting consideration of the goods and services covered by a mark in this manner \textit{does}, of course, leave unresolved the significance of a mark's likely audience when evaluating registrability under Section 2(a). As set forth above, outcome-oriented decisions inconsistently have held in some cases that the nature of certain goods renders marks used for them particularly susceptible to a finding that they are scandalous, immoral, or disparaging, only to gloss over this finding in other cases involving identical goods when necessary to allow registration. \textit{See supra} notes 33–88 and accompanying text. \textit{Compare In re Hershey}, 6 U.S.P.Q.2d (BNA) 1470 (T.T.A.B. 1988) (allowing registration of applicant's mark for use in connection with shirts without consideration of number of people potentially exposed to mark) \textit{with Greyhound Corp. v. Both Worlds Inc.}, 6 U.S.P.Q.2d (BNA) 1635 (T.T.A.B. 1988) (holding potential exposure of applicant's mark for shirts to unlimited number of people to weigh against registrability). There are, however, a number of factors suggesting that a trier of fact should assume that a mark may present itself to the entire populace, including individuals especially prone to being scandalized and disparaged.
First, such a rule is consistent with the standards articulated by the \textit{McGinley} court and the \textit{Greyhound} Board for determining on the merits whether particular marks fall afoul of Section 2(a)'s prohibitions. More specifically, \textit{McGinley}'s equating of "scandal" and "immorality" with offense felt by "a substantial composite of the general public," necessarily requires consideration of the sentiments of the public as a whole. \textit{See In re McGinley}, 660 F.2d 481, 485 (C.C.P.A. 1981). Similarly, \textit{Greyhound}'s "reasonable person" standard for evaluating disparagement also discourages reliance on a single (possibly idiosyncratic) individual's perspective. \textit{See Greyhound}, 6 U.S.P.Q.2d (BNA) at 1639.
Second, marks frequently are viewed by individuals other than those actually contracting for the covered goods and services. Thus, for example, passers-by viewing an infringing mark may be confused as to the origin of the goods to which it is affixed even if the original purchaser was not. \textit{See, e.g., T & T Mfg. Co. v. A.T. Cross Co.}, 449 F. Supp. 813, 820–22 (D.R.I.), \textit{aff'd}, 587 F.2d 533 (1st Cir. 1978), \textit{cert. denied}, 441 U.S. 908 (1979); \textit{see also Mastercrafters Clock & Radio Co. v. Vacheron & Constantin-Le Coultre Watches, Inc.}, 221 F.2d 464, 466 (2d Cir.), \textit{cert. denied}, 350 U.S. 832 (1955); Rolls-Royce Motors Ltd. v. A & A Fiberglass, Inc., 428 F. Supp. 689, 694 n.10 (N.D. Ga. 1977). So too, therefore, are goods bearing allegedly scandalous, immoral, or disparaging marks likely in the long run to present themselves to the easily offended. \textit{See, e.g., McGinley}, 660 F.2d at 487–88:
Unlike the situation in some obscenity cases, the graphic portrayal before us does not appear within the covers of a magazine or a book to be freely examined or ignored by a person knowing the contents. Instead, as a mark, it may be used in a prominent location for public viewing by persons of all ages and convictions. As to appellant's argument that the mark is no more offensive than works of art which are publicly displayed, we
C. Evaluating the Sufficiency of Section 2(a) "Injuries" as Article III Standing
As set forth above, the Board in Bromberg adopted a relatively liberal measure for determining a potential opposer's standing under the interaction of Sections 2(a) and 13. Under Bromberg, standing exists whenever individuals or businesses assert that they "might be offended by a mark which they agree with the board that "as trademarks or service marks, they are not before us for adjudication."
Id.; accord Greyhound, 6 U.S.P.Q.2d (BNA) at 1639 ("[T]he goods are T-Shirts and polo shirts, goods which may be encountered in sales establishments patronized by a wide variety of people of all ages and convictions, or may be worn and seen by people in virtually all public places."). Consequently, restrictions contained in a registration's or application's recitations of goods and services therefore are likely to mean little after the point of sale.
Finally, because one of the primary bases of the federal registration process is that a mark's presence on the Principal Register constitutes nationwide constructive notice of its registration, 15 U.S.C. § 1072 (1988), it follows that constructive offense may result as well. As the Tinseltown Board noted in rejecting that applicant's claim that its goods were sold only to sophisticated consumers, with presumably less delicate sensibilities than the general populace:
Although there appears to be considerable question about what was the underlying motivation behind the § 2(a) prohibition of registration of scandalous and immoral matter, there appears to be no question that Congress has long and consistently expressed its will that such matter not be accorded the statutory benefits of registration on any register within its control. Since these Congressional expressions have always been in reference to national registers of marks, the benefits of which are accorded for all the territory which is subject to the control of Congress, we could not possibly apply a standard of public policy to the question before us which would be limited to a particular stratum of society, defined by its level of "sophistication," or, as others might perceive it, its level of vulgarity.
Tinseltown, 212 U.S.P.Q. (BNA) at 865 (citation and footnote omitted).
244 See supra notes 138-61 and accompanying text.
245 Because Bromberg was an opposition proceeding and because, with the exception of the inartfully pleaded Abraham's Seed v. John One Ten, 1 U.S.P.Q.2d (BNA) 1230 (T.T.A.B. 1986), see supra note 153, there are no reported cancellation actions under Section 2(a), the following sections will, for the sake of convenience, refer to potential challengers to marks' registrability as opposers. Note, however, that the analysis set forth below is equally applicable to the standing requirements for would-be petitioners to cancel. See Lipton Indus., Inc. v. Ralston Purina Co., 670 F.2d 1024, 1028-30 (C.C.P.A. 1982) (standards for satisfying Section 13 and Section 14 are identical).
consider to be scandalous." Whether or not offense sufficient to prevent a mark's registration actually exists is a matter reserved for proof on the merits.\textsuperscript{246}
\textit{Bromberg}'s narrow focus on the existence of mere \textit{statutory} standing, however, does not dispose of the separate and independent inquiry of whether the opposers in that case enjoyed \textit{constitutional} standing to proceed. Although the development and evolution of the doctrine of standing as a constitutionally mandated jurisdictional barrier has hardly produced a cohesive or consistent body of law,\textsuperscript{247} certain governing principles have emerged from the Supreme Court's interpretations of Article III. And it is an application of these principles—an application wholly ignored by the Board in \textit{Sta-Power}, \textit{Greyhound}, and \textit{Bromberg}—that reveals the constitutional infirmity of the \textit{Bromberg} standard.
Under the Court's decisions, litigants must meet three general conditions to fulfill Article III's requirements. The first of these is that the grievant actually must have suffered a distinct and palpable injury.\textsuperscript{248} Second, the grievant must demonstrate that "the interest sought to be protected is arguably within the zone of interests to be protected or regulated by the statute or constitutional
\textsuperscript{246} Bromberg v. Carmel Self Serv., Inc., 198 U.S.P.Q. (BNA) 176, 179 (T.T.A.B. 1978). As the Board itself has characterized this rule, "[t]he requirements for standing in a petition to cancel based on disparagement of beliefs are not very rigorous." \textit{Abraham's Seed}, 1 U.S.P.Q.2d (BNA) at 1232–33.
\textsuperscript{247} \textit{See, e.g.}, Valley Forge Christian College v. Americans United for Separation of Church and State, 454 U.S. 464, 475 (1982) ("We need not mince words when we say that the concept of 'Art. III standing' has not been defined with complete consistency . . . ."); Association of Data Processing Serv. Orgs. v. Camp, 397 U.S. 150, 151 (1970) ("Generalizations about standing to sue are generally worthless as such."); Control Data Corp. v. Baldridge, 655 F.2d 283, 289 (D.C. Cir.) (noting that Supreme Court's constantly evolving test for determining standing "makes application difficult and careful evaluation difficult without some refinement"), \textit{cert. denied}, 454 U.S. 881 (1981); Scanwell Lab. v. Shaffer, 424 F.2d 859, 861 (D.C. Cir. 1970) ("The law of standing as developed by the Supreme Court has become an area of incredible complexity.").
\textsuperscript{248} For varying formulations of this requirement, see, \textit{e.g.}, \textit{Valley Forge}, 454 U.S. at 472 (requiring "actual factual setting in which the litigant asserts a claim of injury of fact"); Village of Arlington Heights v. Metropolitan Hous. Dev. Corp., 429 U.S. 252, 261 (1977) ("[P]laintiff must show that he himself is injured . . . ."); Schlesinger v. Reservists Comm. to Stop the War, 418 U.S. 208, 221 (1974) ("[T]he complaining party [must] have suffered a particular injury caused by the action challenged as unlawful."); \textit{Data Processing}, 397 U.S. at 152 (requiring plaintiff to allege "that the challenged action has caused him injury in fact, economic or otherwise").
guarantee in question." Finally, the grievant must establish a causal relationship between the challenged action and the alleged injury.
Completely ignoring this framework, the Bromberg Board found standing merely on two allegations by the opposers, namely that: (1) the sexually disparaging nature of the mark involved brought women "into contempt and disrepute"; and (2) the mark's registration would lower the standards of the Patent and Trademark Office. Even assuming the correctness of the Board's conclusion that these allegations did, in fact, bring the opposers within the zone of interests protected by Sections 2(a) and 13, however, each of these grounds fails to satisfy the remaining Article III requirements—the first because the injury alleged is nonredressable and the second because it is not a legally cognizable injury.
1. Moral Offense as Redressable Injury Under Article III and Section 2(a)
As a general rule, a would-be plaintiff's generalized moral objections to the government's conduct are insufficient to create standing. In Allen v. Wright, for example, the plaintiffs were parents of black children who alleged that the Internal Revenue Service had failed to deny tax-exempt status to racially discriminatory private schools. The Supreme Court, however, held that the plaintiffs' claim that the regulations subjected them to a stigmatic injury as a class failed to establish their standing. Rather, the Court held, standing could exist only if the plaintiffs had themselves been personally subject to racially
---
249 Data Processing, 397 U.S. at 153.
250 See, e.g., Duke Power Co. v. Carolina Envtl. Study Group, Inc., 438 U.S. 59, 74 (1978) ("The more difficult step in the standing inquiry is establishing that these injuries 'fairly can be traced to the challenged action of the defendant . . . .'" (citation omitted); Simon v. Eastern Ky. Welfare Rights Org., 426 U.S. 26, 45 (1976) (requiring plaintiff to show that the requested relief would "remove the harm"); Warth v. Seldin, 422 U.S. 490, 504 (1975) (requiring "substantial probability" that the challenged action caused the injury complained of); Linda R.S. v. Richard D., 410 U.S. 614, 618 (1973) (declining to recognize plaintiff's standing on the ground that the requested relief's relationship to the alleged injury "can, at best, be termed only speculative").
251 Bromberg v. Carmel Self Serv., Inc., 198 U.S.P.Q. (BNA) 176, 177 (T.T.A.B. 1978).
252 For a discussion of whether the Bromberg opposers did, in fact, fall within the zone of protection afforded by the interaction of Sections 2(a) and 13, see generally Kerry L. Kester, Note, Standing to Oppose Scandalous or Immoral Trademarks, 58 Neb. L. Rev. 249 (1978).
253 468 U.S. 737 (1984).
discriminatory conduct. In the absence of such conduct, “[r]ecognition of standing . . . would transform the federal courts into ‘no more than a vehicle for the vindication of the value interests of concerned bystanders.’”\textsuperscript{254}
The Court since has extended \textit{Allen} to the limits of its logic.\textsuperscript{255} In \textit{Lujan v. Defenders of Wildlife},\textsuperscript{256} the Court denied standing to plaintiffs seeking to enforce a provision of the Endangered Species Act of 1973 requiring consultation among federal agencies for the purpose of protecting endangered species.\textsuperscript{257} In doing so, the Court found significant the fact that the plaintiffs themselves were not the subject of the relevant government action (or, more accurately, \textit{inaction}). Under these circumstances, the Court held, whatever injury the plaintiffs had suffered through the destruction of endangered species was the result of actions of third parties and not those of the government.\textsuperscript{258} Consequently, the plaintiffs faced a strict standard under \textit{Allen}: “[W]hen the plaintiff is not himself the object of the government action or inaction he challenges, standing is not precluded, but is ordinarily ‘substantially more difficult’ to establish.”\textsuperscript{259}
Although the \textit{Lujan} Court’s application of \textit{Allen} arguably might doom claims such as those brought by the \textit{Bromberg} opposers, it did not expressly
\begin{itemize}
\item \textsuperscript{254} \textit{Id.} at 756 (quoting United States v. SCRAP, 412 U.S. 669, 687 (1973)).
\item \textsuperscript{255} \textit{See Benjamin N. Cardozo, The Nature of the Judicial Process} 51 (1921).
\item \textsuperscript{256} 112 S. Ct. 2130 (1992).
\item \textsuperscript{257} \textit{See} 16 U.S.C. § 1536(a)(2) (1988). The suit had its origins in the Department of the Interior’s 1986 reinterpretation of the law that it did not apply to agency actions taken in foreign countries. \textit{See} 51 Fed. Reg. 19,226 (1986) (codified at 50 C.F.R. § 402.01–.02 (1991)).
\item \textsuperscript{258} \textit{See Lujan}, 112 S. Ct. at 2136–40. The plaintiffs alleged, inter alia, that the government’s failure to comply with the statute had resulted in the provision of funds to foreign governments for use in ecologically damaging projects. \textit{Id.} at 2137–38.
\item \textsuperscript{259} \textit{Id.} at 2137 (quoting Allen v. Wright, 468 U.S. 737, 758 (1984)). As the \textit{Lujan} Court explained:
When the suit is one challenging the legality of government action or inaction, the nature and extent of facts that must be averred (at the summary judgment stage) or proved (at the trial stage) in order to establish standing depends considerably upon whether the plaintiff is himself an object of the action (or foregone action) at issue. If he is, there is ordinarily little question that the action or inaction has caused him injury, and that a judgment preventing or requiring the action will redress it. When, however, as in this case, [the] injury arises from the government’s allegedly unlawful regulation (or lack of regulation) of \textit{someone else}, much more is needed.
\textit{Id.}
\end{itemize}
overrule a separate line of cases holding that “[t]he actual or threatened injury required by Art. III may exist solely by virtue of ‘statutes creating legal rights, the invasion of which creates standing.’”\textsuperscript{260} Thus, in \textit{United States Parole Commission v. Geraghty},\textsuperscript{261} the Court held that the Federal Rules of Civil Procedure granted standing to a former federal prisoner challenging the federal Parole Release Guidelines although the plaintiff himself was no longer incarcerated.\textsuperscript{262} Closer to the point, in \textit{Havens Realty Corp. v. Coleman},\textsuperscript{263} the Court held the Fair Housing Act of 1968 to create a statutory right not to be misled about the availability of housing and, accordingly, granted standing to a black professional “tester” who had been subjected to just such treatment.\textsuperscript{264} Consequently, although a claim to offense otherwise might not suffice, Section 13’s grant of standing to potentially “damaged” individuals could encompass psychological injuries such as disparagement. To the extent that these cases survive \textit{Lujan}, the \textit{Bromberg} Board correctly held that the opposers could, at least in theory, claim an injury based on their alleged disparagement.\textsuperscript{265}
Nevertheless, \textit{Bromberg}’s fundamental flaw lies in the Board’s failure even to address, much less resolve, the issue of whether the opposers’ injury could be redressed by the relief sought. Critically, the opposers alleged only that the “obvious double entendre” of the mark brought women into “contempt and disrepute.”\textsuperscript{266} Notably absent, however, was any allegation that the mark’s registration would in any way exacerbate this damage—a demonstration
\begin{itemize}
\item \textsuperscript{260} Havens Realty Corp. v. Coleman, 455 U.S. 363, 373 (1982) (citations omitted).
Note that this point has been accepted even by critics of an expansive standing doctrine. \textit{See, e.g., Lujan}, 112 S. Ct. at 2146–47 (Kennedy, J., concurring) (“Congress has the power to define injuries and articulate chains of causation that will give rise to a case or controversy where none existed before . . . .”); Antonin Scalia, \textit{The Doctrine of Standing as an Essential Element of the Separation of Powers}, 17 \textit{SUFFOLK U. L. REV}. 881, 885 (1983) (“Standing requires . . . the allegation of some particularized injury to the individual plaintiff. But legal injury is by definition no more than the violation of a legal right; and legal rights can be created by the legislature.”).
\item \textsuperscript{261} 445 U.S. 388 (1980).
\item \textsuperscript{262} \textit{Id.} at 390–94, 404.
\item \textsuperscript{263} 455 U.S. 363 (1982).
\item \textsuperscript{264} \textit{Id.} at 371.
\item \textsuperscript{265} Bromberg v. Carmel Self Serv., Inc., 198 U.S.P.Q. (BNA) 176, 179 (T.T.A.B. 1978); \textit{cf. Meese v. Keene}, 481 U.S. 465 (1987) (recognizing, for state senator alleging potential injury to political reputation, standing to challenge provision of Foreign Agents’ Registration Act); Joint Anti-Fascist Refugee Comm’n v. McGrath, 341 U.S. 123 (1951) (holding sufficient for standing purposes allegations of harm to organization’s reputation resulting from listing on official register of subversive organizations).
\item \textsuperscript{266} \textit{Bromberg}, 198 U.S.P.Q. (BNA) at 177.
\end{itemize}
mandated by Section 13. The opposers did not, for instance, claim that affixation of the \(^\circ\) symbol\(^{267}\) would render the mark any more “lewd, lascivious, indecent, obscene, worthless, depraved, chauvinistic, degrading [and lacking] commercial value”\(^{268}\) than it would be in association with an \(^{\text{SM}}\) symbol or in the absence of any other notice of usage as a mark.\(^{269}\) By way of further example, the record was similarly devoid of suggestions that the would-be registrant’s ability to enjoy the constructive notice\(^{270}\) or incontestability\(^{271}\) benefits of registration would subject women to disparagement beyond that triggered by the offending material’s use as a service mark.
These critical omissions distinguish the Bromberg opposers from potential opposers under other subsections of Section 2 and place them within the class of plaintiffs disapproved of by Lujan. For example, as between unregistered users of two confusingly similar marks, the plaintiff bears the burden of
---
\(^{267}\) Under 15 U.S.C. § 1111 (1988), a federal registrant may give notice of that registration by displaying the mark with the \(^\circ\) symbol or, alternatively, with the words “Registered in the U.S. Patent and Trademark Office” or “Reg. U.S. Pat. & Tm. Off.” Failure to affix such notices by a registrant will prevent her from recovering profits and damages in an infringement suit under the Act unless the defendant had actual notice of the mark’s registered status. *Id.* A mark owner’s improper use of these notices prior to issuance of a registration can defeat her right to registration if such misuse was occasioned by an intent to deceive the purchasing public or others into believing the mark was registered. *See generally* Wells Fargo & Co. v. Lundein & Assocs., 20 U.S.P.Q.2d (BNA) 1156 (T.T.A.B. 1991); *see also* Fox-Stanley Photo Prods., Inc. v. Otaguro, 339 F. Supp. 1293 (D. Mass. 1972) (misuse of notice held to constitute unclean hands barring relief).
\(^{268}\) *See Bromberg*, 198 U.S.P.Q. (BNA) at 177.
\(^{269}\) If a mark is not registered, its owner may still use the designations \(^{\text{TM}}\) (for a trademark) or \(^{\text{SM}}\) (for a service mark) as informal quasi-legalistic notices that the word or design in question is, in fact, being used as a mark. Alternatively, he also may follow references to the mark with the word “Brand.” Thus, although the applicant in Bromberg ultimately was denied registration of its mark, *see supra* note 159, this rejection would in no way prevent it from advertising the goods sold in its store as “A BREAST IN THE MOUTH IS WORTH A LEG IN THE HAND Brand Chicken.” *See* 2 McCarthy, *supra* note 16, § 19:55, at 19–251.
\(^{270}\) Section 7(c) of the Act provides for constructive notice of a registered mark, provided that the senior user’s application to register was filed prior to the junior user’s good faith adoption of the mark. 15 U.S.C. § 1057(c) (1988).
\(^{271}\) Pursuant to Section 15 of the Act, a registrant’s right to exclusive use of its mark can become “incontestable” after five years of registration. *See id.* § 1065.
demonstrating superior rights to her mark in an infringement suit.\textsuperscript{272} Under Section 33(a),\textsuperscript{273} however, a federal registrant may rely on the registration as “prima facie evidence” not only of the mark’s validity and her ownership of it, but also of her exclusive right to use the mark on the goods or services covered by the registration.\textsuperscript{274} Similarly, if a registration has become incontestable, it constitutes “conclusive evidence” of the mark’s validity, the registrant’s ownership of it, and her exclusive right to its use.\textsuperscript{275} In either case, registration shifts the burden of proof on these issues from the plaintiff to the defendant, who must introduce sufficient evidence to rebut these presumptions.\textsuperscript{276}
A potential defendant in an infringement suit who opposes the potential plaintiff’s application to register her mark on Section 2(d) grounds therefore faces the real and genuine possibility of suffering damage from the registration itself, rather than the plaintiff’s mere use of the mark \textit{as} a mark. Because the registration allows its owner to exclude all others from the mark’s use,\textsuperscript{277} the
\textsuperscript{272} See, e.g., National Conference of Bar Examiners v. Multistate Legal Studies, Inc., 692 F.2d 478, 488 (7th Cir. 1982), cert. denied sub nom. Multistate Legal Studies, Inc. v. Ladd, 464 U.S. 814 (1983).
\textsuperscript{273} 15 U.S.C. § 1115(a) (1988).
\textsuperscript{274} See generally American Heritage Life Ins. Co. v. Heritage Life Ins. Co., 494 F.2d 3 (5th Cir. 1974):
Under [Section 33(a)], registration is prima facie evidence of the registrant’s ownership of the mark and of the registrant’s exclusive right to use the mark in commerce in connection with the [goods or] services specified in the registration certificate. Thus registration is sufficient to establish prima facie (1) the required prior use (2) of a registrable mark (3) which is likely to be confused with another’s use of the same or similar mark.
\textit{Id.} at 10 (citation omitted). See also Volkswagenwerk Aktiengesellschaft v. Wheeler, 814 F.2d 812, 819–20 (1st Cir. 1987); United States Jaycees v. Philadelphia Jaycees, 639 F.2d 134, 143 (3d Cir. 1981).
\textsuperscript{275} See 15 U.S.C. § 1115(b) (1988).
\textsuperscript{276} See, e.g., Keebler Co. v. Rovira Biscuit Corp., 624 F.2d 366, 373 (1st Cir. 1980); American Heritage Life Ins. Co. v. Heritage Life Ins. Co., 494 F.2d 3, 10 (5th Cir. 1974); Coit Drapery Cleaners, Inc. v. Coit Drapery Cleaners, Inc., 423 F. Supp. 975, 978 (E.D.N.Y 1976); see also Wynn Oil Co. v. Thomas, 839 F.2d 1183, 1190 (1st Cir. 1988). This shift in the burden of proof does not extend to the ultimate issue of whether the defendant’s use of its mark is likely to create confusion. EZ Loader Boat Trailers, Inc. v. Cox Trailers, Inc., 746 F.2d 375, 379 (7th Cir. 1984).
\textsuperscript{277} See, e.g., James Burrough Ltd. v. Sign of Beefeater, Inc., 540 F.2d 266, 273 n.15 (7th Cir. 1976) (“‘Exclusive right to use’ means the right to exclude others from using the registered mark . . . .”) (citation omitted).
subject of the Act's registration provisions is just as much the right of the potential defendant and would-be opposer to its mark as it is the registrant's. As a result, a successful opposition brought under Section 2(d) by a prior user of a confusingly similar mark directly redresses the threatened injury—the specter of unfavorable presumptions at trial.\textsuperscript{278} Such a direct linkage, however, was conspicuously absent from the allegations of standing in \textit{Bromberg} and, more importantly, from the Board's consideration of them.
By neglecting to require this connection, the Board uncharacteristically failed to distinguish between use of words or designs as marks, on the one hand, and their federal registration as such, on the other. To the extent that the words ONLY A BREAST IN THE MOUTH IS BETTER THAN A LEG IN THE HAND, are, in fact, scandalous, immoral, or disparaging, these qualities result from the nature of the phrase itself and not its use as a mark,\textsuperscript{279} much less its federal registration.\textsuperscript{280} Indeed, as a service mark for a restaurant
\textsuperscript{278} See, e.g., Massey Junior College, Inc. v. Fashion Inst. of Technology, 492 F.2d 1399, 1403 n.4 (C.C.P.A. 1974) ("If an opposer sustains his burden of proof regarding the ground of 'likelihood of confusion,' there is an irrebuttable presumption of likelihood of legal confusion to him."); see also Daggett & Ramsdell, Inc. v. Proctor & Gamble Co., 275 F.2d 955, 958–59 (C.C.P.A. 1960).
\textsuperscript{279} At least one Board member has questioned whether an offensive phrase can ever become more offensive merely through its use as an identifier of origin for goods or services. See \textit{In re Hershey}, 6 U.S.P.Q.2d (BNA) 1470, 1472 (T.T.A.B. 1988) (Cissel, Member, concurring) ("To suggest that a significant number of potential purchasers of applicant's [goods] would be offended by applicant's trademark for them is as unfounded as would be the suggestion that a significant portion of the readers of this opinion have been offended by the manner in which the writer is identified above.").
\textsuperscript{280} Indeed, even in \textit{McGinley}, a case upholding a refusal to register under Section 2(a), the court expressly rejected the theory that the act of registration could, in and of itself, create scandal:
The issue is not whether the act of registration would create a scandal insofar as the relationship between the PTO and the public is concerned, but whether the mark comprises scandalous matter based on the ordinary and common meaning of "scandalous." Whether the PTO would be considered to have placed its imprimatur on the mark (the subject of opposing arguments) is not relevant.
\textit{In re McGinley}, 660 F.2d 481, 487 n.13 (C.C.P.A. 1981); see also \textit{In re Old Glory Condom Corp.}, Serial No. 74/004,391, 1993 TTAB LEXIS 3 (T.T.A.B. March 3, 1993):
In this case, as in others where the issue has been whether a mark is scandalous, we have detected an undercurrent of concern that the issuance of a trademark registration for [the] applicant's mark amounts to the awarding of the U.S. Government's
serving fried chicken, the phrase arguably is less offensive and disparaging than it otherwise would be.\textsuperscript{281}
For this reason, one need not question the sincerity of the \textit{Bromberg} opposers' claims of offense to doubt that denying registration would deter the applicant from wreaking further damage on women by continuing to place its mark before the general public.\textsuperscript{282} Applicants denied registration of their marks under Section 2(a) remain free to use them in the marketplace,\textsuperscript{283} and in fact
\begin{quote}
“imprimatur” to the mark. Such a notion is, of course, erroneous. The duty of this Office under the Trademark Act in reviewing applications for registration is nothing more and nothing less than to register those marks that are functioning to identify and distinguish goods and services in the marketplace, as long as those marks do not run afoul of any statutory provision that would prohibit registration. . . . Just as the issuance of a trademark registration by this Office does not amount to a government endorsement of the quality of the goods to which the mark is applied, the act of registration is not a government imprimatur or pronouncement that the mark is a “good” one in an aesthetic, or any analogous, sense.
\textit{Old Glory}, Serial No. 74/004,391, 1993 TTAB LEXIS 3, at *15 n.3; cf. \textit{In re National Distillers and Chem. Corp.}, 297 F.2d 941 (C.C.P.A. 1962):
The purchasing public knows no more about trademark registrations than a man walking down the street in a strange city knows about legal title to the land and buildings he passes. There may be an occasional sign giving notice of ownership, just as an occasional trademark owner will call attention to the fact that he owns it, but it is the exception. What the public knows is the wares and the marks they bear and, perhaps subconsciously, its relationship to them. It is not concerned with legal titles to and registrations of marks.
\textit{National Distillers}, 297 F.2d at 949 (Rich, J., concurring).
\textsuperscript{281} Note, however, this Article’s criticism of this methodology at \textit{supra} notes 206–43 and accompanying text.
\textsuperscript{282} See \textit{National Distillers}, 297 F.2d at 948 (Rich, J., concurring):
The refusal of registration . . . does not serve to protect the public . . . because refusal to register has almost no effect on trademark use, which use always precedes [the] application to register, continues during the prosecution of the application, and usually goes on after registration is finally refused, unless something other than that refusal intervenes to stop such use. . . .
\textit{Id.}
\textsuperscript{283} See, e.g., \textit{McGinley}, 660 F.2d at 484 (“[T]he PTO’s refusal to register [an applicant’s] mark does not affect his right to use it. No conduct is prescribed, and no tangible form of expression is suppressed.”) (citation omitted); \textit{Hershey}, 6 U.S.P.Q.2d (BNA) at 1472 (Cissel, Member, concurring) (“[T]his is not a constitutional issue involving
may still enforce their rights against infringing parties under federal and state law.\textsuperscript{284} Consequently, as with the relief sought in \textit{Lujan}, the application’s rejection on Section 2(a) grounds would in no way directly redress the opposers’ claimed injury; rather, relief would depend on the applicant’s actions following rejection. Thus, the \textit{Bromberg} Board properly should have rejected the opposers’ claims of standing grounded solely on allegations of moral offense.
the right to free speech. Applicant has used and might well continue to use this mark whether or not we find it is entitled to registration under the Lanham Act."); \textit{In re} Tinseltown, 212 U.S.P.Q. (BNA) 863, 865–66 (T.T.A.B. 1981) (applicant’s right to use mark unrelated to refusal to register); \textit{see also} Keebler Co. v. Rovira Biscuit Corp., 624 F.2d 366, 372 (1st Cir. 1980) ("[R]egistration does not create the underlying right in a trademark. That right, which accrues from the use of a particular name or symbol, is essentially a common-law property right and cancellation cannot extinguish a right that federal registration did not confer.") (citation omitted); \textit{cf.} Sambo’s Restaurants, Inc. v. City of Ann Arbor, 663 F.2d 686 (6th Cir. 1981) (holding unconstitutional city’s attempt to bar use of allegedly racially offensive mark).
\textsuperscript{284} Although a refusal to register would prevent the owner of a mark from relying on the evidentiary presumptions afforded to federal registrants, \textit{see supra} notes 272–78 and accompanying text, he still could bring an infringement action under Section 43(a) of the Act, 15 U.S.C. § 1125(a) (1988), or under state law. \textit{See} Boston Professional Hockey Ass’n, Inc. v. Dallas Cap & Emblem Mfg., Inc., 510 F.2d 1004, 1010 (5th Cir.), \textit{cert. denied}, 423 U.S. 868 (1975); \textit{see also} Keebler, 624 F.2d at 372 n.3 ("The Lanham Act does not preempt the states’ ability to recognize and protect trademark rights."). \textit{But see} De Nobili v. Scanda, 198 F. 341, 346 (W.D. Pa. 1912) (declining to enjoin infringement of plaintiff’s mark under common law on ground that "[i]f it could not be registered as a trademark . . . we see no reason why it should be protected as a label"). For a description of options available to an applicant whose mark has been denied registration but who still wishes to give notice to potential infringers of his claim of rights to the mark, \textit{see supra} note 269.
In this connection, the original Restatement of Torts defined "trademark" as "any mark, word, letter, number, design, picture or combination thereof in any form of arrangement, which . . . is adopted and used by a person to denominate goods which he markets, and . . . the use of which . . . is prohibited neither by legislative enactment nor by an otherwise defined public policy." \textsc{Restatement (First) of Torts} § 715 (1938). Such a definition lends itself to the argument that courts should decline to enforce rights to marks consisting of scandalous, immoral, or disparaging matter on the ground that to do so would be contrary to public policy. Rather than merely striking at a mark’s federal registration, this approach would discourage the very use of the offending material as a mark. No court has adopted such a position, however, and in fact the American Law Institute since has abandoned this limitation on what may constitute a protectable mark. \textit{See} \textsc{Restatement (Third) of Unfair Competition} § 9 (Tent. Draft No. 3, March 23, 1990).
2. "Lowering of Governmental Standards" as Cognizable Injury Under Article III and Section 2(a)
If the Board failed to dispose of the *Bromberg* opposers' first claimed basis for standing, so too did it also fail to dismiss the second, namely the allegation that registration of the mark in question would have "unnecessarily lower[ed] the standards of the United States Government."\(^{285}\) For, in contrast to the theory apparently adopted by the *Bromberg* Board, the mere claim that the government has acted inconsistently with a particular standard is insufficient to create standing in the absence of express statutory authorization to the contrary. Thus, in *Allen*,\(^{286}\) the Court rejected the argument that the government's failure to comply with a statutory mandate could, in and of itself, constitute a legally cognizable injury under Article III. Rather, the Court noted, "[t]his Court has repeatedly held that an asserted right to have the Government act in accordance with law is not sufficient, standing alone, to confer jurisdiction on a federal court."\(^{287}\)
Indeed, assuming the absence of a constitutional tort,\(^{288}\) the Court has declined to recognize standing even in cases in which the challenged action is alleged to violate a *constitutional* standard. In *Schlesinger v. Reservists Committee to Stop the War*,\(^{289}\) for example, the Court declined to allow the plaintiffs to proceed in an action under the Constitution's Incompatibility Clause\(^{290}\) seeking to prevent members of Congress from serving in the armed forces.\(^{291}\) Likewise, the Court also has denied standing to plaintiffs alleging that the federal government's transfer of property, without payment, to a religious organization violated the Establishment Clause.\(^{292}\) Simply put, "assertion of a right to a particular kind of Government conduct, which the
\(^{285}\) See Bromberg v. Carmel Self Serv., Inc., 198 U.S.P.Q. (BNA) 176, 177 (T.T.A.B. 1978).
\(^{286}\) Allen v. Wright, 468 U.S. 737 (1984).
\(^{287}\) Id. at 754; accord Whitmore v. Arkansas, 495 U.S. 149, 158–61 (1990).
\(^{288}\) See, e.g., Davis v. Passman, 442 U.S. 228 (1979) (recognizing private cause of action against violation of Fifth Amendment); Bivens v. Six Unknown Named Agents of Fed. Bureau of Narcotics, 403 U.S. 388 (1971) (recognizing private cause of action against violation of Fourth Amendment).
\(^{289}\) 418 U.S. 208 (1974).
\(^{290}\) U.S. CONST. art. I, § 6, cl. 2.
\(^{291}\) *Schlesinger*, 418 U.S. at 214–16.
\(^{292}\) See Valley Forge Christian College v. Americans United for Separation of Church and State, 454 U.S. 464, 488–90 (1982).
Government has violated by acting differently, cannot alone satisfy the requirements of Art. III without draining those requirements of meaning."293
This is not to say, however, that Article III entirely forecloses actions such as that in Bromberg. For example, in enacting other statutes, Congress routinely authorizes "any person" to bring actions against governmental officials for failing to perform nondiscretionary duties294 or to enjoin violations by other citizens.295 To the extent that these provisions can survive Article III scrutiny,296 they confer "automatic standing on any person claiming [their] violation."297 Through such language, "citizens are recruited to serve as private attorneys-general to facilitate enforcement of [legislation] in the face of official inaction,"298 and it certainly would be within congressional power to provide for such a rule under the Lanham Act.299
---
293 Allen v. Wright, 468 U.S. 737, 754 (1984); see also Fairchild v. Hughes, 258 U.S. 126, 129–30 (1922) ("Plaintiff has [asserted] only the right, possessed by every citizen, to require that the Government be administered according to law and that the public moneys be not wasted. Obviously this general right does not entitle a private citizen to institute in the federal courts a suit . . . .").
294 See, e.g., 42 U.S.C. § 7604(a) (1988) (permitting "any person" to commence an action against the EPA Administrator for failure to perform any nondiscretionary duty).
295 See, e.g., id. § 4911 (providing for suits by "any person" under the Noise Control Act); 33 U.S.C. § 1415(g) (1988) (providing for suits by "any person" under the Marine Protection, Research and Sanctuaries Act).
296 See Lujan v. Defenders of Wildlife, 112 S. Ct. 2130, 2142–46 (1992) (invalidating "any person" language of 16 U.S.C. § 1536(a)(2) (1988)).
297 National Wildlife Fed'n v. Coleman, 400 F. Supp. 705, 710 (S.D. Miss. 1975) (interpreting "any person" language of 16 U.S.C. § 1540(g) (1988)), rev'd on other grounds, 529 F.2d 359 (5th Cir.), cert. denied, 429 U.S. 979 (1976).
298 Metropolitan Washington Coalition for Clean Air v. District of Columbia, 511 F.2d 809, 814 & n.26 (D.C. Cir. 1975) (interpreting "any person" language of 42 U.S.C. § 1815h-2(a) (1988)).
299 As amended to encompass such a standard, for example, Section 13(a) of the Lanham Act might read in part as follows (proposed additions are emphasized):
Any person who believes that he would be damaged by the registration of a mark upon the principal register may, upon payment of the prescribed fee, file an opposition in the Patent and Trademark Office, stating the grounds therefor, within thirty days after the publication under subsection (a) of this [Act] of the mark sought to be registered; provided, however, that any person who believes that registration of a mark would be inconsistent with the provisions of sections 2(a)–(c) of this Act may file such an opposition in the absence of a showing that he would be damaged by registration of the mark.
It bears repeating, however, that in passing the Act, Congress adopted a far more restrictive standard limiting standing to those individuals able to claim damage resulting from a mark's registration.\textsuperscript{300} To the extent that the \textit{Bromberg} Board held sufficient for standing purposes the opposers' claims that registration of the mark in question would lower government standards, this holding was therefore in error. Had the Board adequately examined the issue within Article III's well-established framework, it would have realized that litigants suffer no legally cognizable injury when they merely complain about government irregularity,\textsuperscript{301} particularly if they themselves are not the subject of the challenged action.\textsuperscript{302} Claims that the PTO has failed to live up to Section 2's mandates simply fail to create standing in the absence of an otherwise plausible claim of damage resulting from registration of a particular mark.\textsuperscript{303} Therefore, just as the \textit{Bromberg} opposers' claims of disparagement failed to satisfy Article III's mandates for redressability reasons, so too should the Board also have dismissed their "lowering of governmental standards" theory for failure to allege a cognizable injury.\textsuperscript{304}
\textbf{3. Standing to Challenge Registration of Scandalous, Immoral, and Disparaging Marks: A Final Note}
Declining to recognize the plaintiff's standing in \textit{United States v. Richardson},\textsuperscript{305} Chief Justice Burger acknowledged that "if respondent is not
\begin{itemize}
\item[14] U.S.C. § 1063(a) (1988). Similar language, of course, might be added to Section 14 to allow for petitions to cancel existing registrations.
\item[300] See Montclair v. Ramsdell, 107 U.S. 147, 152 (1883) ("It is the duty of the court to give effect, if possible, to every clause and word of a statute . . . ."); In re Nantucket, Inc., 677 F.2d 95, 98 (C.C.P.A. 1982) ("[A] legislature is presumed to have used no superfluous words."); accord United States v. Menasche, 348 U.S. 528, 538–39 (1955); Platt v. Union Pacific R.R. Co., 99 U.S. 48, 58 (1878).
\item[301] Gene R. Nichol, Jr., \textit{Rethinking Standing}, 72 CAL. L. REV. 68, 76 (1984).
\item[302] Lujan v. Defenders of Wildlife, 112 S. Ct. 2130, 2137 (1992).
\item[303] See McKesson & Robbins, Inc. v. Isenberg, 167 F.2d 510, 512 (C.C.P.A. 1948).
\item[304] As pointed out at \textit{supra} notes 166–70 and accompanying text, recent changes in congressional funding of the PTO's operations have created a situation in which the PTO's opposition to, rather than approval of, the registration of a particular mark is more likely to result in the expenditure of federal funds. If, in light of these changes, a mark's registration is viewed as agency \textit{inaction} rather than agency action, then the burden on a would-be opposer or petitioner under Section 2(a), who otherwise would be unaffected by the PTO's decision, may be even greater. See Heckler v. Chaney, 470 U.S. 821, 832 (1985) (holding agency \textit{inaction}, unlike agency action, presumed immune from judicial review).
\item[305] 418 U.S. 166 (1974).
\end{itemize}
permitted to litigate this issue, no one can do so."306 A correct application of Article III's mandates, of course, need not necessarily reach this extreme result, as potential opposers or petitioners for cancellation could still challenge registration of particular marks under Section 2(a) after establishing their standing under other sections of the Act. Thus, for example, the arguments advanced above would not foreclose the result in Greyhound, in which the opposer also alleged a likelihood of confusion between its and the applicant's marks under Section 2(d).307
Nevertheless, a proper application of standing doctrine to the Act as currently formulated308 would limit greatly the ability of individuals lacking alternative statutory grounds to contest a registration merely by alleging that the mark itself is scandalous, immoral, or disparaging. Allowing such plaintiffs confuses the relationship between constitutional and statutory standing requirements by allowing a determination on the merits that a mark is unregistrable to subsume entirely the separate constitutional issue of whether the challenging party would suffer a cognizable and redressable injury upon its registration. However distasteful the results may be in cases in which an offensive mark receives administrative approval for registration, the last guardians of the purity of the Register under the current reading of the Act properly are the Examining Attorneys charged with enforcement of its prohibitions.309
306 Id. at 179.
307 See supra notes 152–53 and accompanying text.
308 See supra notes 295–99 and accompanying text.
309 This approach is consistent with the historical treatment of parties lacking an interest in a mark's registration who nevertheless seek to oppose it under provisions of the Act other than Section 2(a). As the Court of Customs and Patent Appeals has noted in dismissing a challenge to the registration of an allegedly descriptive mark under Section 2(e)'s predecessor brought by a company not engaged in the sale of goods identical or similar to those of the applicant:
[I]n the ex parte consideration of the right of an applicant to register his mark, it is the Commissioner of Patents and not the opposer who represents the public and his decision is final so far as the opposer is concerned. Therefore, appellant here cannot invoke error on the part of the tribunals of the Patent Office in its not ruling that the interest of the public at large requires rejection of the application for registration based on descriptiveness.
McKesson & Robbins, Inc. v. Isenberg, 167 F.2d 510, 512 (C.C.P.A. 1948).
Note that this approach also is consistent with the Lujan Court's view of the separation of powers. See Lujan v. Defenders of Wildlife, 112 S. Ct. 2130, 2142–43 (1992) (holding
Of equal importance, to conclude that the public does not have general standing to challenge registration of scandalous, immoral, or disparaging marks—at least under the theories recognized by the Bromberg Board—does not necessarily render the general morality wholly lacking in weapons. Indeed, it is the public as a whole, rather than would-be opposers or petitioners to cancel, that enjoys the most effective safeguard of all against use of scandalous, immoral, or disparaging material as marks, namely its buying power. Instead of striking at a particular mark's registration, an action unlikely to hinder significantly the mark's appearance in the marketplace, a lack of consumer interest will inevitably bring about its abandonment as a whole, a goal that likely was the Bromberg opposers' true aim. Left to the market, investment in marks that are genuinely offensive to a "substantial composite of the general public" likely will generate insufficient returns to warrant their continued use. Thus, for example, the arguably scandalous COCA-COLA trademark
vindication of the public interest to be the function of the Congress and the Chief Executive and that to allow that interest to be converted into an individual right by a statute would transfer from the President to the courts the Chief Executive's constitutional duty to take care that the laws be faithfully executed).
310 See supra notes 269, 282.
311 To the extent that it has addressed the issue, the full Board has resisted applicants' efforts to equate popularity of marks with registrability under Section 2(a). See, e.g., In re Tinseltown, 212 U.S.P.Q. (BNA) 863, 865 (T.T.A.B. 1981) ("[T]he fact . . . that the public can judge the mark's propriety in the marketplace [is] wholly irrelevant to the issue before us."). This view, however, is not universally held. Rather, as one Board member has observed of the relationship between public acceptance of the BIG PECKER BRAND mark and its allegedly scandalous nature:
Applicant apparently enjoys a reasonable business in selling its goods under this mark. If the double entendre were in fact objectionable, why is it that business has developed to the point where the mark is worth the effort and expense of protecting it with registration? If it were actually so offensive, people simply would not purchase products bearing it.
In re Hershey, 6 U.S.P.Q.2d (BNA) 1470, 1473 (T.T.A.B. 1988) (Cissel, Member, concurring); see also In re Riverbank Canning Co., 95 F.2d 327, 330 (C.C.P.A. 1938) (Jackson, J., dissenting) ("If the use of the trademark "Madonna," as applied to the goods and articles mentioned, gave offense or scandal, it seems to me it would be noised about and probably these articles would have but scanty sale.").
312 See Sambo's of Ohio, Inc. v. City Council, 466 F. Supp. 177 (N.D. Ohio 1979):
One of the basic premises of advertising is that if it is too offensive to too many people, its use will be counterproductive, for those who are offended will not only refuse to buy
for a beverage once rumored to have contained cocaine has survived, but the grotesque racial caricatures popular at the turn of the century have not.\textsuperscript{313} To the extent that the public demands protection from exposure to offensive words, phrases, or designs as marks, therefore, such a shield is available with or without the intervention of the courts and PTO.\textsuperscript{314}
\textit{Id.} at 180. Note that the subsequent history of the SAMBO'S mark itself ultimately validated this observation. Notwithstanding the success of the Sambo's restaurant chain in combatting the efforts of various localities to ban the mark's use altogether in the 1970s, \textit{see supra} notes 192-95 and accompanying text, it eventually succumbed to commercial pressure by beginning to rename its stores "No Place Like Sam's" before going into bankruptcy in 1981. \textit{See} Douglas C. McGill, \textit{Colgate to Rename a Toothpaste}, N.Y. \textit{Times}, Jan. 27, 1989, at D1.
\textsuperscript{312} \textit{See generally} HAL MORGAN, \textit{SYMBOLS OF AMERICA} 52-63 (1986). Needless to say, these market forces also apply to marks other than those falling within the scope of Section 2(a). For example, although the Quaker Oats Company has deemphasized the most egregious of the black "mammy" characteristics of its Aunt Jemima trademark, so too has General Mills routinely updated the portrait appearing on its Betty Crocker baking mixes. \textit{See id.} at 55, 126.
\textsuperscript{314} This shield, of course, is hardly foolproof, particularly when allegedly disparaging marks are concerned. Thus, for example, although the disparagement felt by Native Americans at the use by professional and collegiate sports teams of such marks as REDSKINS, CHIEFS, INDIANS, and BRAVES is well documented, reliance on public outrage to force abandonment of the marks has been notably unsuccessful. \textit{Compare} Leonard Shapiro, \textit{Offensive Penalty is Called on 'Redskins': Native Americans Protest the Name}, WASH. \textit{Post}, Nov. 3, 1991, at D1 (documenting Native American protests) \textit{with} Richard Morin, 'America's Team' Has a New Home: Washington, WASH. \textit{Post}, Jan. 17, 1992, at G1, G7 (describing survey finding that 89% of respondents supported continued use of "Washington Redskins"). Consequently, relief through market forces from the use of marks disparaging to minorities is far less likely than from their scandalous or immoral counterparts. Note that doubtless because of frustration over this lack of concern in the general population, a coalition of Native American groups has petitioned to cancel registrations of the REDSKINS mark owned by the Washington Redskins. \textit{See} Glenn Sheeley, \textit{Native Americans focus on Redskins}, ATLANTA \textit{Constitution}, Sept. 11, 1992, at E2. This (unfortunate) lack of public sensitivity, however, does not warrant reading into Sections 2(a), 13, and 14—not to mention Article III—language that is clearly absent from their texts.
V. CONCLUSION
Although it may be true generally, as Justice Harlan once observed, that "one man's vulgarity is another's lyric,"\textsuperscript{315} this rule carries reduced weight in evaluations of registrability under Section 2(a) of the Lanham Act. Indeed, as \textit{In re Runsdorf} demonstrates, a finding that a mark is comprised of vulgar matter likely will prove fatal to its owner's chances ever of enjoying the benefits afforded to federal registrants.\textsuperscript{316}
Whether a mark is in fact "vulgar" or, for that matter, "scandalous," "immoral," "disparaging," "profane," "offensive," "lacking in taste," or "shocking to the sense of propriety" is, of course, an inherently subjective judgment and one that defies prediction. Thus, for example, it is difficult to draw principled distinctions between the design mark reproduced below on the left, which was denied registration on Section 2(a) grounds,\textsuperscript{317} and that on the right, whose registration the PTO duly approved\textsuperscript{318}:
For this reason, this Article's purpose has not been to comment on the ultimate outcomes of particular cases arising under Section 2(a). Nor has it had as a goal the questioning of congressional wisdom in including purely content-based provisions such as Section 2(a) within the Lanham Act in the first place. The Article has, however, sought to suggest that the PTO, the Board, and the courts alike have allowed the often prurient or humorous subject matter of Section 2(a) disputes to obscure fundamental questions surrounding the proper
\textsuperscript{315} Cohen v. California, 403 U.S. 15, 25 (1971).
\textsuperscript{316} See supra notes 120–21 and accompanying text.
\textsuperscript{317} See Greyhound Corp. v. Both Worlds Inc., 6 U.S.P.Q.2d (BNA) 1635, 1636 (T.T.A.B. 1988).
\textsuperscript{318} See OFFICIAL GAZETTE, supra note 136, at TM 68.
interpretation of this provision. In particular, the Article has identified three areas in which the doctrinal framework used to evaluate registrability suffers from critical deficiencies that render it incompatible not only with the express text of Section 2(a), but also with the Constitution itself.
It is, of course, true that the interpretations of the Lanham Act advanced by this Article likely would have the incidental effect of allowing the registration of marks that are otherwise currently ineligible. Indeed, this Article has argued that a refusal to register marks other than those falling into categories of subject matter that the government has a compelling interest in prohibiting altogether is irreconcilable with the First Amendment. Nevertheless, the specter of MADONNA brand wine—whether on the Principal Register or in the nation’s supermarkets—does not obviate the reexamination of Section 2(a) necessary to insure that the Constitution and the underlying policies of the Lanham Act, no less than the public morality, remain safe from violation. |
The Australian Museum Magazine
Vol. X, No. 8
Price—TWO SHILLINGS
Parma Pademelon or White-throated Scrub-Wallaby.
Registered at the General Post Office, Sydney, for transmission by post as a periodical.
THE AUSTRALIAN MUSEUM
HYDE PARK, SYDNEY
BOARD OF TRUSTEES
PRESIDENT:
H. B. MATHEWS, B.A.
CROWN TRUSTEE:
H. B. MATHEWS, B.A.
OFFICIAL TRUSTEES:
THE HON. THE CHIEF JUSTICE.
THE HON. THE PRESIDENT OF THE LEGISLATIVE COUNCIL.
THE HON. THE COLONIAL SECRETARY.
THE HON. THE ATTORNEY GENERAL.
THE HON. THE COLONIAL TREASURER.
THE HON. THE SECRETARY FOR PUBLIC WORKS.
THE HON. THE MINISTER OF PUBLIC INSTRUCTION.
THE AUDITOR-GENERAL.
THE PRESIDENT OF THE NEW SOUTH WALES MEDICAL BOARD.
THE SURVEYOR-GENERAL AND CHIEF SURVEYOR.
THE CROWN SOLICITOR.
ELECTIVE TRUSTEES:
PROF. A. N. St. G. BURKITT, M.B., B.Sc. R. J. NOBLE, M.Sc., B.Sc. (Agr.), Ph.D.
FRANK B. SPENCER. E. J. KENNY, M.Aust. I.M.M.
O. G. VICKERY, B.E., M.I.E. (Aust.). F. L. S. BELL, M.A., F.R.A.I.
WALLACE C. WURTH, C.M.G., LL.B. FRANK W. HILL.
PROF. A. P. ELKIN, M.A., Ph.D. G. A. JOHNSON.
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DIRECTOR:
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SCIENTIFIC STAFF:
Birds, Reptiles and Amphibians: J. R. KINGHORN, C.M.Z.S., Curator; J. A. KEAST, B.Sc., Assistant Curator.
Mammals and Skeletons: E. Le G. TROUGHTON, F.R.Z.S., C.M.Z.S., Curator.
Fishes: G. P. WHITLEY, F.R.Z.S., Curator.
Insects and Arachnids: A. MUSGRAVE, F.R.Z.S., F.R.E.S., Curator; K. C. McKEOWN, F.R.Z.S., Assistant Curator.
Molluscs: JOYCE ALLAN, F.R.Z.S., Curator.
Crustacea and Other Groups: F. A. McNEILL, Curator; ELIZABETH C. POPE, M.Sc., Assistant Curator.
Minerals and Rocks: R. O. CHALMERS, A.S.T.C., Curator; J. F. LOVERING, B.Sc., Assistant Curator.
Fossils: H. O. FLETCHER, Curator.
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THE AUSTRALIAN MUSEUM MAGAZINE
Curious Flatheads .......................................................... Frontispiece
Christmas Beetles—Keith C. McKeown ................................. 241
Flatheads—G. P. Whitley ..................................................... 244
Aboriginal Rain-makers and Their Ways, Part I—Frederick D. McCarthy 249
An Insect Calendar, Part II—A. Musgrave ............................... 252
The Kangaroo Family—The Pademelons or Scrub-Wallabies, Part II—Ellis Troughton, F.R.Z.S., C.M.Z.S. ...................... 261
A Marine Curiosity—K. H. Barnard, D.Sc., F.L.S. ................... 265
The Snowy Mountains of New South Wales, Part I—H. O. Fletcher 266
Te Baitari—An Edible Jellyfish from Tarawa—Elizabeth C. Pope, M.Sc. 270
Reviews ............................................................................ 260, 272
(Photography, unless otherwise stated, is by Howard Hughes.)
OUR FRONT COVER. This original illustration of the rare Parma Pademelon or White-throated Scrub-Wallaby is from the second volume of John Gould's *Mammals of Australia*. According to that great naturalist, about 1856 the beautifully coloured wallaby was so plentiful in the Illawarra scrubs south of Sydney that it was hunted by the aborigines who named it "parma". Its extinction owing to spread of settlement, and the fox, stresses the vital need for protection and sanctuaries for the marsupial fauna.
VOLUME X, NUMBER 8. DECEMBER 15, 1951.
Curious Flatheads trawled in Queensland.
Above (with top of head shown to the left): The Ghost Flathead, *Oplichthys ogilbyi*, from 73 fathoms off Cape Moreton, showing the bony bucklers along side of body and the feeler-like rays below the pectoral fin. Below (top of head to the right): The elongate *Elates thompsoni*, from about 20 fathoms off Pine Peak; this kind has a single slender preopercular spine on each side of the head and thread-like tail-filament.
[See article on page 244.]
A. R. McCulloch, d.c.l.
Christmas Beetles
By KEITH C. McKEOWN
The coming of the Australian summer awakens memories of long, hot days in the bush, of brilliant sunshine and the blended aromatic scents of varied trees and shrubs, and of whirling swarms of large, iridescent beetles about the tops of the eucalypt saplings. These insects are the so-called "Christmas Beetles". The name is apt for, although they are numerous in the bush throughout most of the summer months, the beetles seem to reach a triumphant climax in their activities round the festive season. No one species alone receives the popular designation, but a number of different kinds collectively share the name of "Christmas Beetle"; all, however, belong to the genus *Anoplognathus* of the family Scarabaeidae. The popular name is so firmly established that one suspects that its beginning may lie with the early settlers in Australia, but the only references I have been able to find concerning it are of comparatively recent origin.
In spite of their large size and conspicuous coloration, and the popular interest they arouse, surprisingly little is known concerning the details of their life-history, and much of our "knowledge" of them seems to be based largely on supposition. Confirmation by direct observation is needed on many aspects of their lives.
The eggs, comparatively large in size, are deposited in the soil, the female beetle crawling down among the tangled grass-stems to perform the operation by means of her stout ovipositor, or egg-placer.
The little larvae, or "grubs", on hatching from the eggs, lose no time in working their way downwards in the soil until the sweet, sappy grass-roots are reached, for the larvae are root-feeders. It is possible that the larvae of some species, and under certain conditions, may feed upon decaying vegetable matter in the soil. The larvae of Christmas Beetles are white, fleshy, and tightly curled, head and tail close together, and are consequently called "curl-grubs". These curl-grubs are frequently turned up by the spade in gardens, and are valued by fishermen as an attractive bait to lure their victims to destruction. Not all such curl-grubs are the offspring of Christmas Beetles, for the form is typical of the larvae of most members of the great family Scarabaeidae, of which the habits of many are very similar, though the adult beetles themselves may be dull and inconspicuous.
When fully fed, the larva constructs a rounded cell some inches below the surface of the ground, and in this secure
refuge it changes into the pupa or chrysalis from which the adult insect will emerge the following summer.
As the sun warms the soil, the perfect insect, stirred into activity by the increasing temperature, emerges from its pupal skin and digs its way upwards through the soil to the sunshine above. It sometimes happens that the insect's resurrection may be postponed; it may remain, although its transformation is complete, for some time, possibly weeks, still sealed within its earthen cell. This deferment of the beetle's adult activities may be caused by climatic conditions falling short of the perfection required by the beetle. The full period occupied in the insect's transformations and life-history may be long. It is, at least, safe to assume a period of about twelve months from the laying of the egg to the emergence of the perfect beetle. It is quite possible, however, although confirmation of this is lacking, that, should weather conditions prove unfavourable, the life-cycle may extend over two years.
On emerging from the soil, the beetles ascend to the foliage of the trees to feed and mate, or fly on resonantly buzzing wings in a wild saturnalia about the tree-tops.
In feeding, the beetles cluster thickly upon the foliage, often piled one upon the other upon some particularly succulent growth. Clinging to the edge of a leaf, the insect rapidly bites away the leaf-tissue with its powerful jaws, soon cutting deep and jagged indentations in the green leaf, and often stripping it completely, the mid-rib only remaining. It does not take long for a large swarm of these beetles completely to defoliate a bushy eucalypt. I have watched these insects so engaged, their activities divided between the delights of love and of the table, on the Tuross River, New South Wales, where, on the trees overhanging the river, the precarious clusters would lose their footing, or hungry jaws inadvertently sever the leaf-stalk, to precipitate all into the water below, where they soon fell a prey to the voracious Brown and Rainbow Trout, which took full advantage of such a lavish banquet. Often the fish would be so replete that nothing would entice them from the depths of the stream to accept so much as one more insect. They lay on the stream-bed content to let the world go by.
Some years ago, large areas of eucalypts in the Australian Capital Territory were defoliated by what were possibly Christmas Beetles in conjunction with the smaller, allied brown beetles of the genus *Liparetrus*. Of the defoliation by *Liparetrus* there was no doubt. The harmless possum was blamed for the destruction, but the injury to the leaves was entirely typical of the feeding methods of Scarabaeid beetles, and impossible of accomplishment by the teeth and jaws of the mammal. It was, however, possible that the possum with its mixed diet, might have accomplished some little in the reduction of the insect swarms by eating some of the leaf-eating beetles.
Apart from the activities of the possum or Phalanger, the Christmas Beetles have many enemies; most of the larger birds feed readily upon them and do not fail to take advantage of the lavish feast provided when the insects are swarming. Scoliid wasps parasitize the curl-grubs, although the extent of this control is uncertain, and has been in the past possibly exaggerated.
One species of *Anoplognathus* has proved itself a serious pest to the strawberry grower; this is *Anoplognathus porosus* Dalm., an insect measuring about an inch in length, of a general yellowish-brown
with opalescent tints, and the wing-covers (elytra) marked with irregular longitudinal broken lines of dark-brown or blackish pits. The under-surface and legs are a shining coppery-red. The larva has acquired a taste for strawberry roots, and may cause much damage in its subterranean operations. It is possible that there may be two generations in the season, as larvae of different sizes may be found at one time.
The largest and most striking of all our Christmas Beetles is *Anoplognathus viridicenus* Don., which measures about one and a half inches in length and is of a glorious metallic green, while the under-surface is a deep metallic green lightly clothed with grey hairs; it is indeed a beautiful insect! The full-grown larva is about two inches in length, dull creamy-white with the head reddish-brown. The pupa, measuring about one and a half inches long, is a dark ochre-yellow, becoming a dull bronze-green shortly before the perfect insect emerges. This species is sometimes referred to as the "King Beetle", but that name is shared by the long-jawed green Stag Beetle (*Lamprima latreillei* Macleayi). The adult beetles sometimes attack the foliage of the introduced Pepper or "Pepperina" tree (*Schinus molle*) and the cultivated apricot.
*Anoplognathus boisduvali* Bois, somewhat closely resembles *A. porosus* in colour and general appearance, but the dark, depressed lines on the elytra are, to the unaided eye, continuous and not broken as in that species. It is commonly found in Queensland, where it is a pest of sugar cane.
Among so many beautiful insects it is difficult to select a few only for special mention, but attention must be given to *A. velutinus* Bois., a widely distributed species, which, although a nut-brown in colour without metallic tints, is remarkable in having the elytra clothed sparsely with tufts of stout white hairs. There are three striking varieties of *A. smaragdinus* Ohaus from North Queensland; a rich, soft green, blue, and a bright reddish hue. *A. viriditarsis* Leach, another very plentiful species, is brown with a rich metallic green gloss; the legs are yellowish, and the tarsi (feet) greenish-black. It has been recorded as attacking the foliage of a number of different kinds of cultivated fruit-trees.
As a group there are few more striking Australian insects than the Christmas Beetles, both on account of their size and brilliant, jewel-like coloration, which seldom fail to excite popular admiration.
We are so accustomed in Australia to seeing flathead offered for sale in the fish shops that we may not realize how unique we are in enjoying such quantities of this easily recognized type of fish. There are, for example, no flathead in New Zealand fisheries; tropical flathead form a very minor proportion of the food of Indonesians and South Sea Islanders, and they are not plentiful enough in other countries for a special fishery. To visitors from overseas, the long, brown fishes with the broad, flattened heads appear strange, but they are soon convinced of their good edible qualities when they taste the flakes of white flesh, so easily detached from the bones. Flathead represent a considerable proportion of Australian fisheries, millions of pounds being caught annually, mainly by trawling, but also by lines and inshore netting. All are marine, existing in various depths from shallow to very deep water.
There are many kinds of flathead but all of them have a very depressed head, much broader than it is deep, with extensive gill-slits, and the body is nearly always scaly. The dragonets or stink fishes (of the family Callionymidae) are sometimes confused with flathead, but they have very small, almost pore-like, gill-openings and their bodies are covered by a naked skin. Flatheads belong to the Order of the Mail-cheeked fishes (Scleroparei) which includes the Rock Cods, Butterfly Cods, Gurnards, Stonefishes and other oddities, but they are separated as two families, the common Platycephalidae or ordinary flatheads with scales, and the Ophichthyidae or rare deep-sea Ghost Flatheads, with their skins unscaled except for a row of bony bucklers along the middle of each side. The former family is divided into several subfamilies and there are numerous genera and many species, nearly forty different kinds being recorded from Australia alone.
No fossil flatheads are known, and these fishes have probably evolved in fairly recent epochs from at least three different stocks of rock-cod-like or even gurnard-like ancestors. Essentially they are bottom-dwelling fishes, often burying in sand, with which their colours harmonize. The eyes are large and though they have no eyelids, there is generally a fringe-like lappet on the upper rim of the cornea or else a tassel-like tentacle (cirrhus) over the eye to afford some shade or render the eye less conspicuous. On each side of the head, at the corner of the preoperculum, are two sharp spikes with which a struggling flathead can inflict a severe cut, but the spines are not venomous. The lower jaw projects in front of the upper lip so that the capacious mouth, with its rows of fine sharp teeth, is directed slightly upwards. Flathead frequently leave the bottom to seek food in mid-water. Any length over 3 feet is unusually large for a flathead, most of them being between 1 and 2 feet long, but *Planiprora fusca*, the Dusky Flathead, is said to grow to 4 feet in length and about 32 pounds in weight. Some flatheads have conspicuously marked tail fins and these, when unfolded, probably act as signals or recognition marks against the murky background as the fish lie (like flounders, stingrays, and stonelifters) flat on the bottom. These marks may be merely dusky or
nondescript, but some species have a sort of broad arrow, others giraffe-like spots, or dark spots above and below an unspotted area, or a series of tapering or curved black stripes on the tail-fin, which is usually blunt or convex at its margin, rarely pointed or concave, or with a filament. The main characters for separating the species are the nature of the ridges on the head, the relative sizes of the preopercular spines, the teeth, the numbers of fin-rays and scales, the proportions and the colouring, all of which should be carefully noted.
Linnaeus in 1758 described the first species as a kind of dragonet, which he called *Callionymus indicus* but a later worker, Bloch, in 1795, provided the separate genus *Platycephalus* we now use for this Asiatic species and its allies.
*Platycephalus* means a flat head and so does "Planocephalus," a name invented for a Tasmanian species by William Anderson, in January, 1777; he was one of the naturalists with Cook's Third Voyage, and his unpublished Latin descriptions I have studied in the British Museum (Natural History) Library. His was the first recorded account of an Australian flathead and Anderson thought his "Planocephalus" was like a pike, but with the nature of the slimy, bottom-living flounder.
Sydney Parkinson, another of Cook's naturalists, had earlier drawn a Tahitian flathead, *Cottus otaheitensis*, and Forskal, in 1775, discovered *Cottus insidiator* in the Red Sea and I have seen his actual specimen preserved in Copenhagen, Denmark.
The aborigines must have had special names for flathead but I have found only a few records, and no folklore, so far, thus: Governor Hunter, in 1793, noted "Paddewah, a fish called a flathead" in New South Wales; J. Neill in the 1840's mentioned Cumbel or Cumle from King George's Sound, Western Australia; and the native name Wirra-magoora is still used by some Sydney fishermen for the Rock Flathead *Thysanophrys cirronasus*.
Rough-headed Insidiators from Indonesia which extend into tropical Australian seas. *Above* (with top of head on left): *Repotrudis macracanthus*, with very long preopercular spines; and *below* (with top of head on the right): *Rogadius pristiger*, which has a forwardly directed spine below the head.
After P. Bleeker.
A large-eyed, fairly cylindrical, tropical Flathead, *Levanaura isacanthus*, from Macao; the same species has been recorded from the Northern Territory.
After H. E. Sauvage.
Studies by Dakin, Colefax, and the fisheries scientists of the Commonwealth Scientific and Industrial Research Organization have shown that, judging from the rings on the otoliths (earbones), the Tiger Flathead grows to a length of about 6 inches in its first year and to about 10, 13 and 15 inches in its second, third and fourth years. The fishery depends on the third and fourth year-groups. The Tiger Flathead is believed not to exceed eight years in age and it very rarely reaches 2 feet in length. The food consists of fish, mainly "flathead food", *Apogonops*, and crustacea, particularly *Nyctiphantes*. Many thousands of flathead have been measured by investigators and some have been tagged and liberated in hopes of their being recaptured and remeasured to gain some idea of their migrations (which are evidently not extensive) and growth-rate.
Further south, in Victoria and South Australia, is the closely related King Flathead (*Neoplatycephalus speculator*). Although not yet specifically recorded from that State, this fish occurs in abundance in Tasmania whence the Museum has a specimen from Wineglass Bay. It grows to at least 2 feet long.
A few of the more distinctive other Australian flatheads may be mentioned.
The Smooth Flathead, known to Victorians as the Port Albert or Rock Flathead, "Blacks", Grassy or Marbled-bellied Flathead (*Leviprora lacvigata*) has a rather rounded head without distinct bony ridges on the top and the eyes are large and closer together than in other flatheads. Its rounder form suggests that it may be a primitive type nearer the ancestral "rock eel" form from which some flatheads
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1Larvae only about $\frac{1}{4}$ in. long, of another species of flathead were discovered by the *Terra Nova* expedition in Melbourne Harbour in October, 1910, and one was illustrated by Regan in the *Terra Nova* Natural History Report, Zool. i, 4, 1916, p. 146, pl. x, fig. 4.
seem to have evolved. It is a very dark, almost blackish fish, the dark dorsal colour being broken up along the sides by dark blotches on the white ground-colour.
At Esperance, W.A., a close relative, *L. inops*, is called the Weed or Crocodile Flathead, and I have seen there a "tortoiseshell" colour variety. There are several varieties from our southern coastlines, up to 20 inches long.
The Long-spined Flathead, *Longitodus longispinis*, is the "Spikey" of New South Wales, so called because one of the preopercular spines is much longer than the other. It can inflict a severe cut, or can damage a net, with these spines. It has been caught in Queensland, Western Australia and New South Wales by line, or trawled down to about 50 fathoms, and grows to about 13 inches.
The Dusky or Mud Flathead, *Planiprora fusca*, is the largest of all, growing to 4 feet, though usually taken at less than half that size. These bury themselves in mud when disturbed and young ones are found in rivers such as the Parramatta.
There are several related species, the Marbled, *P. marmorata*, the Ashy, *P. cinerea*, and the Western Australian Sand Flathead, *P. melsoni=castelnaui*, the latter being shown at the head of this article.
Coming to the typical genus *Platycephalus* we find in tropical Australia the classic *indicus* of Linnaeus coming down to Shark's Bay in the west and Moreton Bay in the east.
In various waters of Australia there are also about half a dozen so-called species of *Platycephalus* of whose status we are not sure. For example, I have made two unsuccessful trips to Queensland to try and catch *P. mortoni*, a species described in 1883 from the lower Burdekin River and not represented in any Museum collection so far searched. The Department of Harbours and Marine, Brisbane, is kindly co-operating in supplying many kinds of Queensland flatheads for my studies.
Sand Flatheads, strictly so-called, belong to the genus *Trudis*, the best known one being *bassensis* from southern Australia. This Common or Bass Flathead (*Trudis bassensis*) is known as Cliff or Spring Flathead in Victoria, and is caught in Port Phillip and elsewhere in a baited net, which is like the Tasmanian graball but with pieces of fish tied to the net to attract the flathead which are entangled by their spines in the 2-inch mesh. Messrs. Dunlavin Butcher and D. D. Lynch, of the Fisheries and Game Department, Melbourne, who have kindly supplied me with notes and specimens of all the Victorian commercial flatheads, inform me that the Cliff or Spring Flathead are said to come into Port Phillip in mid-October and disappear in December; they are caught in the southern waters of the bay and up as far as Portarlington. These fish are more expensive than other flathead, but perhaps this is due to their scarcity rather than to superior flavour, as I have been unable to distinguish them specifically from the common Bay or Sand Flathead of Port Phillip, the so-called "Trawled Flathead" of Lakes Entrance, Victoria. Fishermen in Victoria call 10 to 11-inch fish "Frogs", Channel Rats, and "Greys", and these are very common in the Melbourne market.
In New South Wales, *T. bassensis* is replaced by the Red Flathead *T. caeruleopunctatus*, which is the Long-nosed or Yank Flathead of Victoria. It has white or milky blue spots and a more sharply pointed snout and smaller preopercular spines than *bassensis*. Near Sydney it spawns at approximately Easter tide, fish being mature at about 9 inches long.
The Rock Flathead of New South Wales and south to south-western Australia, *Thysanophrys cirronasus*, is short and thick-bodied, purple on the back and yellow to cream below with variegated pattern and black lines on the fins, which harmonize with the rocks and weeds it inhabits; some fish have flaps of skin on the head and shoulders to heighten the resemblance. This is another of the more rock-cod-like flatheads.
In tropical Australia there is an amazing variety of small flatheads with sculptured or spiny ridges on top of their heads, which are not as flat as in the true *Platycephalus* which, moreover, has smooth
ridges on top. The small tropic ones are the Insidiators or "Crocodiles", known as Kochi in Japan, and belong to various species of Suggrundus, Repotrudis, Levan-naora, Wakiyus, Onigocia, Cymbacephalus, and Rogadius. Some have skinny tassels over the eyes; others have characteristic spikes or spines not only on the head but along the front lateral line scales.
The trawlers sometimes secure the quaint Queensland Elates, which has an elongate, shallow body and incised membranes to the fins; the tail fin may end as a filament and there is only one spike on each side of the head.
In very deep water the Spook Flatheads of the family Oplichthyidae occur. These have no scales on the body, only naked skin protected by a row of spiny scutes along each side. They are grotesque creatures which may some day be used as food when we fish their remote haunts, but at present they are quaint rarities. The Ghost Flathead, Oplichthys ogilbyi, has the eye-diameter about equal to the preorbital part of the head but the Glassy Flathead, Rhinoplichthys haswelli, has more extensive smooth areas in front of and below the eyes. These have four finger-like lower rays of the pectoral fins, rather like the feelers of gurnards, and are found at depths of between 70 and 800 fathoms. Young Oplichthyidae were found in the stomach of a Mackerel Tuna, 8 miles off Shoalhaven, New South Wales, on 20th September, 1951, so they probably pass through a floating juvenile phase.
The depressed head and general form of the body and fins of the Dusky Flathead, Planiprora fusca, are shown from above and from the side in this meticulous painting, made more than a century ago by Dr. James Stuart, and kindly lent by the Linnean Society of New South Wales for reproduction here for the first time.
Aboriginal Rain-makers and Their Ways
PART I
By FREDERICK D. McCARTHY
Men of the Aranda tribe of Central Australia decorated for a rain dance.
In many parts of Australia droughts have an appalling effect upon the sources of food of an aboriginal tribe, just as they do on the crops of our own farms, and it is not surprising to know that both the black and the white man have sought to stimulate nature to greater generosity with her life-giving rains. Throughout the world, in fact, the hunter, food-gatherer, pastoralist and agriculturalist have sought to overcome the rainfall problem with rain-making rites in which their profound belief in magic, which they know can kill and heal, gives them complete assurance provided the procedure is carried out correctly. The Australian aborigines never question the method if it is one connected with the source of their tribal and individual life-giving power manifested through their sky-heroes, the Rainbow-serpent and other huge snakes, or quartz crystals—failure is explained by improper behaviour or someone's neglect to observe a taboo.
The aborigines desire rain at specific times both for individual and for group or collective purposes. A man attempts to create a storm or shower to obliterate footsteps when eloping with a woman, or if he is a criminal escaping the vengeance of his victim's friends. The making of rain, however, becomes a serious matter when it is organized by a local group whose reason may be the overwhelming one of survival in a drought-stricken land, or the desire to carry out important seasonal ceremonies upon which the life-giving power of the community depends; a local group may wish to punish another one by sending storms to spoil their hunting and fishing, and when a party of warriors is sent out to revenge the death of one of their kin rain is desired to wipe out their tracks and conceal their movements from the enemy. The group, too, with the aid of these rites, tries to maintain the continuity of the wet seasons and all that they mean in re-vitalizing the country and its
dependent animals, plants, and human beings. R. and C. Berndt pointed out that the Ooldea natives perform rain-magic to freshen the countryside, cool the atmosphere, and assist hunters in tracking game; their supply of drinking water is adequate and taken for granted, but in the Lake Eyre and other districts the sources of drinking water must be replenished and rain-making is a fine art.
The rites are usually performed during the day but the Yaroinga of Queensland have one method in which special songs are sung during the night. The rain-maker uses his deep knowledge of local weather conditions as a guide and performs his rites in seasons and times when rain can reasonably be expected; as a result his efforts are often rewarded with success. In many tribes the rites may be performed by any individual, but as a rule there are one or more rain-makers in a local group who either confine their magical activities to this sphere or are fully initiated medicine-men. In most tribes women cannot witness the rites, in others they participate in some methods or perform a simple type of magical act themselves. Successful rain-makers acquire considerable prestige in their own and other local groups, and are proud of their success; such men may be invited to other camps to perform the rites when the local rain-makers have failed. A man can pass on his own rain-making methods to his son or to a young man, such as a mother’s brother’s son, for whom he acted as guardian during initiation.
The methods employed by the rain-makers are surprisingly varied, originating as they do in a dream, as a traditional rite performed by the dream-people, or from an incident in daily life which has been followed by rain. Many of the methods are imitative of clouds and falling rain, and of aquatic animals, others seek to persuade the ancestral beings to release the rain, and some medicine-men believe they can go up to the sky to open the clouds. A number of methods are usually known to each local group, and those which fail may be replaced by more successful ones.
The Dieri and other tribes of the Lake Eyre district employ some interesting imitative methods of rain-making. They believe that the mura-mura, their spiritual ancestors who made and inhabited the earth in the dream-time prior to man’s occupation, now live in the sky, and some of them have to be influenced by ceremonies to release the rain from the clouds. The Dieri inform the mura-mura in loud voices that their country is parched and impoverished, the people are starving, and food is difficult to get. In one collective
A rain-maker of the Dieri tribe throws water from his wooden dish to the left and right during a rain-making rite.
rite the men build a large conical hut, the floor of which is dug out to a depth of two feet, and inside which the old men huddle whilst two medicine-men, who have obtained an inspiration from the mura-mura, pierce their arms and allow the blood to drop—the falling of rain—on to the old men, over whom they throw feather-down representing clouds. Two large rain-clouds are symbolized by two stones in the middle of the hut, which are placed in the highest tree nearby after the ceremony. Powdered gypsum thrown into a waterhole is not only falling rain but a request to the mura-mura to crack open the rain-cloud, desires expressed also when the men finally butt down the hut with their heads. The women are called to inspect the hut several times. The failure of such a carefully performed rite, charged with the sacred atmosphere, inspiration and co-operation of the ancestral spirits, is explained by the mura-mura being angry with the group, or because another local group has nullified the power of the rain-makers.
Another method used in the Lake Eyre district is based on a legend which states that when two mura-mura men arrived at Mungeranie during a journey they found the waterhole to be dry and a sign indicating that their wives had left several days before and gone to another place. They were so angry with this disappointing situation that they threw water they had with them up in the air with the result that a spot of rain fell on them, so they poured the remainder out of their skin-bag into a wooden bowl, dipped their eagle-feather headdress into it and sprinkled the drops on all sides; the rain continued during this sprinkling operation so they danced in the direction from which it came to bring more.
The Dieri rain-maker in this ceremony decorates his body with a feather-down design stuck on with human blood, and wears a feathered hoop on his head to make himself invisible. Other men sit around bowls of water and chant rain songs whilst he dances over his bowl and sprinkles the water about, his headdress making a swishing noise like the falling of rain.
In south-east Australia storms of wind and rain, and also floods, were believed to be sent by enemies to disturb hunting and fishing activities. The Kurnai of Gippsland squirted water from the mouth in the direction from which rain usually came, and sang magical rain chants acquired in dreams by both men and women.
In Arnhem Land pounded bark (used for poisoning fish) is wrapped in grass, weighted in stones, and taken out into either salt or fresh water by a man until his shoulders are covered; here he drops the bundle, sings a song about falling rain, and pushes the water with his hands to represent the rain splashing on its surface. He expects the clouds to form in about three days and the rain to come on the fourth day after this rite. Here, too, a large bundle of green grass fashioned into a human image is buried and when it swells up rain is expected to fall. The rain is stopped by taking the grass out of the water or ground and spreading it out to dry.
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**An Insect Calendar**
**PART II**
*By A. Musgrave*
In the first part of this article consideration was given to some of the factors which underlie the seasonal appearance of insects and their dependence upon warmth and humidity, too much or too little of each of these essentials, in a particular environment, determining the future of the insect or the plant upon which it lives.
Climate, therefore, with its changes of temperature, rainfall, humidity, winds and storms, all of which form a varied part of any *Season*, plays a major role in insect life and it is necessary to understand the importance of these changes in retarding or increasing the growth of insects. Therefore, before proceeding to a brief survey of the Seasons and the dominant insects which accompany them it was necessary to mention climate.
The life-histories of various species of insects of economic importance have appeared for many years in the monthly journals of the Departments of Agriculture in the various States of Australia, and the seasonal significance is usually stressed, but it would appear that only within comparatively recent years has any attempt been made to link meteorology with the seasonal appearances of insects, apart from those few forms cited in the first article of this series.
About Sydney the spring is announced by a floral riot of colour in the parks and gardens. The fruit-trees with their wealth of blossoms are followed by the purple glory of the Wistaria. Elsewhere in Australia spring is indicated by the appearance of young lambs in the paddocks not to mention the plague grasshoppers in their first hopper stage.
Officially the spring months are September, October and November, but the weather usually breaks about mid-August, and the nor'easterly winds, which commence to blow about 3 p.m. in August, remind us that warmer weather is on the way. In the suburbs of Sydney, the notes of the Pallid Cuckoo going up the chromatic scale also announce that spring is here, like the well-known harbinger of the English spring, but as it keeps up its call so incessantly or with, what Falstaff would term, "damnable iteration", we realize why it is also called the "brain fever" bird. About Gordon, near Sydney, its notes are heard all day long until later in the season it seems to disappear when another larger insectivorous bird, the Koel Cuckoo or Cooee Bird, takes its place with its somewhat mournful but insistent call of "cooee". In Western Australia the Pallid Cuckoo has been used as a pointer to weather conditions in the south-western part of the State, from June to August, 1949, in a recent paper by Dr. J. Gentilli†.
On the coast and uplands about Sydney towards the end of August and in September, the beautiful heaths of the genus Epacris are found blooming. Many flies, which seem to disappear with the approach of summer, are attracted to them. Thus we may find hovering over the flowers flies of the family Nemestrinidae with curiously-veined wings, while small and large bee-like flies of the family Bombyliidae may be met with on the flowers or sunning themselves on sandy patches nearby. In the National Park at Gundamaian one August, we found that the white flowers of Epacris microphylla were attracting no less than five species of the genus Trichophthalma of the first-named family of flies, of which the most beautiful species, T. rosea, predominated. This fly was also captured there during the month of September.
Among the first of the butterflies to appear is the Blue Fanny or Blue Triangle, Papilio sarpedon choredon, which is commonly found about Sydney from September to April or from spring to autumn. Here it feeds in the larval state on the young shoots of the Camphor Laurel and the adults may often be seen flying about this tree. Its native foodplant is the Sassafras.
†Western Australian Naturalist, ii. 3, 1950.
being pushed off by the moth when emerging. The moth itself may measure over an inch across the outspread wings, and its general colour is brown or reddish-brown.
Some Garden Insects.
With the spring, as every gardener knows, many insects of economic importance appear in gardens about the city. One of these is the Green Vegetable Bug, *Nezara viridula*, a cosmopolitan pest which attacks beans and tomatoes and is recorded from many fruits and crop plants. The immature and adult bugs suck up the sap from the plants thus causing injury to bean pods which become shrivelled and distorted, while tomato fruits become discoloured. This insect was common in the garden at Gordon. The adult bugs are normally green in colour but change to brown or purple and thus pass the winter hibernating under leaves or the bark of trees. The bugs emerge about the end of August or in September and mate and the eggs, which are glued in clusters on the leaves, are laid in the latter month. As many as four generations may occur in the season, and the life-cycle from egg to adult takes about five to eight weeks. They are said to be most abundant in February and March.
Another introduced species is the Brown Vegetable Weevil, *Listroderes obliquus*,
which has found Australian conditions to its liking. Economic entomologists of the State Departments of Agriculture, who have studied its habits, tell us that it is a pest of many vegetables such as beetroot, carrots, lettuce, parsnips, radishes, tomatoes, turnips, as well as such weeds as the Cape Weed and Marsh Mallow. Not only the leaves but the stalks and roots may be destroyed. The adult weevils feed only at night and shelter during the day in debris near the base of the plant. The adults emerge from the soil about August and continue to feed until November. They then rest in the soil during the summer months, and lay their eggs in the autumn and winter, the larvae emerging three to four weeks later.
Orchardists who grow citrus fruits for the market prepare early in the season for the reception of a tiny weevil called the Dicky Rice Weevil, *Maleuterpes spinipes*, by banding their trees near the base with a sticky tanglefoot preparation. This traps those adults climbing up the trunks. The weevils emerge from the soil during August, September and October. While the larvae feed on the roots little damage seems to be done to the tree in comparison to that wrought by the adult weevils to the young fruit. There they feed on the skin causing black marks to appear later when the fruit has ripened. It has been estimated that a bad infestation of Dicky Rice Weevils may cause 70 per cent damage by disfiguration, so making the fruit useless for the market.
**Bush Flowers of Spring.**
A walk through the bush about Sydney during the spring reveals many native plants in flower which may rival the introduced forms in beauty. Along the track we may see the yellow flowers of the *Dilwynia* or *Gompholobium*. In certain localities the pink flowers of *Boronia pinnata* or *Boronia serrulata*, the Native Rose, are common on the Hawkesbury sandstone when they have been left unseathed. The beautiful *Eriostemon buxifolius* is another plant which occurs in the same locality with the *Boronia*, while the scarlet heads of the Waratah, *Telopea speciosissima*, may still be found growing not only along the creeks in favourable situations, but even in some Sydney gardens. As spring lengthens into November, the Tick Bush, *Kunzea ambigua*, a tall shrub with short narrow leaves, flowers abundantly in the coastal district. Clinging to the leafy branchlets are the white and sessile flowers, full of honey, the scent of which pervades the air. The almost sickly-sweet aroma is very attractive to insects, especially the small brownish beetles of the genus *Phyllotocus*, members of the great family Scarabaeidae, and is thus one of the favourite plants of the entomologist. The Tea-trees of the genus *Leptospermum*, which belong to the same Family, Myrtaceae, as the Tick Bush, contain certain species which while flowering in November are largely visited by insects. Of these the first to appear is *L. myrtifolium* whose white flowers are suggestive of those of apple trees. Next to blossom
invading houses and churches in myriads, while many thousands perish in the sea, their bodies eventually strewing the high water mark of the beaches.
This is the Bogong Moth, *Agrotis infusa*, a member of the family Noctuidae ("Owl Moths"), and perhaps the most abundant of all our moths. In the western parts of New South Wales it has been recorded as a pest in the caterpillar stage. In the adult moth, the wing span is only about 1½ inches. Prior to the arrival of the British settler, these moths were regarded as food, and the Bogong Mountains and Mt. Bogong in the Australian Alps, take their names from the presence of the moths. Here, during the summer, the aboriginals would foregather and catch them in thousands among the rocks. The wings were afterwards singed off over fires, and the bodies made into a paste before being eaten. About Sydney, after their first wild tumultuous appearance, they seem to loiter about the blossoms in the Turpentine trees for some time, and, during the day, if disturbed, many hundreds may take flight.
**The Old Lady Moth.**
Another member of the same family is the Old Lady Moth or Silken Spectre, *Sericea spectans*, an insect doubtless familiar to every resident of the Sydney district. It was first described in 1852 by the French naturalist, Achille Guenée, from many specimens stated to have been
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**The Common Tea-tree.** *Leptospermum flavescens*, occurs on the coast and tablelands of Eastern Australia and in Tasmania. Its creamy flowers are attractive to insects. It usually grows along the banks of streams.
*Photo.—A. Musgrave.*
is the Common Tea-tree, *L. flavescens*, with creamy flowers often in masses. It is visited by a host of small insects, flower wasps, beetles, flies, and bees, and is one of the best plants known to the entomologist for such flower-frequenting forms. Also included in the Myrtaceae are the Bottlebrushes of the genus *Callistemon*, and these are found growing in swampy ground or by the sides of streams. In some species the flowers form dense spikes with crimson filaments. The flowers are very attractive to native bees, and Mr. T. Rayment has recorded the Wasp-like bee, *Hylaeoides concinna*, from the flowers of one of these plants.
**The Bogong Moth.**
In October and November, during some warm night, thousands of a small dark brown moth may suddenly invade the city and its suburbs, flying madly around the lights of ferry steamers, trams or trains,
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**The Bogong Moth, *Agrotis infusa*, often visits the coast in countless swarms during the spring months. In the larval state it may destroy grass and cereals in the western parts of New South Wales.**
The Old Lady Moth or Silken Spectre, *Sericea spectans*, is a large Noctuid moth that often invades houses, but is quite harmless to all woolen goods.
*Photo.—A. Musgrave.*
collected in "Tasmania" by Jules Pierre Verreaux, the well-known collector who visited Tasmania and Australia during the years 1842-1846 on behalf of the Natural History Museum, Paris, but his specimens were far more likely to have been taken in New South Wales, since the moth does not occur in Tasmania. The adult moth is with us practically all through the year, and sometimes many individuals may occur in the same room or cellar but they shun the light. They have the facility to arrange themselves in artistic attitudes "on many a vase and jar" and where they often escape detection. Despite the fact that it is so common, the life-history of this moth does not appear to have been worked out.
**Some "Rites" and Wrongs of Spring.**
During October in 1948 and 1949 millions of winged aphids invaded the metropolitan area and proved a great torment to man by getting into the ears, eyes, and nostrils. At least three of the Sydney newspapers referred to this plague, which appears as though it may be of seasonal importance. In 1948 the invasion suddenly arrived on the 9th October, but a strong westerly wind on the 11th seems to have dispersed it. Some specimens were taken at the Australian Museum on the 13th October. Aphis swarms are usually followed, as a natural sequence, by their enemies, Ladybird beetles and hover flies, so it is interesting to learn that the officers of the Entomological Branch of the Agricultural Department of New South Wales were able to record the occurrence of thousands of these insects from inland as well as coastal areas. This information was based upon many reports submitted to the Department. The Hover fly was identified as *Xanthogramma grandicornis* and the Ladybird as *Coccinella repanda*. The larvae of both these insects are predaceous upon aphids. An account of these beneficial insects appeared in the *Agricultural Gazette of New South Wales*, December, 1948.
In November, the last month of spring, the mean minimum temperature for Sydney is 59 deg. F., and the mean maximum 74.4 deg. F., or about 12 degrees hotter than August.
THE Australian Summer season, which includes the months of December, January and February, is ushered in by the screech of the cicada. In Eastern Australia, in the coastal districts, the Yellow Monday or Green Grocer, *Cyclochila australasiae*, begins to appear above ground about the end of October or the beginning of November, so that their noisy squawkings have long heralded the approach of the hot months.
Some half dozen species are well-known in the Sydney district of which the best known is that cited above; then follow the Double Drummer or Union Jack, *Thopha saccata*, the Whisky Drinker, Fiddler or Cherry Nose, *Macrotristria angularis*, the Red Eye, *Psaltoda moerens*, the Floury Baker or Floury Miller, *Abricta curvicosta*, and the Mottled Grey Cicada, *Henicopsaltria eydouxii*. Many smaller forms are also to be met with.
Only fragments of the life-history of the Yellow Monday are known, which begins when the female rips up the bark of the topmost branches of the gum tree to deposit her eggs in the incisions she has made. The shrimp-like young make their way to the ground and there work downwards to the roots. Here they spend the greater part of their lives feeding on the sap in the roots of the tree. At the end of three years, so it is believed, because they are most numerous every third year, they tunnel upwards to the surface of the soil and climb up the fences or tree-trunks where their shells split down the back and the insects emerge. At first the wings are soft and white but they gradually harden and soon the insect is able to fly off and join its companions in the nearby trees.
During the Summer season of 1948-1949 cicadas were so conspicuously absent from the Sydney district that comment to that effect was made in the Press. The 1949-50 season, however, was a "vintage" year for the noisy insects and many of the above-mentioned species were submitted to the Museum for identification.
During the summer of 1947-48 the black and white spotted butterfly popularly termed the Common Australian Crow or Oleander Butterfly, *Euploea core corinna*, which is essentially a tropical insect, came south as far as Victoria. The silvery pupae were frequently sent in to the Museum and the larvae were commonly noted on Oleanders. It is not, however, with us every year and the last seasons of 1948-49, and 1949-50, yielded hardly a specimen from the Sydney District. This insect has already been dealt with in the *Museum Magazine* and so is only briefly referred to here.
**Some Summer Flowering Plants.**
To an entomologist Mid-November and December bring into bloom the creamy-white corymbs of the Dwarf Apple, *Angophora cordifolia*. This rough-barked
shrub is a member of the family Myrtaceae, the group which includes those other plants so attractive to insects: Tick Bush, Bottlebrushes, and Tea-trees. There are at least three other species of Wild Apple found commonly in the Sydney district and all are present on the North Shore Line. These are, the Sydney Red Gum or Smoothbarked Apple, *A. lanceolata*, the Rough-barked Apple, *A. intermedia*, and the Small-leaved Apple, *A. Bakeri*. Angophoras somewhat resemble the Eucalypts in appearance, but the leaves are opposite, not alternate, and the seed capsule is ridged and has no cap. All these when flowering are attractive to insects, but it is the heart-shaped leaved one, or Dwarf Apple, which is the plant which delighted the late J. J. Walker, a former Engineer-Commander in the Navy and an enthusiastic entomologist. In a paper entitled "Antipodean Field Notes, III. A Sketch of the Entomology of Sydney, N.S.W." published in the *Entomologists Monthly Magazine*, vols. xli-xlii (1905-06), he described this plant as "par excellence the favourite of the Australian Coleopterist." In this he did not exaggerate, for not only beetles, but insects of many other orders come from all points of the compass to jostle one another on the corymbs and to partake of the banquet of honey provided. Thus we may expect to find on a bright hot morning many wasps, bees, ants, flies and butterflies attracted to the flowers, while small crab spiders lurk in or about the corymbs to prey on the smaller fry. Common visitors to this plant are the Jewel Beetles (Family Buprestidae) some quite large like *Stigmodera variabilis* and *S. macularia*, while others may measure only a fraction of the size of the larger forms. The Fiddler Beetle, *Eupoecila australasiae*, and another Cetoniid beetle, *Polystigma punctata*, are common on the flowers, and so too is the Longicorn beetle, *Aridaeus thoracicus*, which tunnels in wood in the larval state. The late W. W. Froggatt has listed the insects associated with this plant in the *Australian Naturalist*, iii, 1914.
Growing close to the *Angophora* bushes on the sandstone country about Gordon, in ground now rapidly being built over, are small bushes of *Banksia integrifolia*. On these in December may often be seen the Jewel Beetle, *Cyria imperialis*, which feeds upon the leaves while the larva is said to feed in the stems. This beetle is about $1\frac{1}{2}$ inches in length, shining black in colour with the wing-covers irregularly banded with bright yellow, while the under surface of the body is covered with grey hairs. The beetle is thus a conspicuous insect as it sits on the green leaves of the Banksia.
During the summer months gum trees about Sydney are visited by "Christmas" Beetles of the genus *Anoplognathus*. Of these the largest is the King Beetle, *A. viridicaneus*, measuring more than an inch in length and of a shining metallic-green, while of a large number of smaller species perhaps the best known is The Prince, *A. viridilarsis* (=analis) and The Washerwoman, *A. porosus*.
While the Dwarf Apple is nearing the end of its flowering season the flowers of the Christmas Bush, *Ceratopetalum gummiferum*, have, meanwhile, changed from
The Fiddler Beetle, *Eupocilla australasiae*, is one of the many species of beetles which visit the creamy corymbs of the Dwarf Apple. It lives in the stems of Grass trees in the larval state.
Photo.—A. Musgrave.
cream to pink, and, with the Christmas Bells, *Blandfordia*, whose red and orange flowers show it to be a member of the Liliaceae, provide our chief decorations for the Christmas festival.
A feature of the Australian summer, in the Sydney district, are the bush fires, though these may occur also in the Spring months. These fires ravage the forests and grasslands and may cause losses in stock and dwellings. Elsewhere the great amount of charred wood, leaves and debris left behind by fires may be washed into creeks and rivers after rain. It has been pointed out that silting up may occur in the streams and erosion appear in hillsides as a greater run off is noted from burnt than unburnt country. The destruction to our fast-disappearing flora and fauna is another of the sad effects of bush fires too often started as a result of carelessness.
After the Dwarf Apple has bloomed, and sometimes the blossoms may last well into January, an insect anti-climax sets in as though Nature had reached a crescendo with the long, hot days of December. This last month of the year provides us with our longest day, 22nd December, when the sun is at its furthest south (Southern Solstice) over the Tropic of Capricorn. Now it begins its return march northwards with its retinue of heat-waves, winds, storms and rain.
The Banksia Jewel Beetle, *Cyria imperialis*, occurs commonly on the Small Banksia, *Banksia asplenifolia*, at Gordon, and is reported feeding in the stems in the larval state.
Photo.—A. Musgrave.
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**Review**
**NATURAL HISTORY SPECIMENS. Their Collection and Preservation. Handbook No. 2. Published by the Western Australian Naturalists' Club, Perth. 8v. Perth, pp. 40, 6 tfs. 1951. Price 3/6.**
This Handbook, edited by J. Gentilli with the collaboration of the Western Australian Naturalists' Club, is designed to take the place of the *Natural History Specimens* handbook. This new edition is one of the Club's contributions to the Jubilee celebrations of 1951.
This little book should be extremely useful for any collector or collectors working in the field and who may not be familiar with the collecting techniques employed in other groups.
Some idea of the scope of this collecting manual may be gleaned from the sectional headings: Natural History Collecting; Flowering Plants, Ferns and Mosses; Seaweeds; Fungi (Mushrooms, Toadstools, etc.); Microscopic Water Life; Sponges, Anemones, Starfish, etc.; Peripatus; Centipedes, Millipedes, Scorpions and Spiders; Crustaceans; Insects; Molluscs; Fishes; Amphibians and Reptiles; Birds and Mammals; Geological Specimens.
Under each sectional heading is given the equipment required in the collecting and preserving of the specimens, and the setting and mounting of plants or zoological specimens.
Such a work, as the Introduction by Dr. Gentilli points out, "is suitable for Australian conditions generally," and so it is hoped that Australian collectors will purchase the Handbook and benefit from its teachings.
A. MUSGRAVE.
The Kangaroo Family
The Pademelons or Scrub-Wallabies—Part II
By ELLIS TROUGHTON, F.R.Z.S., C.M.Z.S.
The Dama Pademelon, or Tammar of Western Australia.
This widely-distributed coastal species not only has the distinction of being the first of the kangaroo family of which an authentic account was provided, but it is also apparently the first Australian marsupial made known to the civilized world. The Dutch navigator Pelsart made his observations of this wallaby in 1629, when shipwrecked on Houtman’s Abrolhos, Western Australia, about 150 years before Captain Cook’s party recorded kangaroos from the eastern coast at Cooktown. But the Dutchman’s account was overlooked for almost two centuries, and this species was actually named in 1817 from specimens taken by French naturalists on St. Peter Island, which they called L’île Eugene, in Nuyts’ Archipelago, off the South Australian coast, towards the south-eastern limit of its remarkably extensive range.
It has not been possible to decide whether separate sub-species existed in South Australia, because of the extinction of the pademelon on St. Peter Island and the loss of the original specimens in the Paris Museum, together with its rapid disappearance from the mainland after settlement. There seems no doubt, however, from the original description, and notes of the naturalist-collector Péron, that only a single species was represented and that the specific name *eugenii* is correctly used for all geographical races of the Dama Pademelon or Tammar of Western Australia.
There is a general uniformity of coloration, and intergrading of cranial and dental features, which makes the definition of sub-species rather doubtful in spite of the vast geographical range of the species. But such was the confusion arising from the study by various authorities of specimens collected from numerous island and mainland localities, that no less than seven distinct specific names were given to Western Australian specimens. Of these but two are now recognized, the one from the southwestern mainland and Garden Island off Fremantle, for which the earliest available name is *derbiana* (1837), and the insular race seen by Pelsart on the Abrolhos off Geraldton, named *houtmanni* by Gould in 1844.
The species is fortunately abundant on Kangaroo Island at the eastern end of its range, where it is represented by a larger and paler-limbed race, with distinctive cranial features. This insular race (*Thylotis gale eugenii decres*), based on specimens in the Australian Museum collected by the author, was named in allusion to the name (Decres) given Kangaroo Island by the Baudin Expedition. Its habits are characteristic of pademelon-wallabies over the vast coastal and insular range of the group. The small kangaroos travel almost silently through their scrubland mazes but produce a warning thump with the feet when alarmed, a signal common to most gregarious members of the family. Another habit is that of resting with the tail forward between the legs in the attitude assumed by female kangaroos when the young are born.
As noted in previous articles on marsupial birth, interest in Australia has concentrated on the kangaroo family because of the amazing discrepancy in size between the newly-born and the parent. And so, in the earliest known observations, made by Captain Pelsart in 1629 about the Houtman’s Abrolhos race, the enterprising Dutchman stated that the young—attached to nipples within the pouch—"were only the size of a bean, though at the same time perfectly proportioned." Misled by the relative minuteness of the pouch-embryos, Pelsart expressed the view that "it seems
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1 Troughton, E. LeG., *The Australian Museum Magazine*, ii, 11, July-Sept., 1926, p. 387; and viii, 2, Sept.-November, 1942, p. 40.
certain that they grow there out of the nipples of the mammae, from which they draw their food."
Appropriately enough, it was a race of the same species which provided the first known observation of the unaided journey of the newly-born kangaroo to the pouch, and its subsequent self-attachment to the teat. The facts as recorded by Surgeon Alexander Collie in the Zoological Journal of London for 1830, concerned females of the Tammar wallaby taken from Garden Island when his ship H.M. Sloop Sulphur was anchored in Cockburn Sound off the port now known as Fremantle. After expressing his delight at the capture of kangaroos with young at the teats, the trained anatomist was not to be side-tracked by any superficial comparison and referred to the dissecting-out of embryos from the parent "very near to the termination of the period of gestation . . . . about the size of the smallest young already mentioned as being in the abdominal sac." His account also refers to an actual observation of the birth of a wallaby and the creeping of the diminutive young towards the pouch-opening, while the mother "with her head turned towards her tender offspring, seemed to watch its progress, which was about as expeditious as a snail."
Referring to the supposed inactivity of the attached pouch-embryo, Collie gave several instances of voluntary re-attachment and actually succeeded by gentle pressure in removing one, about $1\frac{1}{2}$ in. long, from the teat, which stretched for about 1 in. and had a bulbous tip for retention by the closed-in lips of the infant. An hour after being left in the pouch it was unattached, but two hours later it had re-grasped the teat and was again actively suckling. These remarkable observations, overlooked for more than a century, and appearing only twenty-four years after the first proof of the unaided transference of newly-born American opossums, are of much interest to any nature-loving Australian.
On the mainland of south Western Australia the Tammar was reported in 1909 as rapidly disappearing in settled areas, but it fortunately appears to be plentiful still on Houtman's Abrolhos where in 1629 Pelsart was so fascinated by the wallabies' movements and method of transporting the young. According to Professor Wood Jones, prior to 1924, the "Dama" pademelon had almost disappeared from the South Australian mainland. Probably some linger on the extremity of Eyre Peninsula and in the south-eastern districts, but it has gone altogether from places where about thirty years before landowners had held annual shooting drives. A most attractive small kangaroo, which is readily kept in captivity, the survival of the Kangaroo Island race seems assured, solely because of the Flinders Chase reservation.
**Flinders Island Pademelon.**
The vital importance of adequately controlling the larger coastal islands as sanctuaries for the conservation of native flora and fauna is stressed by the sad fate of this elegantly-built and prettily-coloured paler relative of the Dama Pademelon. Once a great favourite with people who liked to see wallabies about their grounds, the species had been exhibited in the Adelaide Zoo years before it was named Thylogale flindersi by Wood Jones in 1924. In 1802 they were reported as numerous by Matthew Flinders when he shot five in addition to those killed by the botanists and their attendants. It is reported that many thousands were subsequently killed on Flinders Island and residents believed it to be extinct by 1920, after a bush-fire in 1910 swept through the island.
However, when Wood Jones visited there in 1924, a small colony of a hundred or so inhabited the small area of bush remaining after various attempts at cultivation by residents. These survivors' hold on existence was then less than secure as high cliffs leave no retreat from bush-fires, and food-destroying rabbits and introduced cats menace their survival. In January the young were seen to be entirely independent of the mothers, and the colony had noticeably increased, but because of the various obstacles to survival, it is keenly to be hoped that conservationists will carry
on the good work of Professor Wood Jones, by endeavouring to establish small colonies of this wallaby on suitable islands, such as St. Peters or L'ile Eugene of Nuyts' Archipelago whence its first-named relative *eugenii* long since disappeared.
**The Parma or White-throated Pademelon.**
It will come as a regrettable surprise to many readers that a beautifully-coloured pademelon wallaby once plentiful in the Illawarra district south of Sydney has apparently been extinct for many years, and is probably represented by only five museum examples, of which three are in the British and two in the Australian Museum. In 1856 Gould wrote that it:
... is so very distinct from all the other small Halmaturi wallabies inhabiting New South Wales, that the aborigines who hunt these animals recognise it immediately by the native term I have selected as a specific appellation; this remark applies more particularly to the natives of Illawarra, in which district I myself saw it in a state of nature. In these extensive brushes it doubtless still exists. . . . How far its range may extend westwardly towards Port Phillip, or eastwardly in the direction of Moreton Bay, I am unable to state.
This uncertainty of range, expressed with the doubtful geographical orientation which has frequently confused overseas workers on the Australian fauna, may never be settled since the species must have vanished from north of Sydney long before its rapid disappearance from the South Coast. This apparently lost species was the eastern representative of the Dama or Tammar group of pademelons (*eugenii*). It differed in having a more uniformly reddish back and pure white throat sharply contrasting with the sides of the neck, while the white cheek-mark and dark neck-stripe were more pronounced.
Also inhabiting the Cambewarra Mountain district of the South Coast, the last of two Australian Museum specimens was received in 1889 and it seems to represent yet another tragic disappearance of a marsupial so plentiful during early settlement that the need for preservation was not realised until too late. One can only hope that in spite of the fox and other hazards, small colonies may yet survive in some secluded parts of the South Coast and residents, especially in mountainous country, would perform a very real service by noting whether the size and coloration of any local wallaby fits this brief description, with a view to the rediscovery and conservation of this "lost" pademelon.
One of the smallest of the kangaroo family, the Short-tailed Pademelon-Wallaby (*Setonix brachyurus*) inhabits the swampy tracts and thickets of the south-west of Western Australia, where it is known by the aboriginal name "Quokka."
The Quokka or Western Short-tailed Pademelon.
Apart from its small size, which is slightly less than that of a hare, the Quokka of south Western Australia differs from all other pademelon wallabies by the shortness of the tail which is barely twice the length of the head. The foot is also shorter, not exceeding 4 inches, while the short rounded ears scarcely project above the long fur. Its nearest relative is the decidedly larger Red-bellied Pademelon (billardieri) of the S.E. corner of the mainland and Tasmania, which it resembles in the comparative shortness of the ears and tail, and the sombre brown and rather shaggy coat—indicative of the generally similar habitat and climate.
It is the distinctive dentition, however, which places this odd little wallaby (Setonix brachyurus) in a genus all to itself. The remarkably stout permanent premolar is twice as long as the third upper incisor, is as broad in front as behind, with a well-marked inner basal ledge, and three to four vertical outer grooves. This combination of enlarged premolars and small low-crowned molars provides a marked distinction from all pademelons of the genus Thylogale, and is in keeping with an outward similarity to the rat-kangaroo group of the family. The dental differences have evidently evolved from somewhat different feeding habits from those of ordinary pademelons, the diet having a greater proportion of foliage and swamp-herbage owing to the rather restricted habitat in the south-west.
The unique little wallaby has the double historical distinction of being not only the second species of kangaroo, but also the second marsupial, definitely to be recorded from Australia, the first being the Tammar or Dama Pademelon observed by Pelsart in 1629. The reference, by another Dutchman Samuel Volckersen, occurs in a brief account published in 1658 concerning Rottnest (rat-nest) Island, off Fremantle, and the presence of "two seals and a wild cat, resembling a civet-cat, but with browner hair." The "wild cat" was actually the short-tailed pademelon which was not specifically named until 1830 when the French naturalists Quoy and Gaimard described it from a dead one found on sandhills at King George's Sound.
In the Australian Zoologist for 1936, David H. Fleay, confirmed previous observations on marsupial birth when noting that a mother made no attempt to assist the newly-born, which seemed instinctively to follow a path along a central line of the abdominal fur to the pouch, shortened by the squatting attitude of the parent. It is stated that only one pouch-embryo is carried at a time, its growth being more rapid than in the larger wallabies, and becoming quite independent after four months. So short are the ears and hind-legs of adults that they are easily mistaken for rats in their maze of runways amongst tussocks and dense undergrowth.
During early settlement, Gould's collector John Gilbert found it abundant in all the swampy tracts and thickets skirting the south-western coast, where it was known as "Quak-a" by the blacks, who destroyed it in great numbers by firing the bush and spearing the escaping wallabies. It is indeed fortunate that this unique small kangaroo managed to survive such age-old perils, as well as the spread of the introduced fox and all other disadvantages of modern settlement. On the fox-free island sanctuary of Rottnest, my ichthyologist colleague Gilbert Whitley found the Quokka plentiful as rabbits in the maze of scrub-runways, and even on beaches and about the schoolyard.
A Marine Curiosity
By K. H. BARNARD, D.Sc., F.L.S.*
RECENTLY a bale of rubber, approximately 20 x 14 x 12 inches, was found washed ashore near Kleinmond (Caledon Division, Cape Province, South Africa), which had been pierced by two Marlines or Spearfishes (*Makaira*). The larger spear is 20 inches in length, with a diameter of 2 inches at the larger end; it has pierced through the bale; the exit hole is about $1\frac{1}{2}$ inches in diameter, but the point of the spear has been broken off. The base of the spear is much splintered. The smaller spear measures 5 inches in length and about $\frac{1}{2}$ inch in diameter. Part of the outer layer of rubber has been cut away to expose the smaller spear, as shown in the photograph.
The bale was originally bound with three straps (presumably iron), of which the middle one has left the deepest impression. The point of entry of the smaller spear just misses this groove, but that of the larger spear is in the groove; consequently the attack was made after the strap had become loose (or rusted away). How long the bale had been floating or where it originally came from is impossible to say. The attack may possibly have been made in the Indian Ocean, and the bale subsequently carried down the coast of Africa by the Mozambique and Agulhas currents. Only the outer surface of the rubber to a depth of about $1\frac{1}{2}$ inch appears to have perished.
Numerous cases of Swordfishes and Spearfishes attacking ships and boats are on record,* but an attack on a bale of rubber is rather unusual.
The specimen is exhibited in the South African Museum.
Another case could be added to the one recorded above, since the following paragraph appeared in the *West Australian* newspaper (Perth), 22nd January, 1945:
"Albany, Jan. 19.—While at Two People Bay, 25 miles east of Albany recently, Mr. H. Pearson picked up a piece of rubber, about 12 inches thick, cast upon the beach. This was unique in that embedded in the find was a large Marlin spike. No trace of the large fish could be found, and it is surmised that this had charged at the rubber and had subsequently broken its spike in struggling to free itself of this entanglement. The finder reported the occurrence to the local Fisheries Inspector (Mr. J. Munro) on his return to Albany."
At that time, it is noteworthy that hundreds of bales of rubber were being washed ashore on many Western Australian beaches, possibly as the result of shipwreck or wartime casualty.
* Director, South African Museum.
†Gudger, E. W., *Mem. Roy. Asiat. Soc.*, Bengal, xii, 2, pp. 215-315, April, 1940; Whitley, G. P., *Austral. Mus. Mag.*, vii, 7, pp. 238-242, December, 1940.
The Snowy Mountains of New South Wales
PART I
By H. O. FLETCHER
In the far southern part of New South Wales and west of Cooma are thousands of square miles of rugged alpine territory known as the Snowy Mountains. This great elevated plateau is often referred to as the "Roof of Australia" and rises to heights above sea-level of more than 7,000 feet. The highest point, and incidentally the highest point in Australia, is Mount Kosciusko towering to a height of 7,313 feet, while nearby are the lofty outstanding peaks of Mount Townsend (7,236 feet), Mount Twynam (7,200 feet) and Ramshead (7,173 feet).
The Snowy Mountains area is one of Australia's most spectacular and popular "playgrounds" and, during the six or seven months of the year when it is completely snow-clad, is admirably suited for all winter sports. In the summer months it is possible to reach the highest point by road where a visitor is rewarded with mountain scenery of a rugged grandeur unsurpassed elsewhere in Australia.
The Snowy Mountains were discovered by Count de Strzelecki, in 1839, while carrying out an exploratory trip through the Monaro country. The Snowy River was first sighted south of the present town of Jindabyne, where it has cut a sinuous course through elevated country and is deeply entrenched. Strzelecki shortly
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1This is the recently corrected figure.
afterwards, from the Murray side of the range, reached what he thought was the highest point of the range and named it Mount Kosciusko after the Polish patriot. Strzelecki described this peak which, according to his observations, was 6,500 feet in height, in the following words:—"Conspicuously elevated above all the heights hitherto noticed in this cursory view, and swollen by many rugged protruberances, the snowy and craggy sienitie cone of Mount Kosciusko is seen cresting the Australian Alps, in all the sublimity of mountain scenery." Later and more accurate surveys of this area suggest that a nearby peak was higher than the one selected by Strzelecki and his name was transferred to it. The peak described by him is now known as Mount Townsend.
The alpine zone of the Snowy Mountains is usually recognized as the country between the tree-line and the highest altitude and it is deeply dissected by numerous tributaries which feed the major rivers of the area. This zone is too rugged for any form of cultivation, although grazing is possible on isolated pastures during the summer months. The "Snow Gums" and "Black Sallys" are the only trees of any importance which thrive on this elevated and usually badly drained and very poor country.
A belt of lower and less rugged subalpine slope country succeeds the elevated alpine region to the north and to the west. Its surface is undulating to steep with occasional fairly large areas of relatively flat and open land. These naturally clear and beautiful plains are clothed with a luxuriant growth of snow-grass and herbage. They are subdivided into "snow-leases" and are used extensively during the summer months for the grazing of sheep and cattle.
In the spring-time the open plains are a riot of colour from a wide variety of flowers which almost cover the whole of the country-side. White and yellow snow-daisies and vivid yellow butter-cups grow in profusion and are a special feature of the flowering plants of both the subalpine and alpine zones of the Snowy Mountains. Other shrubs which add beauty to the landscape include a local type of Hopbush, Dwarf Grevilleas, Acacias and an abundance of Prostantheras. Many of
Left: Thick growth of Mountain Ash near Musical Hill, between the Tooma River and Ogilvie's Creek.
Photo.—M. Hall.
Right: The upper reaches of the Tooma River flowing through the alluviated valley of Pretty Plain.
Photo.—C. Adamson.
these flowering plants thrive above the 6,000 feet level and associated with them on the more elevated country is the unique Mountain Celery with its spiny palm-like leaves and white flowers. The most fragrant and strongly perfumed of all is a small mat-herb with yellow star-shaped flowers known as *Stackhousea*. It abounds amongst the Snow-grass.
The sub-alpine zone comprises the lower slopes of the plateau, extends from approximately 3,000 feet to 5,000 feet, and is heavily timbered with a variety of highland types of trees. These include the Alpine Ash, Mountain and Ribbon Gums and the Narrow-leaf Peppermint. Some of these trees attain large dimensions, particularly those growing on good granite and basalt soils which are well drained.
The Snowy Mountains in comparison with the greater mountain ranges of the world are of minor importance, but to Australia the value of this upland area as a potential source of hydro-electric power and irrigation is inestimable.
Thousands of square miles of the Snowy Mountains are covered with snow every year from May until November, while the rainfall averages approximately fifty inches each year. The major rivers which have their source in the Snowy Mountains are the Snowy, the Murray, the Murrumbidgee and the Tumut. These are continually fed by this reliable and inexhaustible source of supply of water.
Although the value of this area had been realized for some time, it was not until 1949 that a vast project to harness the waters was set in motion by the Snowy Mountains Hydro-electric Authority. Some idea of the immensity of the scheme which will make the "Roof of Australia" a most important factor in the future development of Australia is provided in the following approximate figures. Construction originally was to include seven major dams, eighty-six miles of tunnels, 490 miles of race-lines and sixteen power stations. The estimated electricity which will be provided by the completed scheme includes 2,750,000 kilowatts which will be supplied to the Commonwealth for defence purposes and for consumption in the Australian Capital Territory. The surplus power will then be supplied to New South Wales and Victoria, the former receiving two-thirds and the latter one-third. Extra water in the Murray and Murrumbidgee valleys will, when the scheme is completed, reach the enormous figure of 2,100,000 acre feet each year, an acre foot of water being approximately 272,000 gallons.
The Snowy River alone drains 700 square miles of the eastern Alps as it follows its eccentric course east, north, south, west, then south again before entering the sea near Orbost, in Victoria. In its three-hundred-mile dash to the sea the Snowy River falls 7,000 feet and it has been well named Australia's "madcap" river. Its flow when it enters the planned Jindabyne Reservoir will be 8,050 gallons per second. The wall of the Jindabyne dam will also stem the waters of the Eucumbene and Crackenback Rivers. It is to be constructed two miles downstream from the little township of Jindabyne and the stored waters
will encompass the whole of the beautiful Jindabyne valley, including the township itself.
Away on the other side of the range and slightly south of Mount Kosciusko, a deep gorge plunges almost perpendicularly for more than 5,000 feet and at its base is found the Swampy Plain River, a major tributary of the Murray River which runs for 1,200 miles along the Victorian border before entering the sea at Goolwa, in South Australia. Steep mountainous country flanks the Murray from its source almost to Albury, at which point the river enters the first part of its attenuated plain environment. Swampy Plain Valley is of particular beauty and is separated from the Murrumbidgee waters by the wide range of mountains surmounted by the more spectacular residual mounts of the Grey Mare, Rocky Bogong, Jagungal and Round Mountain.
The Snowy-Murray main diversion scheme envisages a main tunnel about 39 miles long which will carry the eastern flowing waters of the Snowy River impounded in the Jindabyne Dam, west to the Murray River, via Swampy Plain River. In this way water, after it has been utilized for power at various power stations en route, will be made available for irrigation purposes from the Murray River.
Approaching the township of Adaminaby along the main Cooma-Kiandra road, one can readily see evidence of the vast amount of preliminary work being carried out by the Snowy Mountains Authority on the Tumut Scheme. This part of the main scheme visualizes seven power stations developing 1,020,000 kw of hydro-electric power while at the same time providing additional water to the Murrumbidgee River for valuable irrigation work.
Use has already been made of the Murrumbidgee waters and the Burrinjuck Dam in providing water for the Murrumbidgee Irrigation Area, which now supports a population of 20,000 people as against not more than 20 or 30 persons in 1912. The dam has a water surface of 12,784 acres and a capacity of 771,641 acre feet of water, interesting figures when compared with the potential water storage under the Snowy-Tumut Scheme. The hydro-electric power developed at Burrinjuck is 20,000 kw from power-houses at the foot of the dam.
The Tumut Scheme which will enrich the waters of the Murrumbidgee will include the following main works. Four large dams, 45 miles of tunnels, and 160 miles of race-lines. Briefly this scheme means damming the Upper Eucombene River at Adaminaby, where a storage will be effected of more than 1,000,000 acre feet of water. This water will then be diverted to flow to the Upper Tumut River, at Tumut Pond, by means of a tunnel about 15 miles long and more than 30 feet in diameter. From this point the tunnel line extends beneath the Tumut Valley for 12 miles to the Lobb's Hole Dam. It is in this section that the great fall necessary to generate power is made and power stations will be constructed along this
line. The Tooma River, a tributary of the Murray River, will also have some of its waters diverted to the Tumut by a tunnel 5 miles long and more than 25 feet in diameter. Both these rivers carry large and inexhaustible quantities of water, but their upper valleys are unsuitable for large storage dams. It will also be possible when necessary to turn the flow of the Upper Tumut and the Tooma back through the Tumut-Eucumbene tunnel to the dam at Adaminaby.
The Tumut River is a tributary of the Murrumbidgee and the diversion of Tooma and Eucumbene waters into it will make available a large amount of additional water for irrigation and also allow for the generation of power.
An extension of the Tumut Scheme is the damming of the Upper Murrumbidgee near Tantangara. From this storage dam water will be diverted into the Tumut Valley, thus permitting the generation of still additional power. Some figures supplied by the Snowy Mountains Authority on water power are of interest. Four gallons of water per second with a drop of 3,000 feet will generate 132 kw of power. A kilowatt equals 1,000 watts and is approximately one and one-third horse-power.
Te Baitari—An Edible Jellyfish from Tarawa
By ELIZABETH C. POPE, M.Sc.
During a recent visit to the Australian Museum, Dr. and Mme. Catala of New Caledonia brought a jellyfish for identification and told an interesting story about it. It seems that this particular species of jellyfish appears in swarms at regular and, provided that the wind and weather conditions are normal, predictable intervals in the surface waters round the Gilbert Islands. Since the jellies are much prized as food, the natives catch as many as possible, eating some and treating the surplus so that they can be stored and used later.
Although the specimen submitted for identification had collapsed to some extent during its journey from Tarawa to Sydney, it was sufficiently well preserved for us to make a reasonably sure identification. In spite of its large size, which may be seen in the accompanying photograph, it seems to belong to the order Carybdeida, the members of which are generally small. It has the typical flattened, four-sided bell which is squarish in cross section, and from each of the four corners hangs the kind of tentacle typical for this group. The sense organs and velar diaphragm are also
of the Carybdeid type. By a stroke of good luck we were able to take the identification still further for an expert in jellyfish happened to visit the Museum just after the jellyfish had come into our possession. He was Dr. K. L. Kramp on his way home to Copenhagen after nine months' service with the Danish Deep Sea Expedition on the "Galathea". It was his opinion that the jellyfish belonged to the genus *Tamoya*.
The Carybdeid group of jellyfish are ordinarily noted for their potent stinging qualities and have earned for themselves the popular name, Sea Wasps. One particular genus, *Chiropsalmus*, according to Dr. Libbie Hyman, is greatly feared by Philippine and Japanese fishermen who call it the Fire Medusa. It is a member of this genus which is suspected of causing several mysterious deaths of bathers in the tropical waters of Australia. It seems peculiar, therefore, to learn of natives actually seeking out and gathering and handling carybdeid jellyfish in large quantities and it seems stranger still that the Gilbertese should be able to eat them without coming to harm.
At Tarawa the natives may eat the jellies soon after capture, in which case they scrape away the "bell" and tentacle portions of the body with a blunt knife and boil what is left before they eat it. Mme. Catala likens the taste of this boiled jellyfish to that of tripe. If more jellies are captured than can be used immediately some may be dried in the sun and stored for later use. They are scraped first and the centre parts (the manubrium and some of the internal organs) are hung over a line for drying. The accompanying photograph shows a line full of these jellyfish "tripes" looking like washing as they dry.
Before use the dried flesh must be reconstituted (as with most dried foods) by soaking it in water and then it is ready for use. Mme. Catala had taken some of the boiled jellyfish, drained them of the surplus water and then cooked them in hot oil till they became brown and crisp like pork crackling. Jellies treated in this manner were absolutely delicious according to Dr. Catala. So it is no wonder that the natives will risk a sting or two to gather this delicacy which they call Te Baītari.
Dr. Catala stated that the swarms of jellies appeared in the shallows always seven days before the full moon, except for occasions (which are comparatively
rare) when strong winds blew them offshore. Apparently the coming of Te Baitari is as predictable as is the coming of the Palolo Worm, with the added advantage that the jellies appear much oftener and the Gilbert islanders make good use of their knowledge.
I am greatly indebted to my friends Dr. and Mme. Catala both for supplying me with this information and for allowing me to publish it. The excellent photographs which illustrate the story were also supplied by Dr. Catala.
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**Review**
"ECOLOGICAL ANIMAL GEOGRAPHY."
Second Edition by W. C. Allee and Karl P. Schmidt. An authorized edition, re-written and revised, based on "Tiergeographie auf ökologischer Grundlage" by the late Richard Hesse. John Wiley and Sons Inc., New York. Chapman and Hall, Ltd., London. Pp. 715, + xiii, 142 illustrations. Price, $9.50.
The revision by Allee and Schmidt of this comprehensive textbook will be welcomed by all who are interested either in the ecology of animals or in their geographical distributions. In it a great deal of material from a wide variety of sources is brought together for handy reference.
The first section of the book deals with the ecological factors which influence the existence and distribution of animals such as barriers to their free dispersal and effects of geographical isolation. Terms in ecology are defined and the main classification of animals according to environments is set out. The remaining three sections of the book discuss the ecological geography of the three types of animals—marine, freshwater (that is, those of inland waters) and land.
In the account of freshwater organisms the greater variability in the environmental factors available (for example, running water and still water), as compared with the oceans, is related to some of the differences found in the freshwater organisms, both pedonic and limnetic, from their corresponding marine groups—the benthal and pelagial. Consideration is also given to such special cases as tropical and polar freshwater animals, alpine freshwater communities and also creatures living in brine, humus water or in hot and cold springs.
The fourth and largest section of the book opens with a detailed account of the more important factors influencing terrestrial animals. Then follow accounts of the various types of animal communities found on the land—forest, grasslands, deserts, swamps and shores, and also those of the alpine regions—together with the adaptations which appear in each of them. Two special types of land communities dealt with separately, as they do not fit easily into any systematic ecological category, are the animal communities of islands and those found in subterranean spaces such as caves, mine shafts and so on. The book concludes with a discussion of the effect of Man and his activities on the distribution of other animals and the parts played by deforestation, building, agriculture and pollution of streams are assessed. One feels somewhat surprised that no mention is made in this section of the problem of overfishing, for it is of economic importance in most parts of the world.
From this abbreviated list of contents it will be realized that this book offers something to everyone who has the slightest interest in natural history and, since it is admirably presented and well indexed, it can be used by amateurs and professionals with equal facility. To anyone teaching biology it offers additional matter to clothe the sometimes dry facts of conventional biology syllabuses with interest and so help to sustain the pupil's attention. It is a book which can be thoroughly recommended.
E. POPE, M.Sc. |
As you travel through your criminal justice/criminology studies, you will soon learn that some of the best known and/or emerging explanations of crime and criminal behavior come from research articles in academic journals. This book has research articles throughout the book, but you may be asking yourself, “How do I read a research article?” It is my hope to answer this question with a quick summary of the key elements of any research article, followed by the questions you should be answering as you read through the assigned sections.
Every research article published in a social science journal will have the following elements: (1) introduction, (2) literature review, (3) methodology, (4) results, and (5) discussion/conclusion.
In the introduction, you will find an overview of the purpose of the research. Within the introduction, you will also find the hypothesis or hypotheses. A hypothesis is most easily defined as an educated statement or guess. In most hypotheses, you will find that the format usually followed is: If X, Y will occur. For example, a simple hypothesis may be: “If the price of gas increases, more people will ride bikes.” This is a testable statement that the researcher wants to address in his/her study. Usually, authors will state the hypothesis directly, but not always. Therefore, you must be aware of what the author is actually testing in the research project. If you are unable to find the hypothesis, ask yourself what is being tested and/or manipulated, and what are the expected results?
The next section of the research article is the literature review. At times the literature review will be separated from the text in its own section, and at other times it will be found within the introduction. In any case, the literature review is an examination of what other researchers have already produced in terms of the research question or hypothesis. For example, returning to my hypothesis on the relationship between gas prices and bike riding, we may find that five researchers have previously conducted studies on the increase of gas prices. In the literature review, I will discuss their findings and then discuss what my study will add to the existing research. The literature review may also be used as a platform of support for my hypothesis. For example, one researcher may have already determined that an increase in gas prices causes more people to roller-blade to work. I can use this study as evidence to support my hypothesis that increased gas prices will lead to more bike riding.
The methods used in the research design are found in the next section of the research article. In the methodology section you will find the following: who/what was studied, how many subjects were studied, the research tool (e.g., interview, survey, observation . . .), how long the subjects were studied, and how the data that was collected was processed. The methods section is usually very concise, with every step of the research project recorded. This is important because a major goal of the researcher is “reliability,” or, if the research is done over again the same way, will the results be the same?
The results section is an analysis of the researcher’s findings. If the researcher conducted a quantitative study (using numbers or statistics to explain the research), you will find statistical tables and analyses that explain whether or not the researcher’s hypothesis is supported. If the researcher conducted a qualitative study (non-numerical research for the purpose of theory construction), the results will usually be
displayed as a theoretical analysis or interpretation of the research question.
Finally, the research article will conclude with a discussion and summary of the study. In the discussion, you will find that the hypothesis is usually restated, and perhaps a small discussion of why this is the hypothesis. You will also find a brief overview of the methodology and results. Finally, the discussion section will end with a discussion of the implications of the research and what future research is still needed.
Now that you know the key elements of a research article, let us examine a sample article from your text.
**The Use and Usefulness of Criminology, 1751-2005: Enlightened Justice and Its Failures**
*By Lawrence W. Sherman*
1. What is the thesis or main idea from this article?
- The thesis or main idea is found in the introductory paragraph of this article. Although Sherman does not point out the main idea directly, you may read the introduction and summarize the main idea in your own words. For example: The thesis or main idea is that criminology should move away from strict analysis and towards scientific experimentation in order to improve the criminal justice system and crime control practices.
2. What is the hypothesis?
- The hypothesis is found in the introduction of this article. It is first stated in the beginning paragraph: "As experimental criminology provides more comprehensive evidence about responses to crime, the prospects for better basic science—and better policy—will improve accordingly." The hypothesis is also restated in the middle of the second section of the article. Here, Sherman actually distinguishes the hypothesis by stating: "The history of criminology . . . provides an experimental test of this hypothesis about analytic versus experimental social science: *that social science has been most useful, if not most used, when it has been most experimental, with visibly demonstrable benefits (or harm avoidance) from new inventions.*"
3. Is there any prior literature related to the hypothesis?
- As you may have noticed, this article does not have a separate section for a literature review. However, you will see that Sherman devotes attention to prior literature under the heading Enlightenment, Criminology, and Justice. Here, he offers literature regarding the analytical and experimental history of criminology. This is a brief overview to help the reader understand the prior research that explains why social science became primarily analytic.
4. What methods are used to support the hypothesis?
- Sherman’s methodology is known as a historical analysis. In other words, rather than conducting his own experiment, Sherman is using evidence from history to support his hypothesis regarding analytic and experimental criminology. When conducting a historical analysis, most researchers use archival material from books, newspapers, journals, etc. Although Sherman does not directly state his source of information, we can see that he is basing his argument on historical essays and books, beginning with Henry Fielding’s *An Enquiry Into the Causes of the Late Increase of Robbers* (1751) to the social experiments of the 1980s by the National Institute of Justice. Throughout his methodology, Sherman continues to emphasize his hypothesis of the usefulness of experimental criminology, yet how experiments have also been hidden in the shadows of analytic criminology throughout history.
5. Is this a qualitative study or quantitative study?
♦ To determine whether a study is qualitative or quantitative, you must look at the results. Is Sherman using numbers to support his hypothesis (quantitative) or is he developing a non-numerical theoretical argument (qualitative)? Because Sherman does not utilize statistics in this study, we can safely conclude that this is a qualitative study.
6. What are the results and how does the author present the results?
♦ Because this is a qualitative study, as we earlier determined, Sherman offers the results as a discussion of his findings from the historical analysis. The results may be found in the section titled Criminology: Analytic, Useful, and Used. Here, Sherman explains that “the vast majority of published criminology remains analytic and nonexperimental.” He goes on to say that although experimental criminology has been shown to be useful, it has not always been used, or has not been used correctly. Because of the misuse of experimental criminology, criminologists have steered towards the safety of analysis rather than experimentation. Therefore, Sherman concludes that “[a]nalytic social science still dominates field experiments by 100 to 1 or better in criminology. . . . Future success of the field may depend upon a growing public image based on experimental results. . . .”
7. Do you believe that the author/s provided a persuasive argument? Why or why not?
♦ This answer is ultimately up to the reader, but looking at this article, I believe that it is safe to assume that the readers will agree that Sherman offered a persuasive argument. Let us return to his major premise: The advancement of theory may depend on better experimental evidence, but, as history has illustrated, the vast majority of criminology remains analytical. Sherman supports this proposition with a historical analysis of the great thinkers of criminology and the absence of experimental research throughout a major portion of history.
8. Who is the intended audience of this article?
♦ A final question that will be useful for the reader deals with the intended audience. As you read the article, ask yourself, to whom is the author wanting to speak? After you read this article, you will see that Sherman is writing for not only students, but also professors, criminologists, historians, and/or criminal justice personnel. The target audience may most easily be identified if you ask yourself, “Who will benefit from reading this article?”
9. What does the article add to your knowledge of the subject?
♦ This answer is best left up to the reader because the question is asking how the article improved your knowledge. However, one way to answer the question is as follows: This article helps the reader to understand that criminology is not just about theoretical construction. Criminology is both an analytical and experimental social science, and in order to improve the criminal justice system, as well as criminal justice policies, more attention needs to be given to the usefulness of experimental criminology.
10. What are the implications for criminal justice policy that can be derived from this article?
♦ Implications for criminal justice policy are most likely to be found in the conclusion or the discussion sections of the article. This article, however, emphasizes the implications throughout the article. From this article, we are able to derive that crime prevention programs will improve greatly if they are embedded in well-funded experimental-driven data rather than strictly analytical data. Therefore, it is in the hands of policymakers to fund criminological research and apply the findings in a productive manner to criminal justice policy.
Now that we have gone through the elements of a research article, it is your turn to continue through your text, reading the various articles and answering the same questions. You may find that some articles are easier to follow than others, but do not be dissuaded. Remember that each article will follow the same format: introduction, literature review, methods, results, and discussion. If you have any problems, refer to this introduction for guidance.
**READING**
**Introduction to “The Use and Usefulness of Criminology, 1751-2005”**
In this article, Lawrence Sherman adds to our knowledge about the history of criminology. His premise is that after a useful beginning in the eighteenth-century Enlightenment as both an experimental and analytic social science, criminology sank into two centuries of inactivity. Its resurrection in the late twentieth-century crime wave successfully returned criminology to the forefront of discovering useful, if not always used, facts about prevailing crime patterns and responses to crime. Criminology’s failures of “use” in creating justice more enlightened by knowledge of its effects is linked to the still-limited usefulness of criminology, which lacks a comprehensive body of evidence to guide sanctioning decisions. Yet that knowledge is rapidly growing, with experimental (as distinct from analytic) criminology now more prominent than at any time since Henry Fielding founded criminology while inventing the police. In short, Sherman wants us to put criminology to use by experimenting with different replicable crime control practices, using experimental and control groups when possible, rather than simply being a theory-testing science.
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**The Use and Usefulness of Criminology, 1751-2005**
*Enlightened Justice and Its Failures*
**Lawrence W. Sherman**
Criminology was born in a crime wave, raised on a crusade against torture and execution, and then hibernated for two centuries of speculation. Awakened by the rising crime rates of the latter twentieth century, most of its scholars chose to pursue analysis over experiment. The twenty-first century now offers more policy-relevant science than ever, even if basic science still occupies center stage. Its prospects for integrating basic and “clinical” science are growing, with more scholars using multiple tools rather than pursuing single-method work. Criminology contributes only a few drops of science in an ocean of decision making, but the number of drops is growing steadily.
*Editors’ Note:* This article is from *The ANNALS* of the American Academy of Political and Social Science Vol. 600, No. 1, 115–135 (2005).
As experimental criminology provides more comprehensive evidence about responses to crime, the prospects for better basic science—and better policy—will improve accordingly.
**Enlightenment, Criminology, and Justice**
The entire history of social science has been shaped by key choices scholars made in that transformative era, choices that are still made today. For criminology more than most disciplines, those Enlightenment choices have had enormous consequences for the use and usefulness of its social science. The most important of these consequences is that justice still remains largely un-Enlightened by empirical evidence about the effects of its actions on public safety and public trust.
Historians may despair at defining a coherent intellectual or philosophical content in the Age of Enlightenment, but one idea seems paramount: “that we understand nature and man best through the use of our natural faculties” (May 1976, xiv) by systematic empirical methods, rather than through ideology, abstract reasoning, common sense, or claims of divine principles made by competing religious authorities. Kant, in contrast, stressed the receiving end of empirical science in his definition of Enlightenment: the time when human beings regained the courage to “use one’s own mind without another’s guidance” (Gay 1969, 384).
Rather than becoming *experimental* in method, social science became primarily *analytic*. This distinction between experimental manipulation of some aspect of social behavior versus detached (if systematic) observation of behavioral patterns is crucial to all social science (even though not all questions for social science offer a realistic potential for experiment). The decision to cast social science primarily in the role of critic, rather than of inventor, has had lasting consequences for the enterprise, especially for the credibility of its conclusions. There may be nothing so practical as a good theory, but it is hard to visibly—or convincingly—demonstrate the benefits of social analysis for the reduction of human misery. The absence of “show-and-tell” benefits of analytic social science blurred its boundaries with ideology, philosophy, and even emotion. This problem has plagued analytic social science ever since, with the possible exception of times (like the Progressive Era and the 1960s) when the social order itself was in crisis. As sociologist E. Digby Baltzell (1979) suggested about cities and other social institutions, “as the twig is bent, so grows the tree.” Social science may have been forged in the same kind of salon discussions as natural science, but without some kind of empirical reports from factories, clinics, or farm fields. Social science has thus famously “smelled too much of the lamp” of the library (Gay 1969). Even when analytic social science has been most often used, it is rarely praised as useful.
That is not to say that theories (with or without evidence) have lacked influence in criminology, or in any social science. The theory of deterrent effects of sanctions was widely used to reduce the severity of punishment long before the theory could be tested with any evidence. The theories of “anomie” and “differential association” were used to plan the 1960s “War on Poverty” without any clear evidence that opportunity structures could be changed. Psychological theories of personality transformation were used to develop rehabilitation programs in prisons long before any of them were subject to empirical evaluation. Similarly, evidence (without theory) of a high concentration of crime among a small proportion of criminal offenders was used to justify more severe punishment for repeat offenders, also without empirical testing of those policies.
The criminologists’ general preference for analysis over experiment has not been universal in social science. Enlightenment political science was, in an important—if revolutionary—sense, experimental, developing and testing new forms of government soon after they were suggested in print. The Federalist Papers, for example, led directly to the “experiment” of the Bill of Rights.
Perhaps the clearest exception to the dominance of analytic social science was within
criminology itself in its very first work during the Enlightenment. The fact that criminologists do not remember it this way says more about its subsequent dominance by analytic methods than about the true history of the field. Criminology was born twice in the eighteenth century, first (and forgotten) as an experimental science and then (remembered) as an analytic one. And though experimental criminology in the Enlightenment had an enormous impact on institutions of justice, it was analytic criminology that was preserved by law professors and twentieth-century scholars as the foundation of the field.
The history of criminology thus provides an experimental test of this hypothesis about analytic versus experimental social science: *that social science has been most useful, if not most used, when it has been most experimental, with visibly demonstrable benefits (or harm avoidance) from new inventions*. The evidence for this claim in eighteenth-century criminology is echoed by the facts of criminology in the twentieth century. In both centuries, the fraternal twins of analysis and experiment pursued different pathways through life, while communicating closely with each other. One twin was critical, the other imaginative; one systematically observational, the other actively experimental; one detached with its integrity intact, the other engaged with its integrity under threat. Both twins needed each other to advance their mutual field of inquiry. But it has been experiments in every age that made criminology most useful, as measured by unbiased estimates of the effects of various responses to crime.
The greatest disappointment across these centuries has been the limited usefulness of experimental criminology in achieving “geometric precision” (Beccaria 1764/1964) in the pursuit of “Enlightened Justice,” defined as “the administration of sanctions under criminal law guided by (1) inviolate principles protecting human rights of suspects and convicts while seeking (2) consequences reducing human misery, through means known from (3) unbiased empirical evidence of what works best” (Sherman 2005). While some progress has been made, most justice remains unencumbered by empirical evidence on its effects. To understand why this disappointment persists amid great success, we must begin with the Enlightenment itself.
**Inventing Criminology: Fielding, Beccaria, and Bentham**
The standard account of the origin of criminology locates it as a branch of moral philosophy: part of an aristocratic crusade against torture, the death penalty, and arbitrary punishment, fought with reason, rhetoric, and analysis. This account is true but incomplete. Criminology’s forgotten beginnings preceded Cesare Beccaria’s famous 1764 essay in the form of Henry Fielding’s 1753 experiments with justice in London. Inventing the modern institutions of a salaried police force and prosecutors, of crime reporting, crime records, employee background investigations, liquor licensing, and social welfare policies as crime prevention strategies, Fielding provided the viable preventive alternatives to the cruel excesses of retribution that Beccaria denounced—before Beccaria ever published a word.
The standard account hails a treatise on “the science of justice” (Gay 1969, 440) that was based on Beccaria’s occasional visits to courts and prisons, followed by many discussions in a salon. The present alternative account cites a far less famous treatise based on more than a thousand days of Fielding conducting trials and sentencing convicts in the world’s (then) largest city, supplemented by his on-site inspections of tenements, gin joints, brothels, and public hangings. The standard account thus chooses a criminology of analytic detachment over a criminology of clinical engagement.
The standard account in twentieth-century criminology textbooks traced the origin of the field to this “classical school” of criminal law and criminology, with Cesare Beccaria’s (1738–1794) treatise *On Crimes and Punishments* (1764) as the first treatise in scientific criminology. (Beccaria is also given credit [incorrectly], even by Enlightenment scholars, for first proposing
that utility be measured by “the greatest happiness divided among the greatest number”—which Frances Hutcheson, a mentor to Adam Smith, had published in Glasgow in 1725 before Beccaria was born [Buchan 2003, 68–71]). Beccaria, and later Bentham, contributed the central claims of the deterrence hypothesis on which almost all systems of criminal law now rely: that punishment is more likely to prevent future crime to the extent that it is certain, swift, and proportionate to the offense (Beccaria) or more costly than the benefit derived from the offense (Bentham).
**Fielding**
This standard account of Beccaria as the first criminologist is, on the evidence, simply wrong. Criminology did not begin in a Milanese salon among the group of aristocrats who helped Beccaria formulate and publish his epigrams but more than a decade earlier in a London magistrate’s courtroom full of gin-soaked robbery defendants. The first social scientist of crime to publish in the English—and perhaps any—language was Henry Fielding, Esq. (1707–1754). Fielding was appointed by the government as magistrate at the Bow Street Court in London. His years on that bench, supplemented by his visits to the homes of London labor and London poor, provided him with ample qualitative data for his 1751 treatise titled *An Enquiry Into the Causes of the Late Increase of Robbers*.
Fielding’s treatise is a remarkable analysis of what would today be called the “environmental criminology” of robbery. Focused on the reasons for a crime wave and the policy alternatives to hanging as the only means of combating crime, Fielding singles out the wave of “that poison called gin” that hit mid-century London like crack hit New York in the 1980s. He theorizes that a drastic price increase (or tax) would make gin too expensive for most people to consume, thereby reducing violent crime. He also proposes more regulation of gambling, based on his interviews with arrested robbers who said they had to rob to pay their gambling debts. Observing the large numbers of poor and homeless people committing crime, he suggests a wider “safety net” of free housing and food. His emphasis is clearly on prevention without punishment as the best policy approach to crime reduction.
Fielding then goes on to document the failures of punishment in three ways. First, the system of compulsory “voluntary policing” by each citizen imposed after the Norman Conquest had become useless: “what is the business of every man is the business of no man.” Second, the contemporary system of requiring crime victims to prosecute their own cases (or hire a lawyer at their own expense) was failing to bring many identified offenders to justice. Third, witnesses were intimidated and often unwilling to provide evidence needed for conviction. All this leads him to hint at, but not spell out, a modern system of “socialized” justice in which the state, rather than crime victims, pays for police to investigate and catch criminals, prosecutors to bring evidence to court, and even support for witnesses and crime victims.
His chance to present his new “invention” to the government came two years after he published his treatise on robbery. In August, 1753, five different robbery-murders were committed in London in one week. An impatient cabinet secretary summoned Fielding twice from his sickbed and asked him to propose a plan for stopping the murders. In four days, Fielding submitted a “grant proposal” for an experiment in policing that would cost £600 (about £70,000 or $140,000 in current value). The purpose of the money was to retain, on salary, the band of detectives Fielding worked with, and to pay a reward to informants who would provide evidence against the murderers.
Within two weeks, the robberies stopped, and for two months not one murder or robbery was reported in Westminster (Fielding 1755/1964, 191–193). Fielding managed to obtain a “no-cost extension” to the grant, which kept the detectives on salary for several years. After Henry’s death, his brother John obtained
new funding, so that the small team of “Bow Street Runners” stayed in operation until the foundation of the much larger—and uniformed—Metropolitan Police in 1829.
The birth of the Bow Street Runners was a turning point in the English paradigm of justice. The crime wave accompanying the penny-a-quart gin epidemic of the mid-eighteenth century had demonstrated the failure of relying solely on the severity of punishment, so excessive that many juries refused to convict people who were clearly guilty of offenses punishable by death—such as shoplifting. As Bentham would later write, there was good reason to think that the certainty of punishment was too low for crime to be deterrable. As Fielding said in his treatise on robbery, “The utmost severity to offenders [will not] be justifiable unless we take every possible method of preventing the offence.” Fielding was not the only inventor to propose the idea of a salaried police force to patrol and arrest criminals, but he was the first to conduct an experiment testing that invention. While Fielding’s police experiment would take decades to be judged successful (seventy-six years for the “Bobbies” to be founded at Scotland Yard in 1829), the role of experimental evidence proved central to changing the paradigm of practice.
**Beccaria**
In sharp contrast, Beccaria had no clinical practice with offenders, nor was he ever asked to stop a crime wave. Instead, he took aim at a wave of torture and execution that characterized European justice. Arguing the same ideology of prevention as Fielding (whose treatise he did not cite), Beccaria urged abolition of torture, the death penalty, and secret trials. Within two centuries, almost all Europe had adopted his proposals. While many other causes of that result can be cited, there is clear evidence of Beccaria’s 1764 treatise creating a “tipping point” of public opinion on justice.
What Beccaria did not do, however, was to supply a shred of scientific evidence in support of his theories of the deterrent effects of non-capital penalties proportionate to the severity of the offense. Nor did he state his theories in a clearly falsifiable way, as Fielding had done. In his method, Beccaria varies little from law professors or judges (then and now) who argue a blend of opinion and factual assumptions they find reasonable, deeming it enlightened truth ipse dixit (“because I say so myself”). What he lacked by the light of systematic analysis of data, he made up for by eloquence and “stickiness” of his aphorisms. Criminology by slogan may be more readily communicated than criminology by experiment in terms of fame. But it is worth noting that the founding of the British police appears much more directly linked to Fielding’s experiments than the steady abolition of the death penalty was linked to Beccaria’s book.
**Bentham**
Beccaria the moral-empirical theorist stands in sharp contrast to his fellow Utilitarian Jeremy Bentham, who devoted twelve years of his life (and some £10,000) to an invention in prison administration. Working from a book he wrote on a “Panopticon” design for punishment by incarceration (rather than hanging), Bentham successfully lobbied for a 1794 law authorizing such a prison to be built. He was later promised a contract to build and manage such a prison, but landed interests opposed his use of the site he had selected. We can classify Bentham as an experimentalist on the grounds that he invested much of his life in “trying” as well as thinking. Even though he did not build the prison he designed, similar prisons (for better or worse) were built in the United States and elsewhere. Prison design may justifiably be classified as a form of invention and experimental criminology, as distinct from the analytic social science approach Bentham used in
his writings—thereby making him as “integrated” as Fielding in terms of theory and practice. The demise of Bentham’s plans during the Napoleonic Wars marked the end of an era in criminology, just as the Enlightenment itself went into retreat after the French Revolution and the rise of Napoleon. By 1815, experimentalism in criminology was in hibernation, along with most of criminology itself, not to stir until the 1920s or spring fully to life until the 1960s.
**Two Torpid Centuries—With Exceptions**
Analytic criminology continued to develop slowly even while experimental criminology slumbered deeply, but neither had any demonstrable utility to the societies that fostered them. One major development was the idea of involuntary causes of crime “determined” by either social (Quetelet 1835/2004) or biological (Lombroso 1876/1918) factors that called into question the legal doctrines of criminal responsibility. The empirical evidence for these claims, however, was weak (and in Lombroso’s case, wrong), leaving the theoretical approach to criminology largely unused until President Johnson’s War on Poverty in the 1960s.
**Cambridge-Somerville**
The first fully randomized controlled trial in American criminology appears to have been the Cambridge-Somerville experiment, launched in Massachusetts in the 1930s by Dr. Richard Clark Cabot. This project offered high-risk young males “friendly guidance and social support, healthful activities after school, tutoring when necessary, and medical assistance as needed” (McCord 2001). It also included a long-term “big brother” mentoring relationship that was abruptly terminated in most cases during World War II. While the long-term effects of the program would not be known until the 1970s, the critical importance of the experimental design was recognized at the outset. It was for that reason that the outcomes test could reach its startling conclusion: “The results showed that as compared with members of the control group, those who had been in the treatment program were more likely to have been convicted for crimes indexed by the Federal Bureau of Investigation as serious street crimes; they had died an average of five years younger; and they were more likely to have received a medical diagnosis as alcoholic, schizophrenic, or manic-depressive” (McCord 2001, 188). In short, the boys offered the program would have been far better off if they had been “deprived” of the program services in the randomly assigned control group.
No study in the history of criminology has ever demonstrated such clear, unintended, criminogenic effects of a program intended to prevent crime. To this day, it is “exhibit A” in discussions with legislators, students, and others skeptical of the value of evaluating government programs of any sort, let alone crime prevention programs. Its early reports in the 1950s also set the stage for a renaissance in experimental criminology, independently of the growth of analytic criminology.
**Renaissance: 1950-1982**
Amidst growing concern about juvenile delinquency, the Eisenhower administration provided the first federal funding for research on delinquency prevention. Many of the studies funded in that era, with both federal and nonfederal support, adopted experimental designs. What follows is merely a highlighting of the renaissance of experimental criminology in the long twilight of the FDR coalition prior to the advent of the Reagan revolution.
**Martinson and Wilson**
While experimental evidence was on the rise in policing, it was on the decline in corrections. The comprehensive review of rehabilitation strategies undertaken by Lipton, Martinson, and Wilks (1975) initially focused on the internal validity of the research designs in rehabilitation experiments within prisons. Concluding that these designs were too weak to offer unbiased estimates of treatment effects, the authors essentially said “we don’t know” what works to rehabilitate criminals. In a series of less scientific and more popular publications, the summary of the study was transformed into saying that there is no evidence that criminals can be rehabilitated. Even the title “What Works” was widely repeated in 1975 by word of mouth as “nothing works.”
The Martinson review soon became the basis for a major change in correctional policies. While the per capita rates of incarceration had been dropping throughout the 1960s and early 1970s, the trend was rapidly reversed after 1975 (Ruth and Reitz 2003). Coinciding with the publication of Wilson’s (1975) first edition of Thinking About Crime, the Martinson review arguably helped fuel a sea change from treating criminals as victims of society to treating society as the victim of criminals. That, in turn, may have helped to feed a three-decade increase in prisoners (Laub 2004) to more than 2.2 million, the highest incarceration rate in the world.
Warp Speed: 1982–2005
Stewart
In September, 1982, a former Oakland Police captain named James K. Stewart was appointed director of the National Institute of Justice (NIJ). Formerly a White House Fellow who had attended a National Academy of Sciences discussion of the work of NIJ, Stewart had been convinced by James Q. Wilson and others that NIJ needed to invest more of its budget in experimental criminology. He acted immediately by canceling existing plans to award many research grants for analytic criminology, transferring the funds to support experimental work. This work included experiments in policing, probation, drug market disruption, drunk-driving sentences, investigative practices, and shoplifting arrests.
Schools
The 1980s also witnessed the expansion of experimental criminology into the many school-based prevention programs. Extensive experimental and quasi-experimental evidence on their effects—good and bad—has now been published. In one test, for example, a popular peer guidance group that was found effective as an alternative to incarceration was found to increase crime in a high school setting. Gottfredson (1987) found that high-risk students who were not grouped with other high-risk students in high school group discussions did better than those who were.
Drug Courts
The advent of (diversion from prosecution to medically supervised treatments administered by) “drug courts” during the rapid increase in experimental criminology has led to a large and growing volume of tests of drug court effects on recidivism. Perhaps no other innovation in criminal justice has had so many controlled field tests conducted by so many different independent researchers. The compilations of these findings into meta-analyses will shed increasing light on the questions of when, and how, to divert drug-abusing offenders from prison.
Boot Camps
Much the same can be said about boot camps. The major difference is that boot camp evaluations started off as primarily quasi-experimental in their designs (with matched comparisons or worse), but increasing numbers of fully randomized tests have been conducted in recent years (Mitchell, MacKenzie, and Perez 2005). Many states persist in using boot camps for thousands of offenders, despite fairly consistent evidence that they are no more effective than regular correctional programs.
Child Raising
Criminology has also claimed a major experiment in child raising as one of its own. Beginning at the start of the “warp speed” era, the program of nurse home visits to at-risk first mothers
designed by Dr. David Olds and his colleagues (1986) has now been found to have long-term crime prevention effects. Both mothers and children show these effects, which may be linked to lower levels of child abuse or better anger management practices in child raising.
**Criminology: Analytic, Useful, and Used**
This recitation of a selected list of experiments in criminology must be labeled with a consumer warning: *the vast majority of published criminology remains analytic and nonexperimental*. While criminology was attracting funding and students during the period of rising crime of the 1960s to 1990s, criminologists put most of their efforts into the basic science of crime patterns and theories of criminality. Studies of the natural life course of crime among cohorts of males became the central focus of the field, as measured by citation patterns (Wolfgang, Figlio, and Thornberry 1978). Despite standing concerns that criminology would be “captured” by governments to become a tool for developing repressive policies, the evidence suggests that the greatest (or largest) generation of criminologists in history captured the field away from policymakers.
The renaissance in experimental criminology therefore addressed very intense debates over many key issues in crime and justice, providing the first unbiased empirical guidance available to inform those debates. That much made criminology increasingly useful, at least potentially. Usefulness alone, of course, does not guarantee that the information will be *used*. Police agencies today do make extensive use of the research on concentrating patrols in crime hot spots, yet they have few repeat offender units, despite two successful tests of the “invention.” Correctional agencies make increasing use of the “what works” literature in the United States and United Kingdom, yet prison populations are still fed by people returned to prison on the unevaluated policy of incarcerating “technical” violators of the conditions of their release (who have not committed new crimes). Good evidence alone is not enough to change policy in any context. Yet absent good evidence, there is a far greater danger that bad policies will win out. Analytic criminology—well or badly done—poses fewer risks for society than badly done experimental criminology. It is not clear that another descriptive test of differential association theory will have any effect on policy making, unless it is embedded in a program evaluation. But misleading or biased evidence from poor-quality research designs—or even unrepli cated experiments—may well cause the adoption of policies that ultimately prove harmful.
This danger is, in turn, reduced by the lack of influence criminology usually has on policy making or operational decisions. That, in turn, is linked to the absence of clear conclusions about the vast majority of criminal justice policies and decisions. Until experimental criminology can develop a more comprehensive basis of evidence for guiding operations, practitioners are unlikely to develop the habit of checking the literature before making a decision. The possibility of improving the quality of both primary evidence and systematic reviews offers hope for a future in which criminology itself may entail less risk of causing harm.
This is by no means a suggestion that analytic criminology be abandoned; the strength of experimental criminology may depend heavily on the continued advancement of basic (analytic) criminology. Yet the full partnership between the two has yet to be realized. Analytic social science still dominates field experiments by 100 to 1 or better in criminology, just as in any other field of research on human behavior. Future success of the field may depend upon a growing public image based on experimental results, just as advances in treatment attract funding for basic science in medicine.
Conclusion
Theoretical criminology will hold center stage for many years to come. But as Farrington (2000) has argued, the advancement of theory may depend on better experimental evidence. And that, in turn, may depend on a revival in the federal funding that has recently dropped to its lowest level in four decades. Such a revival may well depend on exciting public interest in the practical value of research, as perhaps only experiments can do.
“Show and tell” is hard to do while it is happening. Yet it is not impossible. Whether anyone ever sees a crime prevention program delivered, it is at least possible to embed an experimental design into every long-term analytic study of crime in the life course. As Joan McCord (2003) said in her final words to the American Society of Criminology, the era of purely observational criminology should come to an end. Given what we now know about the basic life-course patterns, McCord suggested, “all longitudinal studies should now have experiments embedded within them.”
Doing what McCord proposed would become an experiment *in* social science as well as *of* social science. That experiment is already under way, in a larger sense. Criminology is rapidly becoming more multi-method, as well as multi-level and multi-theoretical. Criminology may soon resemble medicine more than economics, with analysts closely integrated with clinical researchers to develop basic science as well as treatment. The integration of diverse forms and levels of knowledge in “consilience” with each other, rather than a hegemony of any one approach, is within our grasp. It awaits only a generation of broadly educated criminologists prepared to do many things, or at least prepared to work in collaboration with other people who bring diverse talents to science.
**DISCUSSION QUESTIONS**
1. What is the main point of Sherman’s discussion of analytical versus experimental criminology?
2. Why should Fielding, rather than Beccaria, be considered the father of criminology, according to Sherman?
3. Sherman wants an integration of criminology with other sciences and wants criminology to be multi-method, multi-level, and multi-theoretical. What might be the ideological barriers to such integration?
**REFERENCES**
Baltzell, D. (1979). *Puritan Boston and Quaker Philadelphia: Two protestant ethics and the spirit of class authority and leadership*. New York: Free Press.
Beccaria, C. (1964). *On crimes and punishments* (J. Griggan, Trans.). Milan, Italy: Oxford University Press. (Original work published 1764)
Buchan, J. (2003). *Crowded with genius: The Scottish Enlightenment: Edinburgh’s moment of the mind*. New York: HarperCollins.
Farrington, D. (2000). Explaining and preventing crime: The globalization of knowledge. The American Society of Criminology 1999 Presidential Address. *Criminology*, 38, 1–24.
Fielding, H. (1964). *The journal of a voyage to Lisbon*. London: Dent. (Original work published 1755)
Gay, P. (1969). *The Enlightenment: An interpretation. Vol. 2, The science of freedom*. New York: Knopf.
Gottfredson, G. (1987). Peer group interventions to reduce the risk of delinquent behavior: A selective review and a new evaluation. *Criminology, 25*, 671–714.
Laub, J. (2004). The life course of criminology in the United States: The American Society of Criminology 2003 Presidential Address. *Criminology, 42*, 1–26.
Lipton, D., Martinson, R., & Wilks, J. (1975). *The effectiveness of correctional treatment: A survey of treatment evaluation studies*. New York: Praeger.
Lombroso, C. (1918). *Crime, its causes and remedies*. Boston: Little, Brown. (Original work published 1876)
May, H. (1976). *The Enlightenment in America*. New York: Oxford University Press.
McCord, J. (2001). *Crime prevention: A cautionary tale*. Proceedings of the Third International, Inter-Disciplinary Evidence-Based Policies and Indicator Systems Conference, University of Durham. Retrieved April 22, 2005, from http://cem.dur.ac.uk
McCord, J. (2003). *Discussing age, crime, and human development. The future of life-course criminology*. Denver, CO: American Society of Criminology.
Mitchell, O., MacKenzie, D., & Perez, D. (2005). A randomized evaluation of the Maryland correctional boot camp for adults: Effects on offender anti-social attitudes and cognitions. *Journal of Offender Rehabilitation, 40*(4).
Olds, D., Henderson, C., Chamberlin, R., & Tatelbaum, R. (1986). *Pediatrics, 78*, 65–78.
Quetelet, A. (2004). A treatise on man. As cited in F. Adler, G. O. W. Mueller, and W. S. Laufer, *Criminology and the criminal justice system* (5th ed., p. N-6). New York: McGraw-Hill. (Original work published 1835)
Ruth, H., & Reitz, K. (2003). *The challenge of crime: Rethinking our response*. Cambridge, MA: Harvard University Press.
Sherman, L. (2005). *Enlightened justice: Consequentialism and empiricism from Beccaria to Brathwaite*. Address to the 14th World Congress of Criminology, International Society of Criminology, Philadelphia, August 8.
Wilson, J. (1975). *Thinking about crime*. New York: Basic Books.
Wolfgang, M., Figlio, R., & Thornberry, T. (1978). *Evaluating criminology*. New York: Elsevier. |
UNESCO National Commissions’ 17th Regional Conference
On Saturday, November 12th, Prime Minister Abdulaziz Abdulghani kicked off a six-day meeting of the UNESCO National Commissions of Arab countries. The Seventh Arab National Conference of UNESCO is being held in the Sheraton Sana’a Hotel from 12-17 November 1994. The main theme of discussion is to agree on the medium term (1996-2001) plan of the national commissions. Cooperation and understanding is also one of the main issues.
In a statement on the occasion, Mrs. Barbara Barry de Longchamp, representing the UNESCO Secretary General, Mr. Federico Mayor, stressed that the challenges which the organization will face in the 21st century include the firm establishment of sustainable development, sustainable human development, and access to and the transferring of knowledge. She added that “1994 marks the 50th anniversary of the organization, as a good point to ponder over and ‘identify the essence of our mission and to act with a view to ensuring a better future.”
Prime Minister Abdulaziz Abdulghani used the occasion to reconfirm the country’s commitment to the preservation of the historic sites and cultural heritage of Yemen, which are of international concern and interest. He also praised UNESCO’s efforts within the International Campaign to Safeguard the Old City of Sana’a and the International Campaign for the Preservation of Shibam and Al-Hudaydah.
On the occasion, Mr. Abdu Qubari, Minister of Education and Chairman of the Yemeni National Commission for UNESCO, spoke reiterated the importance of the conference and Yemen’s delight in hosting it. He assured the delegates of his full support and cooperation.
Delegates representing the National UNESCO Commissions of all Arab countries, as well as representatives from Iran and the UN office in Paris are attending the conference.
Dr. Ahmed Saleh Sayyad, Yemen’s Ambassador and Permanent Delegate to UNESCO, who was instrumental in the decision to meet in Sanaa, sounded gratified. “I am happy with the event and I am sure the delegates will reach important decisions for the future,” he said.
Yet Another paper Is Victimized by the Authorities
The Political Editor, Yemen Times.
The government of Yemen, represented by the Ministry of Information, has taken yet another step against the press. This time, the victim is Al-Wahdati newspaper, following the emergence of the Tanzeen Al-Wahdawi Asha abu Anasseri, one of the opposition political parties. The law-suit was filed against the newspaper and its chief editor Ahmed Tarboosh Saied Noman. The charge: slander.
The first hearing on the case started on Monday, November 12th in the 1994 November in the Sanaa Western District Primary Court. The judge charged with the case is Qadhi Aqil.
In a statement to the press, Mr. Ahmed Tarboosh said that the Ministry had filed the suit and was merely trying to bleed the newspaper financially, in order to preoccupy it with litigations.
“Most of the cases filed against newspapers are politically motivated and they are not for the goal of curbing freedom of the press,” he added.
The most unusual case in the history of modern Yemen was when the Yemen Times newspaper was subjected to a tortuous trial which still continues. Al-Wahdati is the most recent victim, but the press is expected to hit the courts later this month. Several cases have been filed against Sana’a Al-Ummal, which does not come out any more, but there was never a trial.
The court cases are a manifestation of the lack of tolerance on the part of the politicians in power. The regime’s harmful effects on freedom of the press does not stop with its attempts to curtail the right of others to express their views, points, but it has played a vicious role by engaging a number of newspapers and journalists to attack its opponents. The pro-regime newspapers have often lashed out against individuals and political groups that are not “loyal” to the rulers.
Yemen’s rulers today provide protection to the pro-regime newspapers and keep them going with the sole aim of uniting them against particular individuals who do not toe the government line. These “puppets” have been suppressed and broken too many times. Yet, they were never subjected to pressure by the Ministry of Information to take them to court, though it is supposed to be the guardian of the press in Yemen.
The whole situation of freedom of the press in Yemen is fast deteriorating. In recent days, the Political Security Office regularly calls opposition and opposition newspapers after each issue, makes a page-by-page review with them and points to this or that article. Sometimes the disapproval of the PSO is based on reading between the lines. The ruling regime needs to prove it is sincere in its claims of protecting freedom of the press. So far, the record is not encouraging and the credibility of the ruling politicians is very low indeed.
The image of the country abroad has suffered steadily over the last few months and continued to decline.
Person of the Year 1994: Call for Nominations
The Yemen Times is happy to invite nominations for the 1994 Person of the Year. The criteria for your choice are:
1. Success in the private life/profession of the candidate,
2. Visible contribution for the national welfare.
Any person interested in nominating a candidate, including him/her self, may kindly do so before December 15th. Please fax your nomination to (01) 23-663 or mail it to:
Person of the Year Committee,
Yemen Times,
P. O. Box 1579,
Sana’a, Republic of Yemen.
Please enclose all information pertaining to success of your candidate at the personal level and contribution at the national level. A Yemen Times team will sift through the nominations and will select the Person of the Year 1994.
The final choice will be announced on January 2nd, 1995, in Yemen Times issue number 1/95, Volume V.
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Confidence-Building: Fighting Paramilitarism
There is a near total consensus that the economy represents the first priority of action by the government and society at large. Moreover, job creation and income generation seems to be the most pressing and most important aspect of the required economic action.
Job creation and income generation are code words for new investments and projects. To achieve this, the system needs to secure the confidence of the business community - locally and internationally. So far, our politicians and bureaucrats have been going about it the wrong way. They have been offering new and better incentives such as tax holidays and subsidies. If this is the only thing we have to offer, there are many places in the world where investors can find a better offer.
There is one thing the government can do to gain the confidence of the potential investors - to fight and control paramilitarism.
The last war has increased the availability of arms to the civilian population. This has led to the extent that enforcing the law has become difficult or even impossible. It is now possible for a group of individuals to band together as armed thugs and pose a grave threat to the general public. But that is one side of the coin.
The other manifestation of paramilitarism is really the fact that regular soldiers and officers do almost the same thing as described above. We can see this in the seizure of assets of citizens and entrepreneurs like real estate, cars, etc. Parts of the regular army and police force acts as a mafia.
I know of many business households who have "lost" their properties, and they know where they are. But there is no way they can retrieve them. For example, a leading business family has lost dozen or so vehicles. They worked hard to locate them, and they did. In half of the cases, the cars were taken by senior military officers in the regular Yemeni army. Then orders were obtained in order to get them back. For the last four months, they have been trying fruitlessly. Now they are calling arms that belong to ordinary citizens who pay taxes to pay its salaries? How can potential investors feel comfortable in putting their capital in Yemen?
The government has an immediate and urgent need to combat armed gangs roaming the countryside and cities. It is estimated that an estimated 70% of the crimes committed against individuals and groups in the country go unpunished. Many armed citizens would readily tell you that the simple fact that they are armed reduces the excesses that could have been exercised by the regular army and police force. That is very true, but it also means that all citizens tend to be armed. Because in this present situation, the unarmed citizens suffer the double burden of being pushed around by the thugs and the regular army and police force as well as by the armed citizens themselves.
A modern state cannot be built unless we start a fight against paramilitarism. There needs to be a two-fold effort: to reduce carrying arms by the citizens, especially in cities; to be beginning to stop regular army and police soldiers and officers from carrying arms unless they are in uniform, and to penalize their use of their arms in civilian differences.
Opposition Outlines Specific Grievances
Following a long meeting which brought together the largest spectrum of opposition forces, the Opposition Bloc (Tanzeeem Al-Wahdawi Ash'a'by Annasserri, Hizbul Haq, Imam Ali, Al-Qwa Asla'biyyah and Attaqwaan Al-Wahdawi Al-Yemeni), the Yemeni Socialist Party, Union of National Forces and the Hizbul Arabi Addafirin, a statement was issued on 10th November outlining the grievances and excesses of the ruling parties. The communiqué gave a brief description of some of the ruling PCC-Islah coalition's gone against those outside power as follows:
1. The surrounding of the house of Mr. Qasim Saleh, Secretary-General of the Yemeni Baath Party by heavily armed forces on 6/11/1994 under the pretext of a criminal offence is a precedent which reflects a return to authoritarianism.
2. During the second half of 1994, the arrest campaign of Hizbul Had members in the region of Khawan Al-Tiyal in Saadah, including the attack on the house of Sheikh Badr Deen Al-Houfi, Member of Parliament. Total persons arrested in that campaign were 56, although this figure was subsequently released on 2/11/1994.
3. The media campaign against the Secretary-General and other leaders of the Hizbul Haq Party.
4. The continued occupation of the branches of the Yemeni Socialist Party, and persistent efforts to harass and block its activities.
5. The compulsory removal of YSP members and sympathizers from government offices in spite of the contrary as per his 15/7/1994 letter to the then-acting prime minister.
6. Continued arrests of YSP members in the governorates.
7. The encirclement of the Hizbul Al-Qwa Asla'biyyah in Taiz by security forces on 16/7/1994.
8. The penalizing court cases against the mouth-piece of the party, Al-Shoura, and the continued campaign by the news media against the leaders of this party describing them as traitors/secessionists.
9. The continued occupation of the Al-Howtaw and Radfan branches of the Tanzeeem Al-Wahdawi. Al-Sha'by Annasserri army and security forces during July 1994.
10. Putting roadblocks in front of the headquarters of government ministries and organizations.
11. Legal steps against the party newspaper, Al-Mahdiyyah.
12. Denial of permission to print the Al-Tagamma, mouthpiece of the Tagammu' Al-Islamiyyah Al-Yaman, since October 1994 in Aden since September 1994.
13. Attacks against the Secretary-General of the party and government's efforts to break the party from within.
These are some of the many specific grievances of the rulers against the opposition.
There are similar atrocities and excesses committed against independent individuals and ordinary citizens. These include the arrests and beating of the chief editor of the Yemen Times on 16/7/1994 and the tapping of telephones, search through homes, and many other actions which do not sit well with democracy, freedom of the press, human right, etc.
Two Presidential Cars Blown Up
Two of President Ali Abdullah Saleh's motor cars were blown up and all the six men officers killed in Abyan last week. According to informed sources, the two cars were front-runners which were preceding the presidential motorcade and were trying to take side positions when they drove into landmines. The incident has sent shockwaves all over the country.
It will be noted that many parts of Abyan, Taiz and Aden governorates are still mined, thus posing a danger to the civilian population.
Yemeni Jordanian Letters of Understanding
Mr. Mohammed Abdullah Al-Batani, Minister of Pensions and Social Affairs, and his Jordanian counterpart signed a Yemeni Jordanian week long letters of understanding. The first of these defines the exchange of expertise and experience in the field of social security and social security.
The second letter details cooperation in the field of work training and courses of experiences. The third deals with vocational training.
Mr. Al-Batani had also conveyed the congratulations and support of President Ali Abdullah Saleh to H. M. King Hussein on the conclusion of the peace treaty with Israel.
Announcement
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The MANKAL Restaurant Family presents to Mr. Habib Ishaq and all the staff of the Property Center its felicitations on the great success in contributing to the construction of the new and prosperous Yemen.
We take the opportunity of the inauguration of the Plaza and Crown Buildings to say “Congratulations”.
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The Yemeni community in the USA is one of the established immigrants. There one hundred thousand or so Yemeni immigrants are concentrated in three basic groupings - Michigan/Upstate New York and New York City - although there are smaller groups here and there. Visiting Yemen at the moment, Mr. Ismael Al-Ghabri, Consul General of Yemen in San Francisco, Ismael Al-Ghabri of Yemen Times talked to him about the conditions of Yemeni immigrants and their interaction with developments in Yemen.
Excerpts of the interview:
Q: Could you tell us a little about the Yemeni community in the USA?
A: Immigration to the USA started in pre-Republican Yemen. Yemenis emigrated in search of better life. There are three main concentration states - California, Michigan and New York. In California, most are stable as plumbers, workers. Many are involved with owners of grocery stores and similar small businesses.
One of the main difficulties the Yemeni immigrants is the limited work options. As unskilled laborers - and often with adequate language capabilities - they can only engage in few jobs. Many have also cheated out of their rights.
The General Federation for Yemeni Immigrants (GFYI) was formed to help protect the rights of Yemenis living in the USA. Today the GFYI has nine branches.
Q: Are Yemeni immigrants still mostly unskilled laborers or have they risen up the social ladder?
A: I am sure by generational transition, many young Yemenis have acquired good education and skills. I do not have exact statistics, but there are few very rich businessmen and businessmen, and there are some famous people in the professions. In general, however, Yemenis tend to be at the lower ranks of the American social structure.
Q: Given the concentration of Yemenis in three major centers, would you say that helps in accessing them and interacting with them?
A: Yes, of course! It helps that most Yemeni immigrants are lumped in a few locations. For example, over fifteen thousand of them live in the car factories of Detroit. Parts of Lackawanna in Upstate New York are virtually Yemeni in nature. The reason is basically newcomers join in with the already established persons.
Q: What are the problems Yemeni immigrants face?
A: One of the main features of Yemeni immigrants is the eternal attachment to the original homeland. Unlike most immigrants, Yemenis are forever part of Yemen and they do not break away.
Thus, their concerns are how to save enough money to buy a Yemeni home, or to invest in real estate and farmlands to come back to in Yemen. But in the process of saving these things, immigrants take advantage of by the folks back at home (Yemen). So we end up helping the immigrant with problems here in Yemen rather than in the USA.
Q: How did the Yemeni immigrant community take the news of the crisis and civil war in Yemen?
A: We all followed it as closely as possible. We were dismayed and even shocked by the drive of some politicians to re-partition the country. The one-sided anti-Sanaa media coverage in the West did not help, either. We were left easy prey to the misinformation, or even distortion. Early in the war, we were confused and unable to determine who is right and who is wrong. But when the leaders of the Yemeni Socialist Party revealed their complicity, we realized it was a dirty plot against Yemen. At that stage, all Yemenis were on the side of the legitimacy and unity of the nation.
Even then, I take this opportunity to insist on the Yemeni government to create at least one source of information to the world.
Q: What role did the Yemeni immigrant community play during the war?
A: Of course, whatever role we played was minimal. I can say we have given some comfort and moral support to the legitimate leaders of Yemen.
At the practical level, we collected contributions and purchased medical supplies, which were distributed through the Yemeni Red Crescent Society. We also chipped in various emergency assistance.
Q: What is the purpose of your current visit?
A: Partly, is to keep in touch with the homeland. But in part, we are here to express solidarity and support to the legitimate and unitarian leadership of President Ali Abdullah Saleh. We are also here to assess the damage done by the war, and to see what we can do to help. You will note that we have many visits to the homeland to keep in touch with what is going on, and to see ways to resolve some of the outstanding problems of the immigrants.
Q: Don't you have a steady contact system from there?
A: Let me point out that we have, for the San Francisco Yemeni community, a small radio station. We often call in to Sanaa and air the telephone conversation so that the whole community can follow. The government has appointed a contact person at the presidential office who keeps in touch with us by phone.
Q: What is the Yemen Times which has increasingly become an important source of information to us. I must add it is also a source of pride to us as Yemenis. I have seen many instances where Yemeni immigrants proudly show this newspaper to their Arab compatriots or other American friends. Moreover, it has a much higher credibility among the Yemeni immigrants and other Americans than the government or other newspapers from Yemen. Finally, it is in English. You must realize that many immigrants were illiterate and do not read Arabic. But many today, and especially their children, are from the generation that speak and read English. That is why the Yemen Times has become an important source to us, and we hope it continues on its present path of independent presentation of the facts and events.
I look forward to the day when we have a daily newspaper. I also take this opportunity to urge the Ministry of Foreign Affairs to make this newspaper available to the homeland. The more prominent a respectable image of Yemen, it need not always present a pleasant image of the regime.
Q: You spoke of increasing economic success of members of the Yemeni immigrant community in the USA. Is there any possibility for investing in projects in Yemen?
A: I am sure that possibility exists, but some steps are needed to bring it about:
a) A system for pooling the resources would be necessary to allow the small savings here and together to come together and offer a decent amount.
Q: What are your preliminary impressions of the visit?
A: First, let me say that I am happy to visit my original homeland. Second, the impressions I am coming out with is that a lot of work needs to be done. I am saddened by the loss in terms of human and physical resources due to the recent events. The country has been visibly overpowered. Third, I can see a spirit of determination to improve the situation and develop the country.
Q: Any last comments?
A: As a last comment, I would like to conclude with a piece of advice. I hope the people of Yemen, and especially the authorities, will let by-gones be by-gones. They should allow all Yemenis - irrespective of their tribal or political background - to participate in the construction of the country.
I also urge the immigrants to consider helping the homeland in its moment of need, which is right now.
The Hadharem Women’s Development Center: A Model Project to Emulate
Fatmah Rawah, Yemen Times.
“A strong local community input in well thought projects and development sites,” is the way one observer put it. This is the new model developed in Hadharem area, Hujannah, Taiz governorate. The local Non-Governmental Organization (NGO) is pushing for a new relationship that brings a strong local input, backed by a clear vision of the people want, not what the government or a foreign donor wants. It is a helping foreign assistance as well as some mobilization from the Yemeni business community.
The ambassador of Japan to Sanaa, H.E. Mr. Susuma Akiyama along with his wife and Mr. Roy, Deputy Director of the World Food Program, were at hand for the inauguration ceremony. Both the Embassy of Japan and WFP are helping the center. The Hayel Saeed Group of Companies is also chipping in.
The project inaugurated last month was the Hadharem Women’s Development Center which has an objective that goes up to 2000. We plan to eliminate the illiteracy of 8000 women. We plan to equip 3500 women with marketing skills and plan to spread information on hygiene, sanitation, nutrition and diet balance, family planning and concern over environmental issues,” explained the director of the center.
The purpose is to further activate the role of women in society. This is done through three different programs of the center:
a) The Literacy Program:
There are two types of literacy programs - beginners and advanced. The goal is to reduce female illiteracy in the region by half over the next five years.
b) The Production Program:
There are three classes in the Production Program.
1. Sewing,
2. Embroidery/Knitting,
3. Cooking.
c) The Awareness Program:
This is oriented towards the more advanced women, especially those who may have lived in cities. The idea is to conduct discussion sessions on selected subjects such as hygiene, preparing a well-balanced meal, family planning, environmental concern, etc.
The area benefiting from this and other projects sponsored by the NGO extends from Turba southwards to Muriq mountain. It includes some 17,000 inhabitants from diverse tribal backgrounds such as Aden, Bani Saleh, Bani Masan, Hadharem, Qarnishah, Zarraiqah, and others.
There are three main projects that the NGO is presently working to implement. The first is a Cultural Center and Sports Club. The second is a Vocational Training Center. But it is the third project that is expected to have a far-reaching effect.
The Hadharem is working on a change in the administrative structure of the region. The NGO hopes to bring the region under one administrative umbrella under the ancient local name of Al-Qurain. This is in preparation for local government
HASCO Links up with BLACK & DECKER to Make a Winning Team
"We think we are bringing to Yemen one of the best brand products in the world. As you know, BLACK & DECKER is the leader in its line of products," said Osama Abdul-Rahman Hayel Saeed, the General Manager of HASCO. Osama, an energetic young man who keeps a permanent smile on his face, "BLACK & DECKER is the world's largest manufacturer and supplier of power tools of all kinds. We have professional tools, consumer tools, houseware products and a number of accessories," said Neil Hamer, who flew in from the UAE for the 7th November exhibition.
"What we are announcing today is the launch of our distribution sheet with HASCO as it has a well known market here."
Mr. Neil Hamer, Director of Marketing - Power Tools, said that he expected the Yemeni market to grow further. "There is a tremendous potential here," he said.
The main thrust of the new marketing strategy is quality. "The goods we offer are high quality and excellent in the field," said TKP Nair, who also flew in from Dubai.
The high-quality BLACK & DECKER products now have HASCO's first-class service to go with them. "We offer full maintenance and support to the full range of products we carry," said Mohammed Shaibani, HASCO's Sales Manager.
The company offers guarantees to customers varying from six months for power-tools, to two years for household appliances, and to fifty years for locks. Mr. Shaibani was visibly proud of the security systems hardware. The security hardware lines that HASCO LTD represents are Corbin Co. from Italy and the Kwikset Corporation of the USA, with delivery and back up from Black & Decker, he pointed out.
Corbin Company is a leading manufacturer of quality European hardware and security products, ranging brass and marine locks to mortise locks, cylinders aluminium alloy locks, and sophisticated keying systems. Kwikset Corporation is the world's largest residential knob-lock manufacturer in the USA, and with three factories are producing an average of 50,000 lecksets a day. In 1993, the heavy duty Titan range was launched, which is a 50-year guaranteed knobset in 5 attractive designs.
Many of the visitors of the exhibition came out with amazement at the quality and diversity of the products offered under the Black & Decker trademark. The service, maintenance and guarantee go a long way to ensure customer satisfaction.
HASCO LTD.
* Haseo Ltd. is the sole distributor in Yemen of Black & Decker power tools, accessories, appliances and security systems.
* Haseo Ltd. is the trading venture of The Hayel Saeed Anam Group of Companies.
* Established in 1938, Hayel Saeed Anam (HSA) is the largest business house in Yemen, with interests in industry, services and trading.
* Haseo is backed by HSA's experience in distributing electronics, home appliances, cars, computers, products from the Yemeni Market and by a vast and worldwide network of sister companies.
* The essence of Haseo's philosophy is "to serve, to care". This commitment to quality service has been the key reason behind HSA's phenomenal success in the Republic of Yemen.
BLACK & DECKER
* Global manufacturer of quality products for the home and for commercial applications.
* Sales per annum = 5 Billion US Dollars.
* Operates more than 60 factories around the world.
* Number One selling housewares brand in the USA.
* Largest manufacturer of electric irons in the world.
* Inventor of the "DUSTBUSTER" cordless vacuum cleaner.
* Offers a full range of appliances, including: irons, cordless vacuum cleaners, food preparation products, personal care products, coffee makers, etc.
* Has enjoyed a local presence in the Gulf/Arabian Peninsula since 1975, with a regional office located in Dubai.
* Now BLACK & DECKER has a local presence through Haseo.
BLACK & DECKER
BLACK & DECKER - worldwide leader in the manufacture and marketing of Power Tools and Accessories built their reputation on innovation and development of new products. As a global company BLACK & DECKER has manufacturing facilities worldwide.
Since 1910, BLACK & DECKER has provided professional power tools and accessories for heavy duty users. 1992 saw the 75th anniversary of the invention of the pneumatic drill by Dumont Black and Alonzo Decker - an invention which set off a worldwide revolution in the building trades.
BLACK & Decker International Group have been directly servicing markets in this region for over 25 years from locally based offices and offer a wide choice of products in the Professional, Elu, DeWalt, Outdoor and Accessory ranges, as detailed below:
The BLACK & DECKER Professional:
Designed for people who use tools on a regular basis and need high performance plus the capability to withstand the most rugged environments. The range features:
- Heavy duty chucks and motors,
- Impact-resistant glass filled nylon bodies, and
- Machined, self-lubricating gears.
The range gives the durability, reliability, and longer life which separates 'Professional' from conventional tools.
The DeWalt Woodworking Machines:
Power, Precision and Versatility - are the hallmarks of the DeWalt range of fine woodworking machines. For the skilled craftsman, these machines combine traditional accuracy of high-quality woodworking tools with the benefits of modern design and manufacturing techniques.
Invented in 1923 by Raymond E. DeWalt, the Radial Arm Saw is at the center of the DeWalt range, and has earned a worldwide reputation for outstanding quality and reliability. Complemented by a Band Saw, a Planer/Thicknesser and Mitre Saws (in the Elu range), these machines are suitable for the specialized workshop.
Black & Decker Garden Line
This range includes products for all aspects of garden maintenance such as lawns, trees and hedges where the benefit of power, technology and design can help solve almost any gardening problem.
MICROSOFT OFFERS POWERFUL, SIMPLE PUBLISHER
There is now a user-friendly desktop publishing software aimed squarely at home, small-business market for producing snazzy, professional-looking documents.
The best way to review a program is to put it to work on a real-world project. Unfortunately, this isn't always possible, because the project and product rarely show up at the same time.
As luck would have it, I agreed to help create a 25-page reunion year-book for my college class about three years ago. The cost of Microsoft's desktop publishing program is aimed squarely at the home- and small-business market, and I don't know if its authors had a 250-page book in mind when they designed it. But to my great delight (and relief), Publisher handled the project with a plumb.
If you are looking at something like the program for creating a flyer for your yard sale, business forms for your company or newsletter for your clients, you'll have an even easier time of it. For those new to the game, desktop publishing features, including drawing and charting tools.
But they all lack one important feature common to most publishing programs: the ability to flow text from one part of a document to another in linked frames that can span start articles on Page 1 of a newsletter and continue on Page 3. If you change the size of the text frame on Page 1 and add text to it, desktop publishing programs automatically adjust everything on Page 3.
Publisher can do most of the grant work for you through its "Wizard". These aren't guys you point to and do nothing, but an intelligent assistant who will do what you want to be done. There are Wizards for newsletters, flyers, calendars, envelopes, invitations, greeting cards, brochures, letterheads, business cards, invoices and other documents. There's even a Wizard that will create a spiffy company logo if you don't have one already.
Publisher is full of other usability touches. It makes good use of style sheets, which allow you to apply a variety of repeating effects to a paragraph (font, point size, line spacing, indents, etc.) with a single click. When you select a text frame or graphic with your mouse pointer, a little icon pops up to tell you whether it's being moved or resized. This feature alone can save you from making dozens of mistakes.
Publisher's integrated "Word Art" program makes it easy to create special type effects such as slants, shadowing and more. Besides standard on-line help, Publisher provides "cue cards", which are mini tutorials that take you through basic operations step by step.
Unlike some other low-end desktop programs, Publisher had no trouble whatsoever with long documents, even when I tried it on a relatively slow laptop computer (the largest chunk of my book was 140 pages, each with two columns of single-spaced type). Search-and-replace was virtually instantaneous.
Publisher does have a few annoying shortcomings that become apparent once you spend time with it. For example, you should be able to assign a style to a paragraph using a selection key, instead of wading through a pull-down menu. Try this a few hundred times and you'll understand what I mean).
Also, while Publisher accurately calculates the number of words that will appear in print, it would be nice to have a "draft" view that shows text in a readable size, without formatting for serious editing. Anything more than simple corrections and changes would be too much jumping around and zooming in and out.
Even with these problems, Publisher is an excellent tool for producing snazzy, professional-looking documents. Its intelligent design anticipates what you want to do and provides all the help you need. Its Wizards and assistants will even do a lot of the work for you. In short, it's a good buy.
Michael Hirowitz.
For Russian Athletes, "The past was better."
For years the athletes of the USSR won world titles and gold medals, the Soviet empire's medal making machine, which sought out talent at the tenderest age and nurtured it to produce champions - men that the sportsman and woman did honour to the flag of the hammer and sickle.
But with the disintegration of the empire, the advent of the economic crisis and the demise of generous state funding, it seems that the system has stalled. For Russia, many feel today it has been a huge pill to swallow. When their team was knocked out in the first round of the recent World Cup soccer championship, the Russians disgustedly refused to watch the subsequent matches screened on television. The same happened with the recent volleyball championship, held in Helsinki in August, at which Russian contenders failed to make their usual impact.
Where investing in sport was once seen as a political necessity - a way of asserting moscow's image internationally - today the government is lower priorities. There is also a smaller pool of talent from which to draw.
The dismantling of the Soviet empire into Commonwealth of Independent States (CIS) means that the former population of 300 million has effectively been cut by half. Athletes who once ran, swam or skated for the USSR today come under the flag of Kazakhstan, Ukraine, or Armenia.
The long tradition of 'sports stars' and the wealth in the old days' glasnost scores of world championship, is still strong. There are 700 thousand Russians, today in Moscow alone. But many of them are a shadow of their former selves, their staff and facilities cut right back.
Vladimir Zakharov, head of ice-based sports at the famous Red Army's sports club, speaks nostalgically of the old days when, he says, "everything was simple and easy." Today, he laments, "everything revolves around money." With state subsidies cut by half in the space of just four years, the rule of the game is to find sponsors.
The Red Army Club is a good example. Once amply supplied with cash from the government before the crisis, it has had to look for most of its funding to manufacturers of cigarettes, sports gear and alcoholic drinks.
The Red Army Club is one of the luckier ones. Its international reputation means foreigners are queuing up to train there. They come from Canada, the USA and Japan and bring with them precious foreign currency, but even this is not enough.
For local talent, the club offers free training, but the result is that it predicts what will future champions. The hope is that the greatful stars will remember the club with care, gift once they have made their mark, and there will be financial spin-offs from the publicity they receive.
Two young Russians, the figure skating partners of Maxim Stavisky, 16, and Anastasia Belova, 13, are among the club's most promising protégés. The pair have been tipped as future Olympic medallists. But without the club's support and the help of a commercial sponsor--found by Anastasia's parents, their rise to fame would have been impossible.
One hour's training costs US $70, almost as much as Maxim's mother Rachel earns in a month working as a cleaner for a radio station. And Maxim has to rely on the generosity of friends to pay for his ice skates.
At present, the Russian Olympic Committee is desperately trying to raise funds in order to put up a good show at the 1996 Atlanta Olympics. Badly strapped for cash, the committee is considering to renting out part of its headquarters and to embarking on another commercial venture, that of opening up a chain of sports-wear stores.
Officials managed to find an international and a national sponsor to help them send an ice-dancing team to the Winter Olympics in Lillehammer earlier this year. They hope the government might dip into its pocket to help them win the 1996 games.
With the pull of the money overseas, many Russian athletes are packing their bags and heading abroad to seek their fortunes. More than 60 top Russian ice hockey players have deserted their teams in recent years to accept tempting contracts offered by the North American Hockey League.
The best players can expect to receive as much as $3 million for their services. That kind of money is hard to resist when one knows that athletes who stay at home are forced to give up large chunks of the prizes they earn at sports.
One classic case was that of Zoya Ivanova who, in 1989, won the Los Angeles Marathon, with a prize of $36,000. She ended up keeping just $800.
One very rich Russian sports institution which has felt the pinch is the Dynamo Club, now famous for turning out top class athletes and medal winners down the years.
Q: What was it like in the good old days?
A: When everything was well, we had as many as 14 trainers and up to 300 very promising athletes. Today, we have just two trainers looking after some 60 pupils.
Q: Is there a real drain of sporting talent?
A: In the 1970s, Moscow was able to boast that in every one of its clubs between 7,000 and 10,000 athletes were in training at any given time. In the 1980s politics ensured that sport became more professional and less state sponsored. It was in the very best in the way of talent, the most promising athletes.
At that time, most of the money went to compensate the members of the sports schools, which trained in a variety of sports disciplines. Special attention was paid to what was known as the 'dynamic reserves': "It was a long story short, in 1984 our club could still count on some 5,000 members.
Q: And this has happened in spite of the past achievement of your club?
A: If we just take the example of the Dynamo, Dynamo has always contributed and others have all pulled out.
Q: What was it like in the good old days?
A: When everything was well, we had as many as 14 trainers and up to 300 very promising athletes. Today, we have just two trainers looking after some 60 pupils.
Q: Is there less potential for first-class athletes?
A: In our field as in others, commercial considerations have taken over. These days, the glory of sporting achievements counts for less and the money to be had from them counts for more. It's agonizing.
Q: Until recently as two years ago, a team of veteran professionals could still hold their own in cross-country skiing events. But even since foreign sponsors pulled away behind our athletes, the standards of their performance has dropped. The number of medals we are winning is proof of that. At this rate, Atlanta will be a disaster.
THE BRITISH COUNCIL
* Professional and academic exchange programmes.
* Sponsored professional visits to Britain.
* Specialist professional visits to Britain.
* Short courses and international seminars in Britain.
* Information about education and training in Britain.
* Complete database of higher education courses in Britain.
* English language courses in Britain.
* Education and training placement services.
* British academic and professional examinations.
* Validation of British certificates.
* Reading library.
* Reference library.
* Periodicals and newspapers section.
* Complete database of all British books in print.
* Advice on ordering books from Britain.
* General information about Britain.
* British tourist information.
* BBC World Service London calling available monthly.
If you want to find out more, please come and see us at As-Sabab Street, No. 7, Sanaa, or telephone us on (01) 244-121/2 and (01) 244-135/4/5/6
7:30 a.m. to 2:30 p.m.
from Saturday to Wednesday inclusive
A LITTLE INNOVATION LURES PUFFINS BACK
The Atlantic puffins casually mill about Seal Island, looking like clownish, taxidermy contrasts to notice the dozens of tourists who've boated out to see them. But life hasn't always been easy for these quirky birds - sometimes called sea parrots - on the islands off the coast of Maine. In man's puffins were nearly wiped out by hunters a century ago, but they're returning in record numbers thanks to an innovative restoration effort by the National Audubon Society.
"The message is that it is possible for people to actually come together to species to establish a colony. People can do it as well as decline it," said Dr. Steven Kress, director of the society's Puffin Project. In 1989, Kress and his team of researchers launched the re-colonization project by transporting puffin chicks from Newfoundland, where they are plentiful, to man-made burrows on eastern egg rock, a desolate island in the middle of the sea. "I thought it might work if we moved some of them and got them to learn a new home. They'd take care of themselves after we finished rearing them," Kress said.
A total of 950 chicks were transplanted in Maine's islands by the supervisor for Seal Island, as he sat in a blind watching birds with binoculars. The bird's dumpy body and stubby legs make them clumsy on land, but the puffins are masters of the sea when they nest in the summer. The pigeon sized birds can dive at least 150 feet deep and hold up to six minutes at a time in their beautiful beauty. "If a puffin could lay an egg that floats it'd never see them," said Kress. Joe Jones, a volunteer for the Audubon Society, said on a recent cruise. But because the puffins nest for four months in the summer, they do. For the past four years, the 35 year old has been the bearded guardian of this treeless island. He lives in a small shack and works with other field researchers, records crucial data on the birds and Arctic terns and nearby islands. The puffin cruises to bring him mail and supplies. It is an ideal life for Kress.
Successfully catching birds most of the day, and taking breaks to go fishing or haul lobsters. He often ends his day with a sunset walk. "I know it is beautiful and enjoy the opportunities you have here, you can miss the things you can't have, he said. "It's good for someone like me."
And good for the puffins. Long ago, it believed that a puffin egg could be used as a talisman. People thought it was born from rotting pieces of wood floating in the sea, instead of hatching out from an egg as we know it today does.
Maine's puffins were nearly finished off by hunters a century ago. But they're returning in record numbers thanks to an innovative restoration effort by the National Audubon Society.
SOME FACTS ABOUT PUFFINS
Puffins live 25 to 30 years. It takes puffins five years to reach sexual maturity and the female lays only one egg a year. From the puffins first laying, the nest they may not touch land again for two or three years. Puffins dive to depths of 150 feet deep, they can hold up to 28 fish in their beaks, the birds are about 10 inches tall. Puffins breed from July to August in colonies in burrows or rock cavities. Eastern egg rock in Maine is the largest eastern Atlantic puffin colony. The paper puffin is found on the west coast as far as California.
Bawazeer Products Make In-roads into Yemeni Markets
Sheikh Mohammed Saleh Bawazeer in a first-class Kenyan entrepreneur of Yemeni origin (Hadhramaut). Today, he is one of the outstanding success stories in the business world of the region. He is well respected as a first-class entrepreneur both in Yemen and East Africa, and his businesses generate employment for thousands of workers, and the products and companies make a sizeable contribution to the Kenyan government coffers as well as the national income.
In addition, Sheikh Bawazeer is involved in amny charity, sports and educational activities which he sponsors.
Sheikh Bawazeer is now making a major effort to start business links between East Africa, based from Kenya, and the Arabian Peninsula, with Yemen as the entry point.
Yemen Times will run a series of articles on the Bawazeer enterprises, starting with the glass factory (page 8) and fruit processing plant (page 9).
The glass industry in Kenya received a major boost when the Bawazir Group acquired the former Kenya Glass Works (which was under Receivership) and converted the dead factory into one of the most well-known factories in the region. The factory now produces:
1. Glass making use primarily of locally available raw material.
2. Glass making use re-use of rejected and broken glass.
3. Packaging of glass products by the use of locally manufactured units thus helping to cut down Kenya's import bill.
The Bawazeer Glassworks produces all kinds of glass products ranging from basic household utensils, jars, tumblers, and other products in various shapes and sizes. The Bawazeer glass is impermeable and does not absorb odor nor affect the taste of produce. The same thing cannot be said of other forms of other regionally-manufactured goods.
With the help of the most modern technology and computerized machines, backed by a highly qualified and experienced team of workers and engineers, Bawazir Glass Works can produce any shape of glass products to any specifications for different uses.
The hardness and smoothness of glass surface and its chemical inertness makes processes like cleaning and high temperature sterilization easy and possible.
Glass is more hygienic and easily cleanable as well as reusable than other forms of packaging. That is why the world is steadily moving towards glass containers. Worldwide recently, glass has even replaced plastic containers which are environmentally hazardous.
Most raw materials for glass making are found locally, like sand, clay, ash, limestone, dolomite, etc. Thus the Bawazeer glass industry makes up of Kenya's natural resources and the value added is above 90%. Furthermore, due to the strategic position of Bawazir Glass Works near Mombasa Port, it is well positioned for exports.
At this time environmental issues are high and most of the countries are introducing policies in favor of glass at the expense of plastics and tin. That is why, worldwide demand for glass products has increased, thus enabling Kenya to increase its exports. One of the new markets for Kenya's glass is Yemen, which is negotiating to arrange large-scale imports from the Bawazeer Glassworks.
Interested persons or companies can make contact by writing to or calling:
Bawazeer Glassworks Ltd.,
P. O. Box 80180,
Mombasa, Kenya,
Phone: (254-11) 222-448/9,
Fax: (254-11) 222-382
A Yemeni Entrepreneur Serves as a Link between East Africa and the Arabian Peninsula
Bawazeer Products Make In-roads into Yemeni Markets
Bawazir Fruits Processors Ltd. (BFP) started operations in late 1988. It employs highly qualified technical staff with many years experience in the field of fruit and vegetable processing.
The highly sophisticated plant, machinery and technology has enabled BFP to develop and build a complete range of fruit concentrates from tropical fruits like mangoes, oranges, pineapples, grapefruits, passion fruits, bananas and tomatoes.
Nothing remains static at BFP. Customer's requirements are constantly changing as the product specifications and processing technology. BFP not only follows this trend but also develops new products to suit customer needs. Each product is worked out by highly experienced personnel from the technical and production departments, to have the most effective solution to the processing and marketing needs of our customers.
BFP is located in Mombasa on Kenya's most beautiful coast. Kenya, Mombasa by tradition has been the gateway of East Africa and is famous for its beautiful sandy beaches, wildlife and marine life along with the world class Beach Hotels. The tropical climate and the delicious fruits of Kenya's coast are well known to the world since the 15th century through the spice trade.
BFP is situated at Mtwapa on the main Mombasa - Malindi road, 16 km North of Mombasa city and 20 km from both Mombasa Port and Moi International Airport.
The supply and assembly of the factory was a turn-key project executed by ALBERTO BERTUZZI SPA of Milano, Italy. The main and auxiliary installations are in an enclosed area of 4000 square meters with additional space for further expansion.
All the water used in the factory comes though a fully automatic water treatment and softening plant.
At present the plant is producing mango, pineapple, orange, grapefruit and passion fruit concentrates to the customer's specifications. Banana puree is produced for home market and banana puree is produced against specific demand.
High temperature evaporation under vacuum, ultra short resident time and concentration in one single passage ensure that maximum preservation of flavor and retention of nutritional value. Thus we are able to pass on the superior qualities, yet are able to pass on to the customer all the advantages of cost savings in packing, transport and storage.
Fruit juices can be concentrated up to 72 degrees Brix and fruit pulps up to 30 degrees Brix. Our plant is equipped with the latest aseptic processing and packaging machines.
Aseptic processing has gained acceptance world-wide as the best method of treating products mildly while ensuring sterility without deep freezing. Fruit concentrates and pulps are flash pasteurized through a closed system whereby the extended thermal treatment is avoided resulting in a much more "natural" product with negligible loss of taste, flavor and color.
The cooled product is then filled automatically and continuously into preformed bags in a sterile and inert atmosphere which prevents bacterial activity in the product and also ensures that no oxygen is included in the product, during post sterilization, filling and sealing.
Fine control of pasteurization is maintained by a fully automated feedback system which is controlled by a master computer unit, thereby eliminating the ever present danger of human error.
The use of inner laminates in the aseptic construction of aseptic bags eliminates the possibility of tin and lead present in conventional cans. The product can be stored and transported safely at an ambient temperature of 20 degrees or below without costly refrigeration.
Bags can be tailored to the customer's requirement from 5 liters capacity to 1000 liters. The most popular and standard sizes are 20 liters in the bag-in-box and 220 liters in the bag-in-drum configuration.
Our products packed in aseptic bags offer superior quality with saving on packaging material.
Strict quality control is applied throughout the production phase, from fruit selection until the final tests for quality standards and organoleptic acceptance.
The plant uses international specifications and analysis methods. Furthermore, it constantly develops new product ideas and processing methods which enables it to meet the client's requirements.
Although we are excellent laboratory controls, this is backed up by continuous on-line inspections.
BFP not only supplies local demand, but has aggressively marketed the Kenyan product worldwide. The company has now launched a new strategy to bring its products to Yemen. Already, many potential Yemeni business houses have shown interest. BFP can be reached at the following address:
Bawazir Fruit Processors Ltd., P. O. Box 8024, Mombasa, Kenya.
Tel: (254-11) 485551, 485478; Fax: (254-11) 485-480, Telex: 21313 BAWAZEER
Abyan Governor:
"Construction is our first priority."
By: Shaher Musa'abain,
Aden Bureau Chief,
Yemen Times.
Abyan continues to command a vital link in the government's plans and programs in the southern/eastern governorates. Even, such a pivotal position has not, so far, yet, extracted much development thrust as the places begins to rot, in the aftermath of the civil war, quite a bit of which took place in Abyan.
Abyan is also at the center of the on-going power struggle for the hearts and minds of the people. The competition, or even rivalry, has seen the Islamic groups impose their will and their vision of the life they aspire in the governorate. Sometimes, this has taken a violent twist.
Yemen Times went to speak to Abyan Governor Ali Sheikh Omer, who is also a member of the Permanent Committee of the People's General Congress (PGC). Below are excerpts of the interview with the governor.
Q: Let us start with the utilities, which seem to be badly lacking. Why is Abyan still have problems with water and electric supply?
A: I am sure you are aware that the large population centers of Abyan, including the main cities such as Zinjubar, Khanfar, Ji'ar, etc., are tied-in with the system in Aden. So, when the Aden water and electric generators at Al-Hiswah supplies were disrupted, we were directly affected. Even our telephone system is tied-in with the switchboards in Aden. Our wines again here, the Greater Aden water project is now functioning and we hope to quickly get back to normal service levels.
Let me point out that the local engineers plus the Engineering Corps of the armed forces and a Romanian company are together working to repair the destroyed network and bring back the utilities, especially the electric supply, into service.
I can say more than half of the network, seventy kilometers between Aden and Abyan have been covered.
Q: There are reports of various incidents in Abyan, some of them related to application of Islamic punishments (flogging, chopping off the hand, etc.). How true is this and what is your office doing about it?
A: First of all, let me say that it is not the state's official organs which are doing these things. It is a few zealots who are ignoring their will. I cannot even say that we cannot blame the leadership political party to which they belong (Islah) for such actions, because they were not even condoned, let alone encouraged by us. We are stopping such excesses and extra-legal actions. But you will realize that there are still groups which are not settled for us to confront them. Many of them, in fact, may even have personal vengeance as a motivation for what they are doing.
Q: It is strange you say that, because we just saw them well represented in the central cinema house of governorate's capital - Ji'ar. They have converted the cinema into a mosque. They are there if you take them out.
A: We are in a delicate situation, and we are handling it with long-term vision and patience. But I have said, we are not allowing anybody to take the law into their hands, and we are gradually bringing law and order to the land.
By the way, the cinema of Ji'ar is back to its old function.
Q: The cinema house in Monidya was destroyed, and you did not act on it?
A: As soon as the report came, we started an investigation. Unfortunately, no party took claim for the action, and we have unable, so far, to pin down the culprits. Sometimes, there is an ownership problem. For example, the cinema house in Lowder was built on a land claimed by some citizens. The Minister of Local Administration has given instructions to return the land to its rightful owners. So, the people who claim the land brought tractors and tore down the cinema of Lowder. Also destroyed was the neighboring Arqan sports club.
Q: How are you handling the problem of land ownership, in general.
A: As governor, I have taken a decision to freeze all litigation and legal actions regarding this matter for six months, until the situation comes under full control. We do not want this matter to overwhelm us and divert our attention from the construction needs of the governorate. I think the main thrust must be on the development front. We need to make progress on this front immediately.
"I HAVE A DREAM"
As a patriotic Yemeni, I have a dream. Maybe, it is a wish, maybe a hope, you may even call it a desire. My head always gives me an idea and I try to form a picture, a fantasy. But often I worry it could just be a mirage. An ambition that beyond our grasp, something that cannot be achieved, at least not in the foreseeable future.
Everything I watch on television pictures of the metropolitan centers of fellow Arab countries, especially our immediate neighbors. I feel betrayed. I hear about how even the most populated Emirates are doing so well. But how beautifully their cities glimmer, like pure gold in the squ - clean and well kept. You can see their cities are well planned and organized.
I watch all that and imagine when my beloved Yemen will reach that level of development. I ask "What has held us back while the others progressed? That's the question, beginning with a question, a simple question. I further ask: "Can we still make it and if yes how and when?"
Initially, everything seemed simple and straight forward, but when I tried to find the answer, it turns out the issue is overwhelming. Thus, I feel so hopeless. I ask "What on earth can I do?" Nothing, yet nothing especially in view of my struggle to survive day by day in a harsh environment. This is definitely not progress. It is a precarious way of living.
I realize I am not alone in my ordeal. Many other young Yemenis are sailing in the same boat. How many persons are in this predicament? Obviously the majority, but out of this majority, how many can make a difference within few years?
Now I get the reason. The puzzle is solved and the catchword is so simple, and yet so devastating. It is sheer IGNORANCE, the main component of all awkwardness.
I love Yemen. I bleed inside me and I always pray God to help us all. What this country needs most is EDUCATION
By: Ahmed Bahabanan,
Sana'a
ORDEALS OF FOREIGN TEACHERS AT SANAA UNIVERSITY
We would like to discuss the dilemma of the Non-Yemeni faculty members at Sana'a University. The number of non-Yemenis at the University administration level has reached its climax.
The salaries in the foreign currency (70%) have not been paid since 1994, although the prime minister's office had set aside money as the due for payment. Payment of salaries in Yemeni rials or US dollars is constantly delayed for an average of more than one year over the last three years. The problem has further worsened recently.
We do not even raise the issues of the decline of the rial due to the high inflation rate, which means that actual salaries have actually fallen. Since 1992, they have fallen to about 50%. Already our salaries are about 30% of the salaries paid to equivalent professors serving in the Gulf and Libya universities.
It is about time to treat the matter in a serious way and the whole situation concerning salaries, housing, office facilities, and all the miscellaneous, the whole matter is due to the inefficiency of the university administration. Actually, fewer numbers are needed to run the university. The urgent problems must lead to the termination of the most feeble faculty members in the future.
By: Faculty members at Sana'a University, from five Arab countries.
HOW SANE ARE WE?
I was reading one worthwhile point in the interview with Psychiatrist Dr. Abdul-Majeed Saeed Al-Khuladi - issue number 41 of October 16, page 3. Some words and phrases of what he said, and their implication, is still in my mind.
A short while ago during this interview, one layman said something which somewhat resembles what the doctor said in the interview, that "all Yemenis are mad."
This statement has been thrown in front of me over and over, even though I never believed in myself. Now I am confused with a profession's opinion and the public's lines. I mean because all of this cannot simply be baseless. They are symptoms in our character such as carelessness, restlessness, always in a hurry, lack of patience, naivety, unethical back-stabbing, lack of sense of fairness and justice, etc. These features are so prevalent these days, that it is worrying sign.
The above is my own conclusion, but I am not sure how much of it is true, and how much of it Dr. Al-Khuladi would agree with.
We need more explanation in the field of psychology regarding these disturbances. Can the good Dr. Al-Khuladi and others tell us?
By: Hayder Mohammed Nassar,
Sana'a
A MYSTERY CRIME OF FILIPINA
Let me start with a good hello to you and your staff on behalf of all the Filipinos in Yemen.
I want to recall and add to your story of the Filipino woman came to Yemen to work hard and hopefully save money and send it back to her family. Unfortunately, she was not so lucky. Not only did she lose all the plans to send home money, but she will not be able to return. Her employer was apparently not happy with her, so she killed her.
This Filipina was the third woman to work for this lady. The first one died of a heart attack from fear to escape; the second one tried to endure her term, but could not finish. But this third house helper wasn't able to run away from the tormentor. She was tied up and severely beaten, she had boiling coffee poured over her and finally she was cut up with a knife from her neck to her private, her breasts were all torn up apparently by a pipe of fire. (There are photos which are not suitable for publishing).
What kind of human being could do this? And more importantly what will the authorities do about it? Who will protect the rights of guest workers?
The poor girl is dead and she cannot speak to her or her family or demand justice. We felt helpless, but then one of us reminded the Yemen Times - that bold paper that stands for the underdog. Thank God! The newspaper where at least a voice can be heard. More importantly, perhaps some local and/or regional human rights organizations will come to the rescue, and something can be done to stop this heinous crime. The body of the victim has been in the hospital for more than three weeks now, and no action has been taken.
By: The Filipino Association in Yemen, Sanaa.
WORSE IN MUKALLA
This is my first time to give my views through this first-class newspaper, the Yemen Times. I am motivated by the repeated occurrence of power-failure in Mukalla.
Power failure each and every day has made life very hard for the residents of Mukalla. Nowadays, things have changed for the worse, as blackouts can extend for more twelve hours daily. This has caused a great deal of hardship among residents of Mukalla. It has also affected the potential and present investors who are tired of the unexpected difficulties.
Investors decide to pack up and leave the country, that means we are burning the economy of this nation. Thus, I beg the government to look forward and take immediate action and rectify this problem.
The electric authorities who are supposed to give full information to the public remain silent. Unfortunately, all of our newspapers do not write about this problem because many of them have installed private generators to serve their luxury homes. So they don't think about the patients languishing in hospitals, the lost middle- and income-citizens' homes or workplaces.
We are so tired, and we always pray to God to help us people of Yemen. The government must take responsibility to put to an end to this intolerable habitat, especially since it is not really a matter of resources.
The Yemen Times could be kind enough to send reporters to investigate and publish stories concerning this electricity blackout.
By: Islam Ba-Yusuf,
Mukalla
MY HOME: SOMALIA
G brethren (lo and behold) thy golden land is being captured
The foe occupied it as their domains
Citizens are robbed and tortured, killed or injured
Buildings, cottages decay and fall apart
Thousands and thousands flee
The poor are left without
Citizens why not fight back to get it back, and make the foe and allies depart?
Alas, nothing except God will adorn our nine land
Our Lord thou art our protector
help us against those ruthless armed bands.
Sheikh Nour Qassim Al-Barraani
Hodeida
WILDLIFE CONSERVATION IN YEMEN AFTER THE WAR
Last May, after a series of articles and a good deal of interest in the community, the Yemen Times sponsored a Nations Workshop on Wildlife Conservation, and Germanic speakers and a number of distinguished Yemeni scientists working in this field, had gathered to discuss practical ways and means to further conservation in Yemen.
Then, sadly and regrettably, the civil war started, the conference was cancelled, and the precious initiative was lost in the war that followed. There was all six months ago, and now a number of encouraging things are happening here in Yemen, which should encourage us to get back to the important task of protecting Yemen's rich natural heritage.
Firstly, Eng. Hassan, the chairman of the Environmental Protection Council, has been abroad to study conservation projects there, and has returned with a positive view to further similar work here in Yemen. Secondly, Dr. Omar Sagher, a Yemeni. Thirdly, an important international document was published in the summer, which identifies all the important areas for conservation in the Middle East, and of these, some forty are in Yemen. It is the wish of the E.P.C. and Bird Life International to look at these areas and show how they can best, and most practically, be protected. All ideas and sensible proposals are put forward, it is likely that funding from international resources could be found to finance a number of these.
Various groups and official bodies will be involved, and they are all looking at ways to help. One of these is the Royal Ornithological Society, which has lost a number of members since the war, but is still active, and regrouping to help with the I.B.A. project.
The General General Meeting of the Yemen Ornithological Society will be held on Tuesday, December 29th, at 1930 hours at the "Dr. Abdallah Al-Jabri Clinic" in Sana'a, and all people, both experienced experts and those interested in birds and would like to get involved in bird watching and conservation activities in Yemen, are cordially invited to come and join us.
For further information, contact:
Derek Harvey, Tel: 216723, Fax 417983
INTERNATIONAL PEN FRIENDS
Pen Friends Corner
By: Rahila Ba-Hawly
HOW TO ENROLL WITH IPF IN YEMEN
Enrolment
The enrolment form can be obtained from the representative. After you fill this form, please mail it back. Postage services will be provided by the representative. When IPF headquarters in Ireland receive the completed form, their computer will select from a pre-determined list of names. This list of names will be sent directly by them, to the new member. Any subsequent queries or correspondence relating to your list will be passed between the IPF and IPF Dublin. The penfriends we give you, will be in your own age group. It might take 3-4 weeks for the reply.
For those who need renewals, the above is also applicable to them.
Fee: $4.00 (membership for 12 months)
Regarding the Membership:
When a person joins the club, he will be sent a card containing a minimum of 14 names. During the year, he pass his name to 14 more members. At the end of the year he can keep all the penfriends he has already received but will not send him more contacts unless he rejoins the club for a further year.
If you wish to subscribe to our international magazine "People & People", you will then be entitled to send us your photographs etc. for publication in it. There is a reward of $100 for the best item published in each issue. Our magazine provides full information on all aspects of the Club's activities. The magazine is available only in English.
Price: Annual subscription $8.00
If your main interest or hobby is exchanging club members. We now have over 6,000 stamp collectors in IPF and also have our own stamp exchange center.
For more information write to: Ms. Rahila, P. O. Box 481, Sanaa, Yemen.
THE HOIDEHAD SHIPPING & TRANSPORT CO. (S. Y. C.)
IMPORTS EX CHINA/FAR EAST
WE ARE PLEASED TO ANNOUNCE THAT P.L.L. ARE NOW OFFERING REGULAR DIRECT SHIPMENTS FROM CHINA & FAR EAST TO HOIDEHAD AS PER THE FOLLOWING SCHEDULE:
| VESSEL/LOAD | SHA | BSN | BKG | SIN | CBO | DJI | PRO |
|-------------|-----|-----|-----|-----|-----|-----|-----|
| K. DELEAMER/BN909P | 16/10/1994 | 16/10/1994 | 16/10/1994 | 16/10/1994 | 16/10/1994 | 16/10/1994 | 16/10/1994 |
| K. WJAY/KWJ47S | 16/10/1994 | 16/10/1994 | 16/10/1994 | 16/10/1994 | 16/10/1994 | 16/10/1994 | 16/10/1994 |
| K. BERLAIN/BLR152 | 16/10/1994 | 16/10/1994 | 16/10/1994 | 16/10/1994 | 16/10/1994 | 16/10/1994 | 16/10/1994 |
| K. BERLAIN/BLR151P | 16/10/1994 | 16/10/1994 | 16/10/1994 | 16/10/1994 | 16/10/1994 | 16/10/1994 | 16/10/1994 |
| K. WIRAWAN/WRN49S | 16/10/1994 | 16/10/1994 | 16/10/1994 | 16/10/1994 | 16/10/1994 | 16/10/1994 | 16/10/1994 |
| K. BERKABIB/BLB151S | 16/10/1994 | 16/10/1994 | 16/10/1994 | 16/10/1994 | 16/10/1994 | 16/10/1994 | 16/10/1994 |
| K. BERLAIN/BLR152S | 16/10/1994 | 16/10/1994 | 16/10/1994 | 16/10/1994 | 16/10/1994 | 16/10/1994 | 16/10/1994 |
| K. BERKABIB/BLB152S | 16/10/1994 | 16/10/1994 | 16/10/1994 | 16/10/1994 | 16/10/1994 | 16/10/1994 | 16/10/1994 |
| K. WIKAWAN/WNS1TP | 16/10/1994 | 16/10/1994 | 16/10/1994 | 16/10/1994 | 16/10/1994 | 16/10/1994 | 16/10/1994 |
FOR FURTHER INFORMATION CONTACT:
SANA'A, 209346 / 208025, MR. DAVID TOWNSEND / MR. ABDUL WAHAB FADEL
HOIDEHAD, 23821 / 238270, MR. NIGEL CHEVRINGTON / MR. ANIS QASSIM
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WHO AND WORLD BANK MEET TO SET UP A STRATEGY FOR HEALTH DEVELOPMENT
The World Health Organization launched at its Geneva headquarters last month the first WHO/World Bank Review Meeting. The meeting, which ended until 2 November, is to plan for a stronger partnership in support of the health sector in developing countries. A framework for pragmatic collaboration and a clear understanding of each organization's responsibilities will be set up, not only to ensure and guarantee the continuity of ongoing joint efforts, but also to ensure more effective support to their Member States and the people suffering from diseases and ill health.
"Health is essential to development (...) There can be no sustainable social and economic growth without a healthy and active population," declared Mr. Dennis Aitken, WHO Assistant Director-General, in opening the meeting on behalf of Dr. Hiroshi Nakajima, Director-General.
"In particular, we need to improve our collaboration and coordination in the less developed countries where political instability and economic problems often compound the health difficulties experienced by many of our fellow human beings," stated Mr. Aitken. "Therefore, we must find more efficient and effective ways of working together, avoid duplication and concentrate on supporting those countries with development programs which have proved to be the most cost-effective."
"Together we have the tools to achieve substantial progress in meeting the challenge before us," said Mr. David de Ferranti, Director, Population, Health and Nutrition Department, and Head of the world Bank delegation.
"This meeting gives us a chance to further strengthen the collaboration and cooperation that can turn words into action," he added.
The WHO/World Bank collaboration is centered on investing in people; and on sustainable and integrated health development - starting with the individuals and communities, and - working together with them to reduce poverty and improve health and living standards.
The challenges facing Member States to ensure the availability and delivery of integrated health care in response to people's needs, African countries. We must ensure not only coverage, but quality of care, in accordance with the principles of equity and social justice."
He added that "to meet the challenges of the new world environment, WHO and the World Bank in their collaboration must make the most of their unique comparative advantages: a global network which supports the countries in their long-term and comprehensive national development programs."
As Mr. Aitken recalled, examples of specific program areas of collaboration are the Onchocerciasis Control Program, the Special Program of Research Training in Tropical Diseases, the Special Program for Research, Development and Research Training in Human Reproduction and the Safe Motherhood Program. The World Bank has been a member of the management committee of the Global Program on AIDS (GPA) and has contributed significantly to the program. He added, "Furthermore, the World Bank co-sponsored the International Drinking Water Supply and Sanitation Decade (IDWSS). Indeed, the WHO/World Bank partnership in the area of Environmental Health, Water Supply and Sanitation has a long history. These are a few outstanding examples of what can be achieved for the health of the peoples of this world by strengthening our partnership. We must commit ourselves to reinforce and expand the present good partnership and collaboration."
Dr. Yuji Kawachi, Director of the WHO Division of Interagency Affairs and Coordinator of the meeting, Declared: "While WHO can bring its international health advice and expertise to the country and community levels through its decentralized management system, the financial advisory role of the World Bank Provides the required complementary support essential for successful cooperation within developing countries in need."
Since the mid 1950s the health status has improved in developing countries. Life expectancy has increased by 50% and infant mortality has been reduced by 60%. But, two billion people in the developing world are still in an adverse situation: about seven million children die each year from acute respiratory infections and diarrhea diseases; and illiteracy rates, especially among women, are very high.
Conditions of ill health, epidemic and disease, brought about by extreme poverty, hunger and lack of adequate primary health care, can be prevented and considerably alleviated though a strong working collaboration between WHO and the World Bank, with the countries.
"Collaboration between WHO and the World Bank has a long history," said Dr. Kawaguchi. "Investing in people's health is one major step towards social and economic development. The international community owes this to the present and future generations.
Mr. Aitken said: "Faced with the sheer magnitude of the challenges before us, it is suggested that we begin our country situations in particular: Bolivia, India, Lebanon and Zambia. The four country reports will be presented by senior government officials of each country and will serve as examples for future action and collaboration in other countries with similar problems."
Yemen has, since unity, invested very substantial resources in an excellent road network which now links its cities and links Yemen with other countries. Historically, Yemen was always linked to major land or sea routes passing through the interior or long is the Sea trade, and so, though the port of Aden, generated substantial revenues, helping national development by enabling traders to enjoy low shipping costs.
This paper seeks to examine reasons for the previous success of Aden, for the present very high shipping costs to and from handling third party cargoes - particularly, containerized cargoes - through Aden, and how this would benefit the nation and other Yemeni ports.
**Background:**
The port of Aden has been a well known center for sea-borne ancient times; at least as far back as 700 years B.C.. It was declared a Free Port in 1850 to retain the flow of ships carrying goods from Yemen to America and Europe. From the opening of the Suez Canal in 1869, Aden and ship bunkering activities increased. It established oil bunkering facilities in 1919 and, as ships increasingly converted to oil, fought off competition from the coals bunkering station at Perim. Aden, controlled mainly by the British during the 1930s and 1960s for the title of the world's most active bunker port. The largest oil refinery in the British Empire was at Little Aden. Located midway between Europe and the far East, on one of the busiest trading routes, it was the favorite middle distance bunkering port, with around 7000 ship calls a year. With its fast, efficient services, the port also earned revenue from the coming of Little Aden - with crude oil from fields in the Gulf. From a village of less than 1000 people in 1939, it grew to a city of over 400,000 in 1960.
With ships calling at Aden, traders could get regular supplies of goods from East and West. Freight rates were very low and traders could afford goods for delivery to satellite ports in the region and, conversely, import goods to satellite ports for the rest of the world as technology advanced, kept in touch with markets. In developing countries, it was the base for trade to and from any Red Sea, East African, Gulf and Arabian Sea ports.
Ships at Aden could take on 600 tons of bunkers in 8 hours, and used this time in port to load and unload cargoes for satellite ports. At Aden, cargoes were carried by barge to and from ships tried up at buoys in the harbor. Barges were loaded and unloaded quickly, and were able to call at Ma'alla. The Home Trade quay built in 1954, served coastal vessels trading with ports in the region but no attempt was made before independence to provide alongside berths for container ships. Passengers came ashore by launch, and spent many thousands of pounds each at the tax-free shops at Steamer Point, where prices where those of Singapore, Hong Kong or Paris.
**The Suez Crisis:**
The closing of the Suez Canal in 1967 for the better part of 8 years coincided with independence for PDRY and the end of the depression which had run Aden went to other parts of the middle East, particularly the UAE, Saudi Arabia and Oman. The two cranes installed in Aden in 1967 are now managing top Government and private companies in overseas trade. Following this, a lack of investment, the move from general cargo to container traffic, the increasing size and tonnage of ships, with their larger bunker capacity, and the growth of other ports in the region, crippled Aden's bunkering business. When the crisis closed, Aden the port was powerless to fight back and Aden the city declined. The fall in cargo volumes and the drastic fall in traffic from major trading nations increased ocean freight costs to Aden significantly, raising the cost of imports and exports.
The '70s and '80s:
UAE and Gulf ports, which benefited from massive investment in all industries and the fact that they had to trade around the Cape, bypassing Aden, grew rapidly. Dubai/Abel Ali gradually became a major container shipping port, efficiently handling 1.5 million boxes annually (compared with Aden's 200,000). Suez Canal, based on Dubai Airport and Port Rashid was developed, and has prospered. Omani grew from a tiny town in 1973 into a modern state, investing heavily in its transport system.
In the case of the Suez Canal, Aden tried to regain its position, but failed. In the late 1980s, realizing the need for alongside berths, Ma'alla quay was built, meant to handle imports (and small quantities of exports). Ma'alla gives Aden, for the first time in history, alongside berths with a depth capable of taking large ocean-going vessels, and with the capability to handle containers using quay gate cranes.
In parallel, Hodeidah and Mukalla were developed to compete with them, although further investment was put into Mokha and Nisibin Berths at little Aden. These were built to handle larger tankers coming to the refinery with crude oil, and Roll-On/Roll-Off berth was built there, for the export of products.
**The Present Situation in Aden:**
Aden now has four good alongside berths of total length 750 meters, depth alongside 11.0 meters. Two of these handle general cargo. The first container gantry crane was installed in June 1993. The second crane will be installed by early 1995. An area of some 10 hectares around the berths houses container stacking and interchange space and in a large shed, container trucks (where containers are unpacked and repackaged). The other two berths handle general and bulk cargo (grain, cement etc.). Developments have been prepared for the installation of new grain handling and storage facilities at 4th berth and construction for this project is due to commence shortly.
For container trans-shipment services, the berths are limited in three main ways. Length, depth and size of the turning area. Main container vessels can be up to over 200 meters in length and the largest have a draft in excess of 12 meters. However, many container ships operating in East-West trades are smaller and could use the berths as they exist, provided that they can be induced to do so.
**What made Aden successful?**
Trade grew between 1970 and 1960 because of a number of factors:
- Its location - right on major world shipping route through the Suez Canal;
- Its harbor - a very large natural basin, protected on three sides, allowing easy access to dredge to any commercial depth required, without siloion, with short approach channels and a shallow water anchorage;
- Its services - cost effective, rapid. At that time daily ship operations allowed general cargo or passenger ship to stop for 8 - 12 hours to take on competitively priced fuel and food, and to port its route, making Aden attractive;
- Ships bunkering capacity - ships carried less fuel in order to carry more cargo, reducing carrying capacity. Therefore they needed to refuel at a middle-distance port;
- Trading and trans-shipment service. Ships could earn extra revenue by carrying small quantities of goods from Aden which was used as they were refueled; i.e. cargo business was carried on the back of the fuel business. Aden was always a fueling port and never a major cargo port, but because 20 ships a day called at the port, there was room for the export of products.
**What has changed since the 1960s?**
Rapid progress in the shipping world has occurred since the 1960s, afflicting all ports in the world. It is not probably true to say that the greatest changes have come about in the carriage of "general cargo" those commodities upon which most human activities are based, from food to machinery, lubricants to toys, cigarettes to electronic goods. All things which make daily life possible and / or enjoyable, certainly in the developed world.
Commercialization of general cargo has grown continuously since the beginning of the late 1960s. More and more cargoes are carried in containers, such that they can be induced to do so.
**Discussion with those who know Aden when it was booming look back on those days with pleasure. "Aden had it all". Aden was the "White City" and the port will see the downtown city rise again, as it did in the 19th and 20th centuries?**
The answer is qualified "yes". Looking at those factors on which on which successful ports are based, Aden has many of them. The location, being the world's main trading artery has not changed, the fine natural harbor still stands, good container handling facilities have been provided, with the second crane grant being a very important factor for shipping companies. 20,000 containers pass the entrance to the port. The port must market its service and must demonstrate to major container carriers that Aden can offer viable trans-shipment service.
As discussed above, time in port is critical. Aden is 20 km off the route, with a very clear approach channel. Ships can be turned out quickly.
But what about the competitions? Ports in competition with Aden suffer from drawbacks for shipper. Jeddah, with its excellent container handling facilities, its deep water berths, its many cranes, is quite close to the shipping route though the Red Sea. But Jeddah did not allow trans-shipment of cargo and still places some restrictions on the goods carried in containers trans-shipped through the port. Access to Jeddah, though reefs, is not as easy as Aden. Some port operators do not always provide the level of service which shippers expect. Jeddah improved its container handling facilities, but suffers from a relatively shallow seaward section in the approach channel of 10.3 meters at the container berths. Which means that larger ships may have to depend on the tide in order to cross the bar; and the delay in loading and unloading containers at the
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Last week, H.M. King Hussein visited Iraq and was delighted with Iraqi Prime Minister Ibrahim Rabin copies of the ratified peace agreement.
Among Arab citizens, the whole peace process has triggered a number of soul-searching debates. There are security dimensions, as Israel continues to expand to double its nuclear arsenal, and there are political issues as a successful Israeli democracy threatens traditional Arab regimes. There is an economic issue, as a vibrant Israeli economy threatens stagnating Arab economies.
There is a cultural issue that is menacing interaction in the international circles. It cannot be separated from the other issues. The Arabs have been experiencing trouble in their culture. The most sensitive aspect of this cultural interaction is the religious dimension. The occupied Arab lands - including Al-Quds (Jerusalem) - is still under Israeli military occupation. Finally, there is also the underlying suspicion among the people in both sides, in spite of the fairfare of the peace process.
The Hebrew University conducted an opinion poll among Israeli youth on the relationship with the Arab countries and other topics like pulling out from the occupied Arab territories. The poll showed that 70% of the students opposed pulling out from the Golan Heights, even if peace were realized, while some 63% recognized that the movements in the West Bank and Gaza should continue. And 65% continued to harbor negative feelings of the Arabs.
In spite of the warm hand-shake among Arab and Israeli rulers and politicians, there are many differences in both camps as to how the public will react given the long brain-washing and indoctrination against the other side. How will the citizens react to flocks of tourists or businessmen in their midst from the other side?
The problem is that little is being done to help change the old image. Even as the Arab government move to make political arrangements for Israel towards peace, some official media circles continue to repeat the old anti-Israel rhetoric. There needs to be a massive new campaign in both Israel and the Arab countries to try to project a new image of each other. The Arab and Israelis could offer new roles and perceptions. Our reading of history should be adjusted, if the peace process is to have any chance of taking hold.
President Ali Abdullah Saleh has pledged to stop the media warfare between Yemen and our neighbors, especially Saudi Arabia, is vital for the future welfare and development of Yemen. Intelligent Yemenis understand that our country does not need to engage in any new battles, of whatever sort.
We would like to urge the government of Abdulaziz Abdulghani to put its foot down and reign in the law-breakers who are using the revolutionary journalists, even if they are hired by local politicians.
I would also urge independent newspapers to publish editorials and articles, and newspapers, and stay out of the whole thing. Let the market be the final judge of whether they are viable or not.
Abdulaziz Al-Saqaqf,
Yemen Times.
Prepared by the Public for Peace
Intergraph wins $76.8m AT&T project
By: The Economic Editor.
Intergraph Corporation received a notification of award for a $76.8 million (U.S.) project from AT&T to provide hardware, software, consulting and conversion services for major telecommunications contracts in Saudi Arabia. AT&T will serve as prime contractor to the Ministry of Post, Telecommunications & Telegraphs (PTT) to improve the telecommunication facilities within Saudi Arabia.
Currently, the PTT provides telephone services for 1.9 million customers. As a part of the seven-year contract, an additional 1.5 million lines will be installed immediately, effectively doubling the size of the network. Two hundred thousand additional telephone lines will also be provided.
Intergraph will subcontract to provide an AMFPM/GIS system comprising over 280 individual workstations running Microsoft Windows NT, 14 servers and Facilities Rulebased Application Model (FRAMME) Management Environment (FRAMME) software. The new AMFPM/GIS system will replace a 20-year-old manual system that became too costly and inefficient to maintain.
Intergraph will digitize 50,000 paper and mylar documents into their FRAMME system. Users in the subscription and billing offices will be able to access digital records and quickly determine what and if facilities are available before they can do today. Currently, an engineer must look up this information in a file cabinet. In addition, the system will manage 40,000 building drawings that record the planning, design, equipment and all terminations of phone equipment for all of Saudi Arabia. Twenty-thousand special purpose data layer record cards will also become redundant.
Other than the mechanized record system, Intergraph will provide a user interface and other operational support systems so that when equipment is placed in an outside plant, those additions are recorded in the system. For example, when a distribution terminal for a house is installed, the address and the facilities required to serve it are created in a system record.
"We chose Intergraph because we had a well established presence in the Kingdom of Saudi Arabia and we wanted to provide our customer with the right AMFPM solution for their network," said Mick Brown, President of AT&T International (Saudi Arabia).
"Intergraph is very pleased to have been selected to work on such an important project in the Kingdom. We believe that our FRAMME products match well with the Saudi Arabian plant management system needs of the Saudi PTT, and we look forward to a long-term partnership," said Jim Meadcock, Corporate Vice Chief Executive Officer of Intergraph Corporation.
This award is a significant milestone for Intergraph Middle East and will result in a major expansion of our resources in the Kingdom," said John Sassar, Managing Director of Intergraph Middle East LLC. Utilities Management is a core competency for Intergraph within the Region, along with mapping, GIS, CAD and plant design.
The Meaning Behind the Deed
Yemenis agree that a workable relationship with our neighbors, especially Saudi Arabia, is vital for the future welfare and development of Yemen. Intelligent Yemenis understand that our country does not need to engage in any new battles, of whatever sort.
We would like to urge the government of Abdulaziz Abdulghani to put its foot down and reign in the law-breakers who are using the revolutionary journalists, even if they are hired by local politicians.
I would also urge independent newspapers to publish editorials and articles, and newspapers, and stay out of the whole thing. Let the market be the final judge of whether they are viable or not.
Abdulaziz Al-Saqaqf,
Yemen Times.
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CREATIVE WRITINGS: SIX-WORD SHORT STORIES BEHIND THE TAILGATES OF TRUCKS
Anna Sriastuti
Satya Wacana Christian University
firstname.lastname@example.org
ABSTRACT
Hemingway made a breakthrough against the rules of the novel when he came up with his six-word short story. **For sale: Baby shoes, never worn.** Using only six words, he was able to engage readers’ attention on creating an opened outline of a narrative construct by viewing the situations in a chronological plot design of what had happened, what is happening, and what will happen to who might be involved in this situation, the ones could be said as the characters of this six-words story; one of them obviously would be the baby itself. Hemmingway’s short story style seems to be popular in Indonesia even without fully awareness by the Indonesian. This is a phenomenal issue in Indonesia, which can be considered as part of creativity and entertainment, as creative fun writings are easily found behind the tailgates or mud guards of the trucks. “**Anda butuh waktu, kami butuh uang**” (You need time, we need money) is one of the writing popular written behind the truck triggering questions like who ‘you’ and ‘we’ refer to? Why you need money and we need money? What had happened between ‘you’ and ‘we’? How do ‘you’ and ‘we’ compromise at the end? This six-word writing has created a narrative structure, which context has probably been understood by Indonesians. This article is about writings behind the trucks, which composing stories creatively. The plot structures and the implicit messages will be analyzed through the choice of the words in the writings.
Keywords: six-word short story, writings, plot structures.
INTRODUCTION
Since long time ago, literature has become a part of the culture, which is always expanding following the movement years and centuries. Everyone brings the different subjective or point of view of what an author has written. Wellek and Warren (1956:15) states that literature cannot be ‘studied’ at all. We can only read, enjoy, and appreciate it. Stories can be divided into short stories, novel, or novella. The divisions are classified based
on several criteria like the number of words, the complexity of the plot, and the role of the characters. Technically a short story is anywhere between 3,500 to 7,500 words. If a story is less than 1,000 words, it would be considered flash fiction, which, by the way, is a growing market. If a short story is longer than 17,000 words, it would be considered a novella, and more than 40,000 words could be called novel (Hunbbel Meer). Short stories are also structured differently than novels. Novels have time to explore the full three-act structure. However, short stories only have space to write a segment of the three-act structure, usually a segment that leads up to a major, transformative event for the main character. A good example of a major event is William Faulkner’s short story, “A Rose for Emily,” which centers on the discovery of the shy main character’s dead, decaying body in her home. The rest of the story is just build up and explanation for that one central event. Finally, short stories only focus on one major character. Novels have room to explore the lives of several major characters. For example, in Jane Austen’s Pride and Prejudice we closely follow the life of Jane Bennett and her relationship with Mr. Bingley. Writing sub-plots into a short story is. They’re too brief to focus on the life of more than one major character (http://letswriteashortstory.com).
In 1910 a brief article titled “Tragedy of Baby’s Death is Revealed in Sale of Clothes” was printed in a Spokane, Washington newspaper, and the text discussed a small classified advertisement. Perhaps this article or an article of this type provided the inspiration for the flash fiction. Boldface has been added to excerpts below:
The world is indeed a complication of joys and sorrows, a continuous play made up of tragedy and comedy, and even in every day life, items and experience, small and unusual to us, perhaps, is woven a little story of the heart.
Last Saturday an ad. appeared in a local paper which read: “Baby’s hand made trousseau and baby’s bed for sale. Never been used.” The address was on East Mission street.
This perhaps meant little to the casual reader, yet to the mother who had spent hours and days planning the beautiful things for her tiny baby, it meant a keen sorrow and disappointment.
She had perhaps, dreamed of the time when her little one should be grown up and could, with a source of pride, look back upon its babyhood days and display the handiwork of its mother in the first baby clothes worn and the first trundle bed it had slept in when it first opened its eyes upon the beauties of the world.
But the hand of fate had been unkind and took from the devoted parents the little one which was destined to be the sunshine and light of their life, and the mother, in a desire to forget her sorrow by parting with anything which reminded her of the little one, advertised the garments at a sacrifice.
From this excerpt, Hemmingway’ came with his six-word story: “For sale: Baby shoes, never worn”, making it an extreme example of what is called flash fiction or sudden fiction. Although it is often attributed to Ernest Hemingway, the link to him is unsubstantiated and similarly titled stories predate him. The words ‘never born’ bring to mind a series of questions that concern the possible histories and indeed the possible futures of the various characters that operate outside the confines of the short text. For instance, who is selling the shoes: is it a single person? A couple? Do they still have a relationship? Or has their world has been pulled apart? And the baby: are the shoes merely a gift never worn? Or was there a miscarriage or a cot death perhaps? Why the shoes have never been worn? By asking these questions, there is the potential for a prose narrative, however short, to convey meaning and to provide subtext and narrative strands that both begin before and continue after the text itself.
The phenomenon of a six-word short story is unique and its existence is getting countable. In Indonesia, though the theories of this flash story is less known by Indonesia people in general, the six-word stories are easily found and read every day. Through the creative writings written at the tailgates or mud-boards of trucks, readers are entertained and served with various life stories. A writing likes “Anda butuh waktu, kami butuh uang” (You need time, we need money) is a product of literature, can be categorized as a six-word short story, as the word ‘literature’ is defined as any written forms since it etymologically derives from Latin literatura/litteratura ‘writing formed with letters’, although some definitions include spoken or sung texts. Literature can give us something to learn about life. It can be used to portray all the things that occur in reality. There are fictions, which are made, based on true story and have a close relation with reality. Besides, there are also fictions that tell us about love, war, poverty, and all the things that we can actually seen in the
real world. Pickering and Hoeper (1969:11) say that fiction is the relationship between the created world of the given work and the real world art objective experience. The writings behind the trucks are interesting to be analyzed to learn about life viewed from marginal people, who spend their lives on the street as truck drivers. This paper is to analyze the short writings behind the trucks from the structuring of the story, plot developments, characterizations, and points of view of the writers.
**DISCUSSION**
Liam Murray Bell proposed an idea that apart from the simplicity of words in a six-word short story, it should cover four key aspects of writing prose: structuring a story, developing plot, characterization, and point-of-view (2010).
Structuring a story can be done in a basic linear structure, one known a flat or chronological, a flashback, or a combination between the two. Blake Morrison, as quoted by Bell (2010), creatively portrayed a life passes from birth to death in his six-word story: “Womb. Bloom. Groom. Gloom. Rheum. Tomb.” With his flash writing, Morrison was able to tell readers an entire human life process. The plot of the story is a basic linear construct of beginning-middle-end. One’s life is started in a woman’s womb then he/she is born and growing up from childhood, into adulthood, then entering the aging period before finally dies. This linear storyline is not the only one a writer does in creating a narrative to engage the readers’ attention. Through “Dad called: DNA back: he isn’t”, Heden Fielding tried to start her story from middle-beginning-end structure. Liam Murray Bell examined Fielding’s six-word story did not conform to the beginning-middle-end structure of Aristotle, but instead presumed a central event of the DNA results. This can be seen as occurring approximately in the middle of the natural story, thereby inviting speculation as to the reasons for the test and the potential fallout from it. Readers can engage with the story themselves by triggering themselves to questions like: Who are the possible characters mentioned in this short story? What has happened so they need to have a DNA check? What will happen after the DNA’s result is known? If Fielding were to expand her story, she could structure it from present to past, past to present, or it could event jump backwards and forwards between the two.
In developing the plot, Bell suggested two ways: temporal and causal plotting and a self-reflexive manner plotting. Temporality (being the engagement with the question ‘What
will happen next?’) is highlighted to engage with the causality. Simon Armitage six-word story, “Megan’s baby: John’s surname: Jim’s eyes”, ticking readers to build a plot based on two basic questions of ‘What has happened’ and “What will happen next?”. More than this, however, readers can engage with a six-word short story in a self-reflective manner, examining the ways in which writers can draw the reader into their writing, their ability to suspense or intrigue as Ashley Stokes said that, “the underside of the stone that no one sees. It is the head labor that makes a novel realize itself on its own terms” (Stokes, 2001).
The third aspect, after structuring the story and developing a plot is characterizations. According to Malcolm Bradbury, characterization is intimately linked to plot, “Plot is itself often the product of a character or characters in their processes of development, growing self-knowledge or interactions with others. So plot itself is the product of human actions or adventures.” (Bradbury, 2011) Bell then came out with four types of characterization: autobiographical (whereby the author includes aspects of themselves in the character), biographical (whereby the author includes aspects of others), from scratch characterization (whereby a character is entirely fictional and is created from the grown up), and a combination method that involves autobiography, biography, and from scratch characters. Like A.L. Kennedy’s six word story: “He didn’t. She did. Big Mistakes.” Kennedy could be drawing on autobiography in constructing this story, transposing a scenario from her own life. Bradbury contended that characters could be observed, invented, and created from ones’ lives, observations, senses of the motives of others, fascinations with cultures and mannerisms (2001).
The final aspect is point-of-view, which is divided into a first-person narrative like in Hani Kunzru’s six-word story: “Stop me before I kill again” and a third-person narrative like in Andrew O’Hagan’s: “Purse found. “No notes,” she said.” Bell said that in first person, it is possible only to give the thoughts of that characters or to give them speculating on the thoughts or opinions of another character, whereas in a third-person narrative, the story is limited or subjects to an omniscient narrator (Bell, 2010). A second-person narrative is possible though rarely used.
The analysis of this paper will focus on the six-word writings popular written behind the tailgates or on the mud-guards of trucks in Indonesia, as follows:
The analysis of the writings will be based on the Bell’s ideas on four key aspects of writing prose: structuring a story, developing plot, characterization, and point-of-view.
1. Anda Butuh Waktu, Kami Butuh Uang (You Need Time, We Need Money)
This six-word story is structured in a combination between a basic linear structure and a flashback structure. The story is using a middle-ending-beginning structure. ‘We’ state their opinion of what they need, apart from their speculation on what ‘you’ might need. The structure then triggers questions of what has happened before, which probably the beginning of the story, between ‘We’ and ‘You’ so that a statement of needs declared. This might include the conflict between the two parties. Then the story comes to the ending of finding out what might happen to both parties. How the conflict between ‘we’ and ‘you’ might be coped. The plot of this six-word story is a temporal and causal plotting. That condition demands an answer of “What will happen next?” The characterization used is a combination method that involves autobiography, biography, and from scratch characters. The authors include themselves in the story by addressing themselves as ‘we’, and at the same time create another character from the scratch character, can be fictional or not obvious, as it is addressed with the word ‘you’. The point of view used in this story is second-person narratives, recalling a communal nouns or groups of characters.
‘We’ closely refers to the drivers and crew of the trucks, whereas ‘you’ might refer to car drivers and motorists. There is a binary opposition offered by the truck driver: car drivers and motorists need time as truck drivers need money. Truck is a big vehicle. It is big in size and heavy in load. Its existence on the road usually takes the whole side of the road. It is worsened with its low speed due to its burden. Cars drivers and motorists running behind the truck might find it difficult to pass it. Trucks
are often accused as the source of traffic jams and slow travelling, which cause less of hospitality offered to truck drivers and crew. Cars and motorcycles beep and honk their horns as signs for trucks to give them, ways to pass, since those car drivers and motorists need to race with time. As time is precious for car drivers and motorists due to the businesses they might have, it is also same for the trucks’ drivers to take their ways, no matter how slowly it is to earn money. What will happen next after this confession is made? A six-word story ends openly. It can be an understanding between two party is achieved, so all road users will appreciate each other and have a safely drive, or a competition is sharpened, which leads to ‘street fighting’ to reach each party’s goal.
2. Bila Pulang Dicaci, Tak Pulang Dicari (Going Home: Scolded. Not Home: Searched)
The structure of the story is in a chronological order. The word ‘going home’ indicates ‘leaving home’ first, and then two possibilities occurred: to going home or not going home, each brings different consequence. The cause and effect plays roles in developing the plot with these questions as guides: ‘Where has that person gone?’, ‘Why is that person scolded?’, ‘Where does that person probably go if he or she is not going home?’, and ‘Why is that person searched?’ Mentioning no obvious characters does not mean that the characterization of the six-word story is none. Since this writing is found at the back of the trucks, it means that the main character is highly to be the driver of the truck. Another character would be someone at home, who closely refers to wife. The writer uses third-person narratives to deliver the story, indicating that this story can be experienced by anyone, not limited to a referred person or a proper noun.
Truck drivers, mostly men, leave their families for a period of time to earn money. A job of a truck driver is not a prestigious job, offering low income with high risks. Even if the payment is satisfactory, a driver might not bring a full payment due to his needs on the way, not mentioning the risks of accidents or compensation of the vehicle damages he needs to pay. ‘How much will he bring home to meet the family end?’ ‘What happens if he does not bring enough to fulfill the family needs. He would
be scolded by people at home, his wife to be named. The dilemma is waiting: to going home or not going home. ‘If he is not going home, where he might be?’ What will happen next?’ The people at his home would probably search for him, for various possible reasons: worrying about his safety, suspecting him of leaving the family, or being frightened of losing a family income.
3. Bersatu di Pangkalan Bersaing di Jalanan (Unite at Base. Compete on Road.)
The story is structures in basic linear structure: beginning, middle, and ending. The way the plot is presented is in self-reflective manner, allowing readers to examining the ways in which writers can draw the reader into their writing, their ability to suspense or intrigue. The characters, viewed from the words ‘bersatu-unite’ and ‘bersaing-compete’, can be grouped as an autobiography if the authors (the truck drivers) includes aspects of themselves as speakers of this writings. The point of view of this writing is first person points of view. Though hidden, the main characters of the story are the truck drivers themselves, who are sharing their life in a community.
Referring to the plot of this six-word short story, it is understandable that the story is started from the drivers’ lives as friends in the base. The feeling of solidarity and the sense of belonging as a part of community united these truck drivers. However, the settings described are not only in the base, but also on the road. The solemn lives in the base turns to be intrigues or problems once they are on the ways. From friends, these drivers tend to be rivals on the road. Street life is tough, but why they compete for? Money? Time? What will happen at the end of the story, the resolution of the story can be either the competitions last long, or the peace presents as they meet at the base again.
4. Besar di Rantau, Tua di Jalan (Growing in Wander, Aging on Roads)
The structure of the story is a basic linear structure, with a chronological plot. The choices of the words indicate a process of life experience by a truck driver, leaving the hometown for a period of time, living a street-life, and finally getting old on the road. The characters are the truck drivers themselves, sharing a life experience,
sounding irony. The point of view is a first person point of view; the drivers speak for themselves.
The story is delivered in a chronological order, telling readers about a life of a truck driver. Once one decides to be a truck driver, the person is ready to spend his life wandering from one place to another place. Most of his life would be spent on the roads, transporting things. A truck driver’s life could be said as a modern nomadic life, since the driver shortly stays in a place, even to be with the family. From twenties turning thirties, thirties turning forties, until that person is aging, he would be a ‘on the wheels’ man. Readers are triggered with questions like: How long does a person commit his career as a truck driver? What would happen if that person quits his job? The writer of this six-word story is aware about the consequences of getting through a life as a truck driver, and the other side there is a longing of quitting such a life and start a normal life.
CONCLUSION
Apart from all obscurities of details in a six-word short story, the benefit of it is that it allows for the drawing out of strands of fiction writing with self-contained and easily accessible examples that do not require close-reading or explanations of contexts. Readers have freedoms to elaborate their stories by developing their own plots, creating and assuming the characters and their characterizations, and defining points of view that contribute a lot in structuring the short story. The writings on the tailgates behind trucks in Indonesia invite smiles as a sign of entertainments, but in deeper thought it offers stories with the truck drivers and crew as the main characters.
REFERENCES
Stokes, Ashley. 2001. *The Creative Writing Coursebook: Plotting a Novel*. London: MacMillan.
Bradbury, Malcolm. 2001. *The Creative Writing Coursebook: Characters and Characterization*. London: MacMillan.
Bell, Liam Murry. 2010. Teaching Theory & Practice: The Six Word Short Story: a tool for teaching level 1 creative writing undergraduates. Volume 2 Number 2. University of Surray.
Pickering, James H; Hoeper, Jeffry D. 1969. *Concise Companion to Literature*. New York: Macmillan Publishing Co, Inc.
Wellek, Rene and Warren, Austin. 1956. *Theory of Literature*, 3rd edition. New York: Harcourt, Brace & World, Inc.
http://quoteinvestigator.com/2013/01/28/baby-shoes/ For Sale, Baby Shoes, Never Worn.
http://aswar-klasik.blogspot.com/2012/04/tulisan-di-belakang-truk.html. Tulisan di Belakang Truk.
http://hunbel-mcer.hubpages.com/hub/Difference-Between-A-Short-Story-Novelette-Novella-And-A-Novel / Difference Between A Short Story, Novelette, Novella And A Novel |
EFFECT OF ACTIVE ACTIONS ON THE PROPERTIES OF SEMICONDUCTOR MATERIALS AND STRUCTURES
NTC “Institute for Single Crystals”
Kharkiv 2007
Effect of Active Actions on the Properties of Semiconductor Materials and Structures / E.D. Atanasova, A.E. Belyaev, R.V. Konakova, P.M. Lytvyn, V.V. Milenin, V.F. Mitin, V.V. Shynkarenko – Kharkiv: NTC “Institute for Single Crystals”, 2007.– page. –
ISBN 966-02-2555-5 ; ISBN 978-966-02-4268-5
Вплив активних дій на властивості напівпровідникових матеріалів і структур / О.Д. Атанасова, О.С. Беляєв, Р.В. Конакова, П.М. Литвин, В.В. Міленін, В.Ф. Мітін, В.В. Шинкаренко – Харків: НТК “Інститут монокристалів”, 2007.– стр. –
ISBN 966-02-2555-5 (серія); ISBN 978-966-02-4268-5
The monograph deals with the physico-technological aspects of interaction of microwave radiation with semiconductor materials and device structures made on their basis. The effect of active actions (microwave treatment, $^{60}$Co $\gamma$-irradiation and rapid thermal annealing) on the processes of structural relaxation in the TiB$_2$–GaAs (InP, GaP, SiC) contacts is considered. An analysis is made of the features of the effect of microwave and $^{60}$Co $\gamma$-radiation on the electrical characteristics of resonant tunneling diodes made on the basis of AlGaAs–GaAs heterojunctions, as well as gallium arsenide tunnel diodes with a $\delta$-layer in the space-charge region. The experimental data on the effect of microwave radiation on defect modification in the SiO$_2$–GaAs (SiC) structures are presented. The effects in the nanocrystalline silicon–silicon systems induced by microwave radiation are considered. Much space is given to the effects produced by microwave and $^{60}$Co $\gamma$-irradiation in the Ta$_2$O$_5$–Si structures, depending on the conditions of Ta$_2$O$_5$ formation.
The monograph is intended for researchers and those engaged in development of microwave devices. It may be of use also to post-graduates and undergraduates specializing in the corresponding areas.
Рецензент: академік НАН України
доктор фіз.-мат. наук професор В.М. Яковенко
Головний редактор серії
академік НАН України Б.В. Гриньов
Відповідальний секретар
канд. фіз.-мат. наук Е.В. Щербина
ISBN 966-02-2555-5; ISBN 978-966-02-4268-5 © Атанасова О.Д., Беляєв О.С.,
Конакова Р.В., Литвин П.М.,
Міленін В.В., Мітін В.Ф.,
Шинкаренко В.В. 2007 © НТК “Інститут монокристалів”, 2007
В монографії розглянуті фізико-технологічні аспекти взаємодії НВЧ випромінювання з напівпровідниковими матеріалами та приладовими структурами на їх основі. Показано вплив активних обробок (НВЧ обробка, $\gamma$-опромінювання $^{60}$Co і швидкий термічний відпал) на процеси структурної релаксації в контактах TiB$_2$–GaAs (InP, GaP, SiC). Проаналізовані особливо-сті впливу НВЧ і $\gamma$-випромінювання $^{60}$Co на електричні характеристики ре-зонансно-тунельних діодів на основі гетеропереходів AlGaAs–GaAs і арсенидгаллієвих тунельних діодів з $\delta$-шаром в області просторового заряду. На-ведені експериментальні дані з впливу НВЧ випромінювання на модифікацію дефектів в структурах SiO$_2$–GaAs (SiC). Розглянуті стимулювані НВЧ випромінюваними ефектами в системах нанокристалічний кремній–кремній. Значне місце відведено ефектам, викликаним НВЧ і $\gamma$-опромінюваним $^{60}$Co в структурах Ta$_2$O$_5$–Si, в залежності від умов формування Ta$_2$O$_5$.
Монографія призначена для наукових працівників і розробників НВЧ приладів. Вона може бути корисною також аспірантам і студентам вузів, які навчаються за відповідними спеціальностями.
Рецензент: академік НАН України
доктор фіз.-мат. наук професор В.М. Яковенко
Головний редактор серії
академік НАН України Б.В. Гриньов
Відповідальний секретар
канд. фіз.-мат. наук Е.В. Щербина
ISBN 966-02-2555-5 (серія); ISBN 978-966-02-4268-5 © Атанасова О.Д., Беляєв О.С.,
Конакова Р.В., Литвин П.М.,
Міленін В.В., Мітін В.Ф.,
Шинкаренко В.В. 2007 © НТК “Інститут монокристалів”, 2007
| Acronym | Description |
|---------|-------------|
| AES | Auger electron spectroscopy |
| AFM | atomic force microscopy |
| CTO | conventional thermal oxidation |
| CW | continuous wave |
| 2(3)D | two-(three-)dimensional |
| DBRTD | double-barrier resonant tunneling diode |
| DLTS | deep level transient spectroscopy |
| DRAM | dynamic random access memory |
| ER | electroreflectance |
| IC | integrated circuit |
| IS | intrinsic stress |
| MBE | molecular-beam epitaxy |
| MIS | metal-insulator-semiconductor |
| MOCVD | metal-organic chemical vapor deposition |
| MOS | metal-oxide-semiconductor |
| MOSFET | metal-oxide-semiconductor field-effect transistor |
| nc | nanocrystalline |
| NC | nanocrystals |
| NDC | negative differential conductivity |
| OA | oxygen annealing |
| OD | optical density |
| PF | Poole-Frenkel |
| PL | photoluminescence |
| PLD | pulsed laser deposition |
| rf | radio frequency |
| RMS | root-mean square |
| RTA | rapid thermal annealing |
| RTD | resonant tunneling diode |
| RTS | resonant tunneling structure |
| SBD | Schottky barrier diode |
| SCR | space-charge region |
| TD | tunnel diode |
| TEM | transmission electron microscopy |
| Symbol | Description |
|--------|-------------|
| ULSI | ultra large-scale integration |
| XPS | x-ray photoelectron spectroscopy |
| XRD | x-ray diffraction |
| \( \alpha \) | thermal diffusivity |
| \( B \) | modulus of elasticity |
| \( c \) | molar thermal capacity |
| \( C \) | capacitance |
| \( d \) | spacing between \( \delta \)-layers |
| \( D \) | diffusion coefficient |
| \( E \) | energy; electric field |
| \( E_0 \) | electric field in \( p-n \) junction |
| \( E_{bd} \) | breakdown electric field |
| \( E_{eff} \) | effective field strength |
| \( E_F \) | Fermi energy |
| \( E_g \) | bandgap |
| \( f \) | frequency |
| \( h (= 2\pi\hbar) \) | Planck's constant |
| \( h\nu_m \) | PL peak position |
| \( I \) | current |
| \( I_{ex} \) | excess current |
| \( I_p \) | peak tunnel current |
| \( I_r \) | excess current |
| \( J \) | current density |
| \( k \) | absorption coefficient; dielectric constant (throughout Chapter 5) |
| \( k_B \) | Boltzmann constant |
| \( k_r \) | dynamic dielectric constant (throughout Chapter 5) |
| \( l \) | sample thickness |
| \( m^* \) | electron effective mass |
| \( m_0 \) | electron mass |
| \( n_{eff} \) | effective refractive index |
| \( n_r \) | refractive index |
| \( n \) | impurity concentration |
| Symbol | Description |
|--------|-------------|
| $N$ | number of defects in a cluster |
| $N_0$ | silicon impurity concentration |
| $N_D$ | donor concentration |
| $P$ | radiating power |
| $P_{\text{max}}$ | maximum output power |
| $P_T$ | heat power density |
| $q$ | electron charge |
| $Q$ | total charge in the $\delta_1$-layer |
| $Q_f$ | oxide charge |
| $R$ | radius of curvature; inclusion radius |
| $S$ | sample area |
| $t$ | time |
| $t_i$ | irradiation time |
| $T$ | temperature |
| $T_0$ | temperature at the semiconductor-"inclusion" interface |
| $T_{\text{max}}$ | maximal heating temperature |
| $T_{\text{ox}}$ | oxidation temperature |
| $T_s$ | substrate temperature |
| $U$ | diffusion activation energy |
| $V$ | voltage |
| $V_{\text{fb}}$ | flat-band voltage |
| $V_g$ | gate voltage |
| $\Gamma$ | LO-phonon peak half-width; broadening parameter |
| $\varepsilon$ | local deformation |
| $\varepsilon_0$ | electron energy at a temperature of 300 K |
| $\varepsilon_{\text{el}}$ | electron energy |
| $\lambda$ | wavelength |
| $\mu$ | charge carrier mobility |
| $\nu_m$ | PL peak position |
| $\rho$ | density |
| $\rho_A$ | linear density |
| Symbol | Description |
|--------|-------------|
| $\sigma$ | intrinsic stress |
| $\tau$ | electron energy relaxation time |
| $\tau_e$ | energy relaxation time |
| $\tau_p$ | momentum relaxation time |
| $\tau_T$ | total duration of microwave treatment |
| $\chi$ | thermal conductivity |
| $\varphi_b$ | Schottky barrier height |
| $\omega$ | angular frequency (of the electromagnetic field) |
PREFACE
The present-day microelectronics is characterized by the tendency for drastic decrease of the geometric sizes of the active device elements. The technological procedures required for manufacturing of such objects may be provided by developing novel technologies, in particular, those using purposeful dosed action on the device structure components [1–16]. The attained level of understanding of the physicochemical processes occurring at interaction of electrons and ions with solids ensured the leading role in manufacturing of microelectronic devices for the technologies using ion beams and particle radiation [5, 8–10, 17–35].
Along with the noted technological processes, a significant place among the semiconductor technologies is occupied by those which apply microwave radiation. The best known of them are different modifications of the magnetron sputtering technique. They are applied when forming the multilayer metallizations, as well as ohmic and barrier contacts to microelectronic semiconductor devices and integrated circuits [36–38].
An analysis of the engineering and technological possibilities to apply microwave radiation in the production of semiconductor devices shows that the main aspects of the problem concern annealing of semiconductor materials and device structures aimed at provision of control over the structural properties and impurity-defect composition. Following are some of these aspects:
- annealing of radiation defects in semiconductors that were produced by ion doping [39–41];
- low-temperature annealing with a narrow beam of microwave energy of local regions produced by ion doping [42, 43];
• surface microwave annealing of semiconductor materials (involving crystallization of amorphous layers, solid phase recrystallization and melting) [44];
• growth of silicon single crystals in microwave fields [45];
• formation of ohmic and barrier contacts using microwave irradiation [46, 47];
• cutting of polycrystalline silicon ingots into pieces [48];
• gettering of impurities and defects in silicon in the course of treatment in microwave fields [49].
It should be noted also that, along with the above possibilities of technological application of microwave radiation, a big cycle of researches of the problem of interaction of microwave radiation with semiconductors have been performed in recent years. These investigations served to development of the physical foundations of microwave treatments in semiconductor electronics. Some of these works are generalized in the theses made at the N.G. Chernyshevsky Saratov State University [50–52] and V. Lashkaryov Institute of Semiconductor Physics of the National Academy of Sciences of Ukraine [53–58], as well as in [59]. In most of these studies low-power cm-wave radiation was used.
Despite the apparent simplicity of the technologies applying electromagnetic beams (as compared to those using particle radiation), a number of important problems still remain unsolved, thus restricting application of the microwave technologies. These are, e.g., the problem of micrometallurgical processes induced by electromagnetic radiation, defect formation in the semiconductor near-surface layers, appearance and relaxation of thermomechanical stresses at the interfaces between phases, structural phase transitions at the nano- and subnanosecond scale, overheating, etc. Electromagnetic radiation from the 10–100 GHz frequency range practically has not been applied to solve such problems.
The previous investigations of the interaction of high-power electromagnetic beams with semiconductor structures dealt mainly the aspects of their destructive effect [60–64]. At the same time one should note that microwave treatments are promising for development of novel semiconductor technologies. The factors favoring such conclusion are as follows:
- a wide range \((0.1 - 10^9 \text{ W/cm}^2)\) of radiating power at variation of polarization and strength of the electric field of the electromagnetic wave;
- a possibility to realize both short-time (nano- and microsecond) pulse actions, as well as continuous thermal treatment;
- high controllability and reproducibility of the parameters of microwave radiation (and, as a result, possibility of precise dosing when supplying energy to the active areas of the irradiated object);
- a possibility to ensure uniform treatment of large-area objects;
- a possibility of selective uniform effect on the components of semiconductor device structures;
- non-contact treatment of materials in a vacuum or special media.
The above factors served as foundation for performance of investigations of the effect of microwave irradiation on the structural-chemical and electrophysical characteristics of III–V semiconductor materials and devices made on their basis.
Chapter 1 of this book deals with elucidation of the role of thermal and non-thermal factors in variation of the structural parameters of III–V semiconductor compounds. This is illustrated by the example of GaAs, GaP and InP exposed to high-power microwave irradiation. The data on variation of the point and extended defect concentration, as well as on relaxation of intrinsic stresses in GaAs, GaP and InP bulk and epitaxial structures are obtained. The results on the effect of microwave radiation on the energy spectrum of defect states in CdS single crystals are presented.
Chapter 2 presents the comparative data on the effect of microwave and \(^{60}\text{Co} \gamma\)-radiation on the electrical characteristics of resonant tunneling diodes and tunnel diodes made on the basis of AlGaAs/GaAs heterojunctions and GaAs. The models and mechanisms that are responsible for variation of the device structure parameters are considered.
Chapter 3 deals with the effects in the SiO\(_2\)–GaAs structures that are induced by \(^{60}\text{Co} \gamma\)-irradiation or microwave treatment. An analysis
of the mechanisms of modification of the $\text{SiO}_2$–$\text{GaAs}$ defect structure under short-term microwave treatment is given. The experimental data on the effect of microwave irradiation on the structural and morphological properties of $\text{SiO}_2$–$\text{SiC}$ structures are presented.
Chapter 4 deals with the effect of microwave irradiation on the morphological and structural properties of semiconductor systems “nanocrystalline silicon–silicon”.
In Chapter 5 the results of experimental investigations of the effect of microwave and $^{60}\text{Co} \gamma$-irradiation on the structural and electrical characteristics of $\text{Ta}_2\text{O}_5$–$\text{Si}$ heterostructures and MIS structures made on their basis are analyzed and generalized.
Preface, Chapters 1–4 and Conclusion are written by A.E. Belyaev, R.V. Konakova, V.V. Milenin and P.M. Lytvyn. Chapter 5 is written by E.D. Atanassova, in co-authorship with R.V. Konakova, V.F. Mitin and V.V. Shynkarenko.
This book, as the previous one [65], is intended, first of all, for those engaged in development of semiconductor microwave devices, as well as for technologists. So it presents the material that is necessary for understanding of the physical processes occurring at the semiconductor surfaces and interfaces, as well as in the bulk, under action of high-power electromagnetic radiation. The authors will be grateful to the readers for their critical comments and propositions.
***
When writing this book, the authors used numerous materials by other researchers published in literature, as well as the results of their joint investigations with the researchers from the Institute of Technical Physics of the Hungarian Academy of Sciences (Budapest), Institute of the Physics of Solids of the Bulgarian Academy of Sciences (Sofia), State Enterprise Research Institute “Orion” (Kiev), Taganrog State Radio Engineering University (Taganrog, Russia) and Institute of Physics of the National Academy of Sciences of Ukraine (Kiev). The authors are sincerely grateful to all of them.
The authors are grateful also to Dr. Phys.-Math. Sci. L.A. Matveeva, Dr. Phys.-Math. Sci. E.B. Kaganovich and Dr. Phys.-Math. Sci.
V.E. Primachenko for cooperation and fruitful discussion of the results obtained, to Cand. Phys.-Math. Sci. O.S. Lytvyn, Cand. Phys.-Math. Sci. O.B. Okhrimenko, Cand. Phys.-Math. Sci. A.B. Kamalov and Cand. Tech. Sci. Ya.Ya. Kudryk who took part in the studies of the effect of microwave irradiation on the device structure parameters, and to the referee Academician of the National Academy of Sciences of Ukraine Prof. Dr. Phys.-Math. Sci. V.M. Yakovenko for his valuable comments and advices.
The authors deem it their duty to especially note the valuable contribution that late Prof. Dr. Phys.-Math. Sci. Irina B. Ermolovich and late Prof. Dr. Phys.-Math. Sci. Dmitry I. Sheka made to understanding of the physical processes occurring at interaction of microwave radiation with semiconductor materials and resonant tunneling device structures. Close cooperation and fruitful discussions with them have afforded great pleasure to the authors of this book, as well as to all those who had luck to communicate with these highly gifted researchers and outstanding persons.
Chapter I
INVESTIGATION OF THE ROLE OF THERMAL AND NON-THERMAL FACTORS IN TRANSFORMATION OF STRUCTURAL PARAMETERS OF III–V SEMICONDUCTOR COMPOUNDS, SiC AND CdS EXPOSED TO HIGH-POWER MICROWAVE IRRADIATION
Thermal and non-thermal actions on semiconductors still remain a wide area of physical and technological investigations and developments. Suffice is to mention rapid thermal annealing (RTA) of semiconductor materials using high-power sources of light pulses. Such RTA is applied, in particular, for annealing of ion-implanted semiconductor layers. Various types of lasers and electron guns are also used for this purpose [1–6]. Non-thermal actions due to irradiation of semiconductor wafers with Cs and Co $\gamma$-quanta, high-energy ($E = 1–4$ MeV) electrons or those electrons whose energy is below the threshold are also used in manufacturing technology of different semiconductor devices [7–9].
Considerable recent attention has been focused on the possible applications of microwave treatments in both manufacturing technology and diagnostics of semiconductor materials and devices [10–13]. The physics of interaction of various radiations with solids makes a serious problem. Of this wide area, we consider here RTA and microwave treatment only (to be more precise, such their modes that are sufficient for production of some structural transformations at the interfaces between phases or in semiconductor bulk but do not lead to material disintegration).
1.1. PROCESSES OF STRUCTURAL ORDERING INDUCED BY MICROWAVE TREATMENT AT THE SURFACES OF GaAs SINGLE CRYSTALS AND CONTACT SYSTEMS ON THEIR BASIS
Considerable interest to study of the mechanisms of microwave radiation effect on semiconductor materials and structures is generated mainly by the following two factors. One of them is the possibility to improve degradation resistance of semiconductor devices and circuits and ensure their high fault-tolerance. Another factor is the possibility to use microwave treatments in the manufacturing technologies for semiconductor materials and structures. During the last few years it was demonstrated that microwave radiation is promising for application at all stages of semiconductor manufacturing, from synthesis of single crystals [10] and deposition of thin films [11] to different techniques used for processing of materials and structures (surface cleaning, complementary thermal and microwave annealings, microwave treatments for controlled variation of electrophysical parameters, etc.) [12–14].
Whereas the effect of thermal annealing on the processes of structural ordering in semiconductor materials and structures has been studied rather well, elucidation of the mechanisms of relaxation enhanced by microwave radiation still needs comprehensive investigations. In this case the energy of electromagnetic wave is insufficient for ionization of atoms or production of various structural defects. It is sufficient, however, to excite the electron subsystem of semiconductor and affect the processes of point defects ordering. A microwave wave that penetrates into semiconductor heats local defect areas in the crystal due to ohmic and dielectric losses. In this case the total increase of object temperature is not big (less than 100 °C).
At the same time, the interaction of microwave field with semiconductor single crystals and structures made on their basis goes beyond the thermal processes. An electromagnetic wave of considerable radiating power (about 100 W/cm$^2$) excites all the thermodynamic subsystems of an object, and one has to take into account object interaction with electric and magnetic fields, stress fields, etc. when analyzing the object behavior. Earlier we have shown [15] that, due to such complex action, one can obtain (at appropriate modes of microwave treatment) structural relaxation in the treated semiconductor single crystals and device structures. Such relaxation is accompanied with improvement of the electrophysical parameters of the treated objects. In this case the duration of microwave treatment (several minutes) is much shorter than that of the traditional thermal annealing. This factor makes microwave treatment a fast and energy-saving technology.
It is known [16] that motion of point defects in a crystal is determined by thermally activated diffusion, with diffusion coefficient
\[ D = D_0 e^{-U/k_B T}. \]
(1.1)
Here \( U \) is the diffusion activation energy, \( k_B \) is the Boltzmann constant, \( T \) is temperature, and a constant \( D_0 \) is practically independent of temperature. The \( U \) value depends essentially on the external parameters \( a \) (stresses, electric field and other external factors) that determine the state of the system. This dependence enables one to exert control over the rates of thermally activated processes by varying not only temperature but the external parameters as well.
The probability of the elementary acts (whose sequence realizes the corresponding process) is related to the activation energy by the following expression:
\[ W(T,a) = W_0 e^{-U(a)/k_B T}. \]
(1.2)
So one may expect rather intense processes of structural ordering (induced by microwave field) through diffusion of point defects and their interaction with two- and three-dimensional (2D and 3D) crystal lattice defects, even at moderate heating of single-crystalline objects.
Most of the techniques used in studies of structural ordering in single crystals (x-ray diffraction (XRD), photoluminescence (PL), etc.) are integral (i.e., they give information that is averaged over some volume) or require special preparation of the objects studied, thus complicating investigation of structural ordering on the nanoscale. Combination of integral and local techniques enables one to obtain some quantitatively new information on the processes of structural ordering. For instance, application of XRD and scanning atomic force microscopy (AFM) made it possible to characterize the effect of microwave field on the processes of structural ordering in the near-surface layers of semiconductor single crystals and structures made on their basis.
### 1.1.1. Structural ordering at the surface of GaAs single crystals
We studied the commercial substrate wafers of Czochralski-grown GaAs (100) \( \mu \) and (111) doped with tin and tellurium (\( 10^{16} - 10^{18} \text{ cm}^{-3} \)). The substrate sides were exposed to similar mechanical and chemo-dynamic treatments. We studied also the effect of microwave irradiation on the barrier structures made on the basis of TiB\(_2\)–GaAs using magnetron sputtering in the vacuum.
The TiB\(_2\) film thickness varied from 10 up to 100 nm for different test structures. Microwave irradiation was made in the magnetron chamber (radiation frequency of 2.45 GHz, radiating power of 100 W/cm\(^2\)) and lasted from several seconds up to several minutes. To compare the effects produced by microwave and thermal treatments, some TiB\(_2\)–GaAs samples were exposed to RTA. Halogen lamps were used for this.
The surface morphology of GaAs single crystals and TiB\(_2\)–GaAs contact systems was studied with an atomic force microscope NanoScope IIIa (Digital Instruments). The measurements were performed in the contact and tapping modes. The rated radii of probe points were 5–20 nm. The level of residual macroscopic strains in the structures studied, as well as the degree of structural perfection of the GaAs near-surface layers and structural parameters of the metal films that formed contacts, were determined from the XRD results. The x-ray and optical measuring instruments were made on the basis of diffractometers ДРОН-ЗМ. Cu\(_{K\alpha}\)-radiation was used in all our x-ray measurements.
The AFM patterns of surface areas of GaAs single-crystalline substrates that are shown in Figs. 1.1–1.4 illustrate the dynamics of surface morphology variation under microwave irradiation. To determine
Fig. 1.1. AFM images of the surface fragments of the initial single-crystalline GaAs (111) substrate doped with Te up to a concentration of $3 \times 10^{16}$ cm$^{-3}$. Scan size: a — 1×1 µm (X:Y:Z = 1:1:10); b — 30×30 µm (X:Y:Z = 1:1:20).
how the processes of structural ordering in the near-surface regions of single-crystalline substrates depend on their surface orientation and doping, we studied two batches of GaAs samples, namely: batch 1 – the Te-doped (up to $3 \times 10^{16}$ cm$^{-3}$) samples with surface orientation (111); batch 2 – the Sn-doped (up to $2 \times 10^{16}$ cm$^{-3}$) samples with surface orientation (100).
One can see from Figs. 1.1 and 1.3 that there are slight differences between the initial surfaces which can be observed in the imaging region 1×1 µm only (areas a). The surface of the samples from the batch 2 is
Fig. 1.2.(a,b,c) As in Fig. 1.1 but after microwave irradiation for 20 s. Scan size: a - 1×1 µm (X:Y:Z = 1:1:10); b - 10×10 µm (X:Y:Z = 1:1:20); c - 30×30 µm (X:Y:Z = 1:1:20).
Fig. 1.3. AFM images of the surface fragments of the initial single-crystalline GaAs (100) substrate doped with Sn up to a concentration of $2 \times 10^{16} \text{ cm}^{-3}$. Scan size: a – 1×1 μm (X:Y:Z = 1:1:10); b – 30×30 μm (X:Y:Z = 1:1:20).
covered with a thicker film of natural oxides that makes the surface nanorelief smoother; there are isolated oxide islands in some places (Fig. 1.3a). However, even in the imaging region 5×5 μm, these surfaces are practically the same; their relief is typical for the commercial wafers that were exposed to chemo-dynamic polishing (Fig. 1.1b, c and 1.3b).
After microwave irradiation during 20 s, the nanosized islands appear at the surface of GaAs single-crystalline wafers. Both density and character of these islands distribution over the surface are substantially different for the samples from the batches 1 and 2 (see Fig. 1.2a and 1.4a). Taking into account that microwave irradiation is performed in the magnetron chamber at standard conditions (in the air), one can conclude that these islands are most likely the products of reaction between the free gallium and arsenic atoms and atmospheric oxygen. These free atoms appear at the surface because microwave irradiation enhances diffusion of the atomic components of the substrate. Taking into account the data given in [17], one can suppose that the $\beta$-Ga$_2$O$_3$ and As$_2$O$_3$ phases are formed at the surface.
The oxide phases are formed more intensely at the surface of substrates from the batch 1 (Fig. 1.2a). This fact should be related to the surface orientation and slight distinctions in the doping character.
for single-crystalline substrates belonging to different batches. At the surface of these substrates one can observe the oxide islands whose thickness is about 5 nm. The surface (111) of GaAs single crystal is polar (i.e., it involves the atoms of one type only – either Ga or As). This fact imposes certain extra conditions on the character of diffusion and oxidation. In addition, the direction <110> is more favorable for diffusion of interstitial atoms. On the single crystal surface one can clearly see the oxide island chains that are ordered along this direction (see the 10×10 and 30×30 μm surface areas - Fig. 1.2b, e).
At the surfaces of single-crystalline GaAs (100) substrates (batch 2) there are separate nanoislands only (with diameter of 5–20 nm and height up to 2 nm). They are distributed uniformly over the surface (Fig. 1.4a). No ordered formations are observed in the imaging region of 30×30 μm. Occasional islands of big size (diameter up to 500 nm and height up to 60 nm) appear.
To obtain confirmation of the assumption concerning the island nature, we studied the concentration depth profiles of the substrate components both before and after microwave irradiation. The initial (before irradiation) substrates demonstrated a thin (several nanometers) near-surface layer that was enriched with oxygen. The interrelation between the Ga and As contents practically does not change up to a depth of 500 nm (Fig. 1.5a). After microwave irradiation for 20 s, the concentration depth profiles demonstrate a considerable near-surface region (enriched with oxygen) where essential changes of arsenic and gallium concentrations occurred (Fig. 1.5b). The depth at which the composition stoichiometry changes is about 250 nm. Along with redistribution of the amounts of the main single crystal components, the dopant concentration in the near-surface layer increased.
Our previous works [8, 14, 15] demonstrated the effect of microwave irradiation on the structural parameters of single-crystalline GaAs and device structures made on its basis. It was shown that almost complete relaxation of stresses in these structures can be obtained in the optimal modes of microwave treatment. In this case transformation occurs at the level of point defects.
Fig. 1.5. SIMS depth profiles of the GaAs single crystal components before (a) and after (b) microwave irradiation. The crater depth (i.e., thickness of the layer studied) is 500 nm.
Sometimes, when the regions with big gradients of stresses are present, the dislocation structure may change (Fig. 1.6). In this case, according to the results of x-ray topographic studies (that are based on the effect of irregular transmission of x-rays), the dislocation density distribution in the $n-n^+$.GaAs structure is of weakly pronounced W-shaped type that is not changed by microwave treatments in the
above modes. Single dislocations appear and propagate from the substrate boundary into the bulk via the slip planes. The contrast from microinclusions disappears – the inclusions decompose. The changes in the dislocation structure of such samples are accompanied with intense redistribution of structural defects over the sample, which correlate (for device structures with the diode, as well as transistor, layouts) with increase of yield of devices having identical parameters. The experimental data obtained correlate with variation of the radius of curvature in the homo- and heterosystems after microwave irradiation.
The abovementioned results of AFM measurements dealing with surface reconstruction due to microwave irradiation are confirmed also by the results of independent experiments made by other authors. For instance, the amount of free Ga and As atoms at the surface changes considerably due to microwave irradiation (75 GHz, 15 mW, up to 300 s) [18]. The photometric measurements show (see Fig. 1.7) that, even at the first stages of microwave treatment, the mass of free gallium and arsenic decreases by 75% relative to its initial value. As the duration of microwave treatment grows, the mass of free Ga and As atoms at the surface may become half its initial value.
Thus, at first stages, microwave treatment induces formation of bonds between Ga and As atoms, while further (up to 5 min.) treatment leads to progressive damage of the surface and appearance of free atoms of semiconductor components [18].
Fig. 1.6. X-ray topogram of GaAs wafer: a – initial, b – after microwave treatment.
Fig. 1.7. The amount of free Ga and As on the surface as function of the duration of microwave treatment [18].
The free Ga and As atoms may appear at the surface due to the following reasons:
- chemical reactions, say, oxidation [19, 20]. It should be noted that, when oxide film is growing, an electric charge builds up on the GaAs surface. This charge favors penetration of oxygen ions into the oxide film and enhances diffusion of charged point defects from the bulk to the surface [21];
- special surface treatments or epitaxy with excess of gallium or arsenic using in the course of growth [22];
- thermal treatments at which interstitial Ga and As atoms can appear in the bulk and diffuse to the surface [23];
- complex processes of surface oxide layer decomposition or interaction with thin metal contact films [24];
- gradients of residual stresses. In the deformation fields, the interstitial atoms (vacancies) diffuse into the regions of tensile (compressive) stresses [25]. The forces acting on the interstitial atoms and vacancies are proportional to the deformation gradient. The processes of stress relaxation via redistribution of point defects proceed at presence of constant deformation or at heating. The diffuse motion of point
defects can begin and stop not only at free crystal surface but at grain boundaries, stacking faults and dislocations as well, transforming considerably the impurity atmospheres of these structural defects.
Atoms diffuse along the grain boundaries or dislocations and at the surface quicker than in the bulk. Atomic diffusion along dislocations (the so-called tubular diffusion) manifests itself at low temperatures only (when the contribution from diffusion in the bulk into the total diffusion flow is insignificant). This diffusion, realized by the pairs “vacancy–interstitial atom”, occurs mainly along the line of vacancies in the extra plane. At excess concentration of vacancies, the drift diffusion flows of vacancies on dislocations take place in the bulk. In the dislocation core, the vacancies adhere to the edge of the extra plane, thus leading to dislocation creep. This seems to be one of the reasons for intense dislocation motion along the slip planes at microwave irradiation (Fig. 1.6).
1.1.2. Structural ordering in the TiB$_2$–GaAs barrier contacts
The barrier structures on the basis of TiB$_2$–GaAs were prepared using magnetron sputtering. They were exposed to microwave irradiation in the same modes as the substrate materials.
An analysis of XRD patterns (obtained at grazing incidence) of the TiB$_2$–GaAs structures showed that all the films studied contained two phases, namely, quasi-amorphous and polycrystalline titanium diboride of hexagonal crystal structure. The preferred crystallite orientation is $<0001>$. The degree of block ordering in this direction depends on the film thickness. The films of smaller thickness demonstrate clearly pronounced texture in the above direction. Formation of quasi-amorphous phase in the polycrystalline films is due to rather low substrate temperature at magnetron sputtering.
The initial surface of metal TiB$_2$ film is a granular aggregation whose grains, practically are of the same size (about 30 nm), have well-defined boundaries (Figs. 1.8a, b). In some areas, there are circular hollows (up to 4 nm) whose diameter does not exceed 1 µm. Some regions of the TiB$_2$ film may have subnanometer films of foreign phases that somewhat mask small relief details (Fig. 1.9a). In addition, there are protrusions of the surface, with base diameter up to 500 nm and height up to 40 nm.
No considerable changes in surface morphology were found after microwave treatment during 1 s. A weak trend to removal of thin adsorbed layer of foreign phases from the surface can be observed (Fig. 1.10). As treatment duration is increased up to 10 and 60 s, the number of nanoislands at the film surface grows. Their sizes and density are proportional to the duration of microwave treatment (Figs. 1.11 and 1.12). One can clearly see from Fig. 1.12a a trend to organization...
Fig. 1.9. As in Fig. 1.8 but with films of foreign phases.
of these nanoislands in chains along the crystallographic direction $<110>$ of the GaAs substrate. There are strong grounds to believe that the nanoislands on the surface of 50 nm TiB$_2$ film brought on by microwave irradiation are the oxide phases of substrate components, just identical to those that have been considered by us for single-crystalline substrates.
Even though considerable portion of microwave power is reflected from the metal film and high-conductance region of heteroboundary, still sufficient amount of it is scattered by the single-crystalline substrate in the form of heat. It seems that this heat is the reason for certain heating of the metal film in the alternating microwave magnetic field due to induced eddy currents. Structural defects of various types are collected at the metal–semiconductor interface and grain boundaries in the metal film, and chemical segregation occurs. This serves to increasing atom mobility as compared to the semiconductor substrate bulk. One should expect activation of the diffusion of free atoms of semiconductor near the heteroboundary and over the boundaries of titanium diboride grains whose sizes and structure are suitable for intense grain-boundary diffusion.
Since heating is one of the mechanisms of the effect of microwave field on semiconductor structures, we carried out model experiments on the effect of RTA (for 60 s) on the TiB$_2$–GaAs device structures. Owing to high resolving power of the AFM technique, we managed
to observe indirectly variation of the point defect density distribution over the cross-section of the TiB$_2$–GaAs contact system when studying the actual surface of the (110) chips kept in the air atmosphere for 300 h (Fig. 1.13a). It is known that a layer of natural gallium and arsenic oxides is formed on as-cleaved surface of gallium arsenide in the air. Therefore the density of oxide islands may indicate indirectly the distribution of concentration of free Ga and As atoms.
The distribution and density of oxide islands at chips before annealing shows that the unbounded atoms of substrate components are distributed uniformly with the structure thickness, except for the heteroboundary region where the island density and sizes are somewhat smaller (Fig. 1.13a).
The distribution of nanoislands over the chip changes considerably after RTA at 800 °C (see Fig. 1.13b): the area (about 2 µm thick) near the heteroboundary is completely free of the oxide islands. This indicates intense RTA-induced diffusion processes of point defects migration in the deformation fields. These processes are so intense that the interstitial Ga and As atoms are capable of diffusing to the surface of TiB$_2$ metal film (Fig. 1.14). One can see that the oxide nanoislands line up along the crystallographic direction <110> of the GaAs substrate. It should be noted,
Fig. 1.13. AFM images of the cross section of 10 nm TiB$_2$ structures sputtered onto the GaAs substrate: a – initial; b – after RTA at 800 °C.
Fig. 1.14. AFM images of the surface fragments of TiB$_2$ film on GaAs after RTA at 400 °C. Scan sizes are 1 (a), 5 (b) and 50 µm (c).
however, that such situation is not typical for the whole surface. The density and character of such nanoislands distribution are determined by the local deformation fields in the near-surface layers of GaAs substrate.
1.2. DEFORMATION EFFECTS IN THE TiB$_2$–GaAs (InP, GaP) STRUCTURES INDUCED BY EXTERNAL ACTIONS (RAPID THERMAL ANNEALING, MICROWAVE AND $^{60}$Co $\gamma$-IRRADIATION)
Our investigations of structural-impurity ordering in GaAs induced by microwave treatments demonstrated that, along with changes of GaAs and TiB$_2$ surface morphology, there are structural changes in the TiB$_2$–GaAs (InP, GaP) systems after RTA, microwave and $^{60}$Co $\gamma$-irradiation. In this case redistribution of the deformation fields and deformation levels occur in the heterosystems studied [30–36].
Redistribution of the deformation fields leads to surface profile variation in the TiB$_2$ (50 nm)/GaAs structures (Fig. 1.15). Curve 1 shows that the profile of the initial surface is nonuniform and has many bends. Microwave irradiation for 10 s results in appearance of cylindrical bending (curve 2). This fact indicates establishment of a uniform deformation field in the structure studied due to transformation of structural defects and more uniform distribution of them in the substrate and at the heteroboundary. Microwave treatment for longer period (600 s) results in decrease of the radius of surface curvature (curve 3). At the same time, the profile fluctuations are observed which evidence violation of uniformity of the residual deformation fields.
In this case the AFM studies of the TiB$_2$–GaAs film surface demonstrated essential variations of surface topography after microwave irradiation for 600 s only. Irradiation of the granular surface (that was characteristic of the initial samples (Fig. 1.16a)) results in appearance of a thin (maximal thickness of several nanometers) uniform film on it (Fig. 1.16b). This may be due to oxidation of the substrate components (and, maybe, the metal film) or to other physico-chemical reactions at the metal contact surface. The higher stability of the TiB$_2$ film is due to the features of its crystal structure. According to the data of XRD analysis, the most part of the film is quasi-amorphous.
RTA promotes more intense processes of structural ordering than microwave irradiation. This fact seems to be related to substantial heating of metal contact at RTA resulting in appearance of considerable thermal gradients and intense interdiffusion.
Although the intensity of ordering processes is higher than in the case of microwave treatment, the trend to transformation of deformation fields retains. Shown in Fig. 1.17 is variation of the degree of GaAs substrate deformation with RTA temperature in the TiB$_2$–GaAs system. One can see that intense stress relaxation takes place at the first stage of thermal annealing (up to 400 °C); however, as the annealing temperature is increased up to 800 °C, structure degradation occurs.
Surface morphology also demonstrates considerable variations. Even at the first stages of thermal annealing, 3D islands are formed at the surface. They are not related to the recrystallization processes in the metal film (XRD studies indicate slight transformations of the quasi-amorphous phase only). As temperature grows, the island sizes increase (Fig. 1.18).
It should be noticed that after microwave irradiation, as well as RTA, oriented chains of other phase may be released in some areas.
Fig. 1.16. AFM images of TiB$_2$ film surface: a – initial, b – after microwave irradiation for 600 s. X:Y:Z = 1:1:30.
of the metal film (Fig. 1.19). Most likely this is due to outcropping of substrate atoms in the local regions with high level of stresses. Chemical reactions with atmospheric oxygen can lead to formation of islands of gallium and arsenic oxides.
Table I presents the typical deformation levels in the TiB$_2$–GaAs (InP, GaP) heterosystems before and after RTA (for 60 s), microwave (frequency $f = 2.5$ GHz, radiating power $P = 1.5$ W/cm$^2$) and $^{60}$Co $\gamma$-irradiation.
One can see from the above data that, after short-term thermal and microwave treatments, as well as $^{60}$Co $\gamma$-irradiation, the deformation level decreases in all the heterosystems studied. In this case, as was shown by us in [37], decrease of the deformation level after RTA is due to relaxation of intrinsic stresses (ISs) through generation of dislocations in the semiconductor bulk. At $^{60}$Co $\gamma$-irradiation, relaxation of deformations in the heterosystems occurs due to excitation of the electron subsystem. And the effect of microwave irradiation on the deformation effects in the above heterosystems occurs through several mechanisms [13], in particular, thermal, electrostatic, and electrodynamic ones. Determination of the role of each of the mechanisms makes a separate complicated problem. At the present stage of investigations, we can only establish the fact that the dislocation level in the heterosystems decreases under microwave irradiation, and the predominant mechanism of this effect is non-thermal.
Thus, microwave irradiation of the substrate GaAs single crystals and device structures made on this basis gives rise to intense processes of structural ordering through redistribution of point defects. A major portion of the free atoms of semiconductor components diffuse toward the surface along certain crystallographic directions in the fields of residual stresses, as well as under action of the temperature and electric fields induced by the microwave field. In the case of microwave treatment in the air atmosphere, the islands of natural oxides are formed.
on the surface of single crystals and contact structures. The density and sizes of these islands are determined by the initial structural parameters of the irradiated material and the modes of microwave irradiation. The effects found are to be taken into account when choosing the microwave treatments intended for improvement of the structural and electrophysical parameters of semiconductor structures. These treatments can be used applied also as technological procedures used to obtain self-organizing nanostructures.
Fig. 1.18. (a) AFM image of TiB$_2$ film surface after RTA at 600 °C (a) and 800 °C (b). X:Y:Z = 1:1:10.
Fig. 1.19. AFM image of the TiB$_2$ film surface fragment after microwave irradiation for 60 s (a) and RTA at 500 °C (b). X:Y:Z = 1:1:10.
Table 1.1. Deformation levels ($\times 10^5$) in the TiB$_2$–GaAs (I), TiB$_2$–InP (II) and TiB$_2$–GaP (III) heterosystems before and after RTA, microwave and $^{60}$Co $\gamma$-irradiation.
| Heterosystem | RTA | Microwave irradiation | $^{60}$Co $\gamma$-irradiation |
|--------------|--------------|-----------------------|--------------------------------|
| | initial | 400°C | 600°C | 800°C | for 1 s | for 2 s | initial | $10^3$ Gy | $10^4$ Gy | $10^5$ Gy |
| I | 4 | 3.8 | 0.6 | 0.8 | 2 | 0.7 | 3.5 | 3.5 | 1 | 0.5 |
| II | 2 | 1.5 | 0.7 | 0.2 | 1 | 0.7 | 70 | 70 | 60 | 60 |
| III | 80 | 70 | 50 | | 80 | 70 | 70 | 70 | 60 | 60 |
1.3. STRUCTURAL RELAXATION IN THE $n$-GaAs AND $n$-SiC 6H INDUCED BY MICROWAVE IRRADIATION
Microwave treatment may lead to fluctuations of the dopant distribution, as well as to redistribution of the fields of residual stresses and generation of various defects [13]. In some cases, these physical effects may result in variation of the electrical and functional characteristics of semiconductor devices and integrated circuits (ICs).
The effect of microwave irradiation on variation of the electrical characteristics of semiconductor materials and device structures were reported in [1–19, 30–36, 38–46]. It was shown that short-term action of cm-wave radiation leads (at optimal treatment modes) to structural-impurity ordering in the near-contact layer of semiconductor. This results in increase of the diffusion length of the minority charge carriers and thus improves the parameters of the Schottky-barrier diode structures. In this case relaxation of ISs (enhanced by microwave treatment) was also observed [12, 30–36, 43, 45, 48, 49], as well as transformation of the PL spectra; the latter was investigated by Ermolovich et al. [12, 18, 48–51].
In [31, 52–54], to estimate the degree of the effect of similar microwave treatment on the structural parameters of GaAs and SiC single crystals, the samples with different doping levels and initial residual stress levels were chosen. The gallium arsenide single crystals were cut from the 300 $\mu$m thick wafers oriented in the (100) plane. The wafers were doped with tin. The electron concentration $n$ in the samples studied was $(1.5 \div 2.5) \times 10^{18}$ cm$^{-3}$ (sample GaAs–1) and $(3 \div 5) \times 10^{16}$ cm$^{-3}$ (sample GaAs–2). The $n$-SiC samples were obtained using the Lely technique. They belonged to the 6H polytype and were doped with nitrogen. The samples were 490 $\mu$m thick wafers with $n = (3 \div 6) \times 10^{18}$ cm$^{-3}$ (sample SiC–1) and 460 $\mu$m thick wafers with $n = (1 \div 3) \times 10^{18}$ cm$^{-3}$ (sample SiC–2).
The microwave treatment (frequency of 2.45 GHz, radiating power of 1.5 W/cm$^2$, duration of 20 s) was performed at room temperature. We measured (both before and after such treatment) (i) the radius of curvature $R$ of the near-surface crystallographic planes of the samples with XRD technique (from the variation of the angular position of diffraction peak at sample translation) [55] and (ii) the surface curvature with a profilometer DekTak 3030 Veeco Instruments. For some GaAs wafers, the character of the structural defects distribution over the surface was studied with the Borrman x-ray projection topography.
The results of our studies of x-ray topography showed that the GaAs single crystal had a nonuniform cellular structure formed by dislocation walls (see Fig. 1.20a). The aggregations of dislocations going from the wafer center to its periphery along the $<100>$ direction were observed against the background of the cellular structure. The dislocation density varied along the GaAs wafer diameter from $2 \times 10^4$ up to $2 \times 10^5$ cm$^{-2}$. Such nonuniform distribution of dislocation density (Fig. 1.20b) indicates considerable level of elastic deformations in the GaAs samples.
The Si samples studied by us were characterized by low dislocation density (Fig. 1.21). Typical of them are individual growth dislocations radiating outward from the defect regions of the crystal.
As was noted earlier, the degree of a semiconductor single crystal susceptibility to microwave treatment is determined mostly by its initial state. This statement is supported by the results of x-ray studies of topography in the silicon carbide single crystals with low dislocation density and small residual stresses: practically no structural changes under microwave treatment were detected.
The situation in GaAs single crystals is quite different (see Fig. 1.22). At the optimal parameters of microwave action, the processes of defect-impurity ordering are promoted in a uniform single crystal. These processes are of oscillating type and last for a long (up to several weeks) time [13]. The most drastic structural changes occur during the first day after treatment. These changes do not affect the cellular structure of the crystals studied (see, e.g., a light “loop” at the center of the topogram). However, after microwave treatment the light and dark contrast areas in the topogram (which correspond to the local deformation fields around the structural nonuniformities) become less smeared. This fact indicates relaxation of the residual ISs
Fig. 1.20. a – x-ray topogram of a GaAs single crystal obtained with the Borman method (irregular x-ray transmission). (Cu$_{K\alpha}$-radiation, reflection 220, the diffraction vector is aligned with the x-axis.) b – transmitted x-ray intensity section clearly demonstrates W-like dislocation density distribution along the wafer diameter.
Fig. 1.21. a – x-ray topogram of a SiC single crystal (Mo$_{K\alpha}$ radiation, reflection 1120, the diffraction vector orientation is shown with an arrow). Inset: a crystal region with dislocations (b – its blowup).
in the crystal. At the same time, additional small (several hundreds of microns) defects appear in some crystals; areas. This fact confirms a possibility of buildup of small dislocations.
Susceptibility to microwave treatment in strongly nonuniform GaAs single crystals is much higher. In this case, the processes of dislocation generation and gliding play a leading part (Fig. 1.23). The dislocations generated in the crystal defect area can propagate over the whole crystal in the $<110>$ directions. Their motion is restricted by the initial dislocation structure of the crystal. The dislocations induced by microwave treatment slip over long distances in the areas with low density of growth dislocations.
Obviously, new fields of macroscopic deformations are formed by the above processes of structural transformation induced by microwave treatment. These fields were registered with the x-ray and mechanical
Fig. 1.22. X-ray topograms of a GaAs single crystal obtained with the Borrman method before (a) and after (b) microwave treatment (frequency of 2.45 GHz, radiating power of 1.5 W/cm$^2$, duration of 20 s). ($\text{Cu}_K\alpha$-radiation, reflection 220, the diffraction vector is aligned with the x-axis.)
curvimeters from the changes in bending of the near-surface crystallographic planes, as well as the surface profile itself.
The general result of the action of microwave fields on the samples studied was homogenization of the elastic stress fields (establishment of cylindrical or spherical distribution of stresses). It should be noted that the results of our profile measurements correlate with those of the x-ray studies given above. Structural-impurity ordering occurs, at which redistribution of elastic deformations may be accompanied with not only their decrease (as was observed in [13]) but also some increase and more uniform distribution. To illustrate, the sample GaAs–1, according to the results of XRD and profilometric studies, became more uniform and reversed the sign of curvature. And the sample GaAs–2 demonstrated small decrease of the radius of curvature only (see Table 1.2).
The SiC 6H samples also demonstrated changes in the fields of macroscopic deformations after microwave treatments (see Table 1.2). To illustrate, for the sample SiC–1 the radius of curvature (whose initial
Fig. 1.23. Dislocation slipbands in a GaAs single crystal after microwave treatment (frequency of 2.45 GHz, radiating power of 1.5 W/cm$^2$, duration of 20 s): regions with higher (a) and lower (b) defect concentration.
Table 1.2. Radius of curvature $R$ and deformation $\varepsilon$ in $n$-GaAs and $n$-SiC 6H single crystals measured before and after microwave treatment for 20 s.
| Sample | State of the sample | Mechanical curvimeter | X-ray curvimeter |
|--------|---------------------|-----------------------|------------------|
| | | $R$, m | $10^6 \varepsilon$ | $R$, m | $10^6 \varepsilon$ |
| GaAs-1 | initial irradiated | −34.15 14.59 | −4.39 10.31 | −53.81 22.92 | −2.79 6.54 |
| GaAs-2 | initial irradiated | 42.06 36.34 | 3.57 4.16 | 17.19 14.73 | 8.73 10.18 |
| SiC-1 | initial irradiated | | > 2000 171.9 | < 0.12 1.4 |
| SiC-2 | initial irradiated | | 3.8 5.5 | 61 42 |
value was big – over 2000 m) decreased down to 171.9. This indicates a rather low level of stresses and absence of considerable structural transformations in this sample. At the same time, for the sample SiC–2 the radius of curvature (whose initial value was small) increased by a factor of about 1.5 after microwave treatment.
It should be noted also that the structural-impurity transformation in the GaAs and SiC single crystals induced by microwave treatment correlates with the experimental data obtained (using the acousto-electric transient spectroscopy) from variations of the activation energy and capture cross-section of deep levels in the same GaAs and SiC samples [31, 52–54].
1.4. EFFECT OF MICROWAVE TREATMENT ON THE IMPURITY-DEFECT STATE OF CdS CRYSTALS
Despite much success achieved in micro- and optoelectronics on the basis of Si and GaAs active elements, the interest in wide-gap II–VI semiconductor compounds and optoelectronic devices made on their basis still persists [56–61]. As a result, the problem of investigation of interaction of electromagnetic radiation with CdS remains actual nowadays. Of wide-gap II–VI semiconductors, cadmium sulfide is the best known material. A major contribution in growth of this material and investigation of its properties was made by the researchers from the Institute of Semiconductors (at present Institute of Semiconductor Physics) of the Academy of Sciences of the Ukrainian SSR (AS UkrSSR). In this connection, one should note, first of all, the works made by Academician of AS UkrSSR Prof. V.E. Lashkaryov (the first Director of the Institute) [62, 63] and outstanding expert in materials science Prof. I.B. Mizetskaya [64, 65].
The features of the effect of microwave radiation on the electrical and photoelectric properties of compensated nonuniform CdS single crystals and CdS radiation detectors were studied in [66, 67]. The source of microwave radiation was a pulsed magnetron (operating frequency of 50 GHz). The microwave field heated the CdS single crystals up to a temperature of 60 °C. For the sake of comparison, the authors of [66, 67] also investigated (along with the irradiated CdS samples) relaxation of photoconductivity in (i) the similar reference samples (not exposed to any treatment) and (ii) those exposed to the standard gradient heating up to 60 °C. It was found that microwave irradiation induces defect migration in nonuniform crystals more intensely than the standard thermal treatment and electrostatic field applied to the sample. The increase of time of transition from the state with residual conductivity to the state of equilibrium (that was observed after microwave treatment) was related by the authors of [66] to formation of local regions with different conductivities in irradiated CdS single crystals.
A negative photocapacitance effect was observed in CdS radiation detectors exposed to the above microwave treatment [67]. The authors of [67] related this effect to variation of charge state of the electrically-active centers due to microwave treatment.
More close examination of the effect of microwave action on CdS crystals was made by Ermolovich and Red’ko using the luminescence technique [68]. (Unfortunately, this was the last research paper by Prof. I.B. Ermolovich whose research activity dealt with investigation and determination of the nature of the impurity-defect composition of
wide-gap II–VI semiconductors, in particular, CdS crystals obtained using various technological procedures [69–74].) Following are the results of the work [68].
In [68] the effect of high-power microwave radiation on the impurity-defect composition of CdS (a typical wide-gap binary semiconductor) was investigated. The radiation source was a magnetron generator (operating frequency of 2.45 GHz, radiating power of 90 W/cm$^2$). The exposure was 5 and 15 s. The samples were irradiated in the magnetron work chamber in the air atmosphere.
The impurity-defect composition of the crystals studied was monitored from the spectra of radiation recombination (luminescence) over a wide (0.45–2.5 μm) spectral range at a temperature of 77 K. In addition, the dark resistance and photoresistance were measured at 77 K. The light source was an incandescent lamp (illumination of 100 lx); the filters C3C-21 and ЖС-17 were used. The above characteristics were measured for both initial crystals and those exposed to microwave irradiation (after several hours).
The mechanism of interaction of microwave radiation with semiconductor CdS crystals is still not understood and makes one of the problems to be studied. The samples for investigation were chosen from (i) the crystals synthesized from the gas phase (about 100 cm thick, with natural smooth surfaces, they had different dark resistance and photosensitivity values) and (ii) the crystals obtained from the gas phase using the vapor-phase free growth technology (bulky boules, of which the samples 0.5–5 mm thick were cut; the surfaces were exposed to chemo-mechanical treatment). The crystals of both types were not specially doped. Those crystals were chosen which differed to the biggest degree in the initial impurity-defect composition: with different dark resistances (high- and low-resistance ones), different bands in the PL spectra, etc. In all, over 20 samples were studied.
It was found, on the whole, that after microwave irradiation the intensity of luminescence increases, the luminescence bands become narrower and their intensities are redistributed. For some samples, new bands appear that were not observed in the initial state of those samples. Thick crystals demonstrate difference between the radiation recombination spectra measured on the irradiated and opposite sides. It should be noted that such crystals were predominantly low-resistance. So one can draw a conclusion concerning the role of skin layer in absorption of microwave radiation that leads to transformation of the defect states of crystal lattice.
Of many results obtained, the following should be mentioned:
- microwave irradiation for even 5 s results in essential changes in the PL spectra (this is observed more clearly in low-resistance and thick samples);
- in many cases (different luminescence bands) the effect of microwave irradiation is not a monotone function of time; for example, the band intensity decreases after microwave irradiation for 5 s but increases considerably at exposure of 15 s;
- the structure of the excitonic luminescence spectrum very often changes essentially, i.e., the intensities of the bands of free excitons and those bound at the acceptors or donors are redistributed; this indicates variation of the impurity-defect state of the crystal studied under short-term microwave irradiation;
- in all cases (for all the crystals studied) the intensities of the edge green (G, $\lambda_{\text{max}} = 0.514 \mu m$), orange (O, 0.56–0.64 μm), red (R, 0.72–0.78 μm), IR–1 (1.03–1.06 μm) and IR–2 (1.52–1.78 μm) impurity-defect PL bands are redistributed; this indicates directly variation of the defect state of the crystals studied under microwave irradiation;
- the most pronounced changes occur for the low-resistance and thick crystals: for some of them, the intensity of the IR–2 band increases by a factor of $10^2$ after microwave irradiation for 15 s;
- as a rule, the intensities of the G, O, and R bands decrease for all the crystals studied; in this case the dark resistance drops from $10^7$ down to $10^2 \Omega \cdot \text{cm}$. Since the centers of all the above bands are related to the corresponding complexes – donor-acceptor pairs ($[S_i^- + D^+]^0$, $[V_{Cd}^- + Cd_i^{+}]^0$) [69–71], $[V_{Cd}^- + V_S^{+}]^0$ and $[Cu_{Cd}^{+} + V_S^{+}]^0$ [69, 72–74], one can state that microwave irradiation breaks these complexes, and the appeared donors serve to increase the dark conductivity of the crystals;
- in most cases, the R and IR–1 bands vary in opposite way: when intensity of one band increases, that of another band decreases, and
vice versa. This fact also confirms decay of the complex to which the R band center is related and formation of a separate IR-1 band whose center is related to the $V_{\text{Cd}}$ ($\text{Cu}_{\text{Cd}}$) complexes [69, 73]. It should be noted that sometimes the intensities of the R, IR–1 and IR-2 bands increase concurrently;
- as to the dark conductivity, some crystals demonstrated its increase, while in other it decreased. We did not manage to determine any general rule for its variation.
The observed changes in the impurity-defect state of CdS crystals of both types are irreversible and persist for 5 years.
Thus, a comparison between the results obtained and previous data concerning the nature of the centers of all PL bands observed in CdS made it possible to elucidate the role of free electrons in the effect of microwave irradiation on the transformation of complex defects (R- and O-centers), as well as increase of concentration of the single vacancy-type defects.
Chapter 2.
EFFECT OF $\gamma$-RADIATION AND MICROWAVE RADIATION ON THE ELECTRICAL CHARACTERISTICS OF RESONANT TUNNELING AND TUNNEL DIODES MADE ON THE BASIS OF GaAlAs–GaAs HETEROJUNCTIONS AND GaAs
In recent years the resonant tunneling structures (RTSs) have demonstrated their advantages when being used in various systems for recording and storage of information (SRAM - static random access memory), digital and analog converters, and low-power microwave oscillators. The specific character of RTS enables one to design super-high-speed facilities (up to hundreds of GHz) with extremely low energy consumption.
It should be noted that the electronic (in particular, semiconductor) industry is the principal constituent of the modern economy. The electronic production makes the foundation for development of such sectors as aerospace and automobile industry, telecommunication, consumer electronics, etc. [1–6]. The microelectronic production has made a major contribution to national economic development and improvement of material welfare in many countries. So the necessity of supporting further advance of microelectronics is obvious.
Nowadays there is a trend to provide switch over from micro- to nanoelectronics, because the conventional technologies can no longer meet the growing demands of industry. And the role of RTS as the elemental base for novel generation of the nanoelectronic devices and facilities is unquestionable. The amount of financing of the programs on RTS by the European Commission may serve as evidence of the above statement. At
a period of 1994–1998 the European commission appropriated almost €100 million for researches in nanotechnology. The following specialized programs involving researches of RTS were financed in 1997–1998: Esprit (information technologies) — €6 million; Brite (materials) — €4 million; SMT (surface mounted technology) — €2 million; Biomed (medical applications) — €2 million; Biotech (biological and genetic applications) — €4 million (see, e.g., “Technology Roadmap for Nanoelectronics”, ed. by R. Compaño, EC, Luxembourg, 2001).
Great interest in the above problems has been expressed at the same period (1996–1998) by the United States. This interest was supported by vigorous activity of the special US Government Commission and World Technology Evaluation Center [7]. However, long before the nanotechnology boom of the late nineties, a considerable contribution to the development of nanotechnologies has been made by the Soviet researchers A.V Rzhanov, Zh.I. Alferov, S.I. Stenin et al. [8–10]. Further evolution of these works in Russia resulted in development and practical realization of a number of National Programs on nanophysics and nanoelectronics which led to progress in the submicron semiconductor electronics (in particular, due to application of RTS).
It should be noted that progress in semiconductor nanotechnologies and nanophysics of semiconductors owes in many respects to the earlier investigations of real and atomically clean surfaces and contact phenomena in spatially-nonuniform metal (dielectric)–semiconductor systems that were performed in the seventies by V.B. Aleskovsky, V.F. Kiselev, S.F. Timashev, K.K. Svitashev, O.V. Snitko, B.A. Nesterenko, V.I. Strikha et al. in Leningrad, Moscow, Novosibirsk and Kiev (USSR) [11-16].
RTS have a number of advantages over the traditional microwave devices and facilities, in particular, (i) high operation speed due to very small characteristic times of tunneling processes, (ii) presence of a negative differential conductivity (NDC) which makes it possible to use RTS in analog circuits as filters and oscillators, (iii) presence of at least two working points with positive differential conductivity that are separated by the current peak on the $I-V$ curve (this fact makes RTS an ideal element of ICs intended for two-valued (and even many-valued) logic [9, 17-29]. There are two well-studied solutions for realization of charge carrier tunneling with the above-mentioned properties, namely, (i) tunnel diodes (TD) - interband tunneling in a $p-i-n$ junction, and (ii) resonant tunneling diodes (RTD) – intraband tunneling in multilayer heterostructures with thin layers of a wide-gap semiconductor that are separated with layers of a narrow-gap semiconductor.
The concept of transistors with lateral tunneling has been developed too. However, a vertical architecture is usually applied in RTS. This enables one to reliably monitor layer growth with molecular-beam epitaxy (MBE) or metal-organic chemical vapor deposition (MOCVD) and form lateral layout with lithography. In this case the structure size along the tunneling direction may be about several monolayers, while the lateral sizes are determined by the capabilities of the lithography technique used.
TDs are diodes with heavily doped contact layers. The NDC mode in such diodes was observed for the first time by Esaki in 1958. Interband tunneling occurs at coincidence of the energy bands filled with electrons (holes) in the conduction (valence) band in the extremely doped contacts. The tunnel barrier thickness (and hence the current density) are determined by the undoped layer thickness, impurity concentration in the contacts, bandgap values in the semiconductors used, and applied voltage. When the bias is close to zero, then $I-V$ curve is of ohmic character. As the forward bias increases, a mode comes at which the above energy bands fall into the bandgap of the opposite contact. This leads to current decrease with bias voltage, i.e., to the NDC mode.
RTDs also are a facility whose concept is based on intrinsic multistability and (extremely small) characteristic times of tunneling. This makes it possible to use RTDs in very compact circuits of the GHz range. The NDC mode in RTD is realized after the electrons injected from emitter finished their resonance passing via a quasi-stationary state in a quantum well. At appropriate choice of structure parameters, one can obtain several NDC portions of $I-V$ curve. This opens good
Table 2.1. Comparison of tunneling devices parameters.
| Parameter | High-speed RTD logic | Low-power RTD memory | Scaled RTDs |
|----------------------------------|----------------------|----------------------|-------------|
| | Demo/Forecast | Demo/Forecast | Demo |
| Peak-to-valley current ratio | 4/3 | 2/3 | 3 |
| Peak current density (kA/cm$^2$) | 40/10 | 0.0002/0.0001 | 10 |
| Minimum feature size ($\mu$m) | 2/0.2 | 0.5/0.2 | 0.05 |
| Peak voltage (V) | 0.35/0.16 | 0.2/0.2 | 0.2 |
| Maximum clocking frequency (GHz)| 12.5/6.25 | 592/56.8 | 6.25 |
| RTD time constant (ns) | 0.02/0.04 | 422/4.4 | 0.04 |
prospects for RTD application in the systems with many-valued logic. Now the manufacturing technology for RTDs made on the basis of III–V compounds is well developed and makes it possible to ensure rather wide realization of the potentialities of these quantum devices.
The RTD structure depends in many respects on what are the diode functions in an IC. For instance, if RTD is used in the high-speed logic units, one has to ensure the peak current level over 10 kA/cm$^2$ at a locking frequency of about 10 MHz. But if RTD is used in the low-power storage systems, then it is necessary to ensure the peak current level below 0.2 A/cm$^2$ and a locking frequency of about 0.5–1 MHz.
The progress in RTS application, as well as the problems to be solved, are illustrated by the data given in Table 2.1 (see “Technology Roadmap for Nanoelectronics”, ed. by R.R. Compaño, EC, Luxembourg, 2001). Here the main parameters of RTDs (made on the basis of III–V compounds) are given, both achieved at present and predicted for the nearest future.
The tasks in TD application that exist at the moment refer to solution of the problems dealing with optimization of the TD parameters. The aim is to obtain the best characteristics, namely, (i) high (> 10 kA/cm$^2$) current densities, (ii) high ($I_p/I_v > 3$) peak-to-valley current ratios, and (iii) improvement of the capacitive characteristics. The solution of these problems, as well as investigation of the degradation processes and the effect of external factors (in particular, radiation action) on the operating parameters of the above devices, make one of the stages of the studies considered in this book.
2.1. RADIATION EFFECTS IN RESONANT TUNNELING DIODES EXPOSED TO $^{60}$Co $\gamma$-RADIATION AND MICROWAVE RADIATION
In recent years intense investigations of the effect of ionizing radiation on the properties of various semiconductor materials (in particular, GaAs and AlGaAs that are the basic materials of the modern microelectronics) have been performed. Each of the effects resulting from different types of radiation action has its own peculiarities. However, most of the studies in this area use $\gamma$-irradiation. The reasons for such choice are as follows. First, in this case it is possible to form the radiation defect pattern which is rather complete and common for all the types of irradiation. Second, such technique demonstrates wide experimental possibilities, namely, performance of experiments in situ, wide temperature range, possibility to carry out the measurements immediately after irradiation, etc.
The radiation effects in semiconductors have been investigated for a long time, and a great body of date has been gathered. To illustrate, it has been determined surely with the DLTS (deep level transient spectroscopy) technique [30–32] that, when $n$-GaAs is bombarded at 300 K with 1 MeV electrons, the donor centers are produced whose energy levels are 0.08 (E$_1$), 0.19 (E$_2$), 0.45 (E$_3$), 0.76 (E$_4$) and 0.96 eV (E$_5$). Increase of irradiation dose results in appearance of deep traps whose energy lies 0.13 eV below the conduction band bottom. In this case the rate of charge carrier removal depends practically linearly on the total irradiation dose. The results obtained for AlGaAs are rather scarce. It was stated (practically by all the authors) that, along with
production of deep traps with activation energy of about 0.76 eV, the DX-centers were present.
Change of concentration of interfacial states in the GaAs–AlGaAs heterojunctions exposed to $\gamma$-irradiation is the dominant reason for variation of the parameters of 2D channel (charge carrier concentration and mobility). An analysis of the radiation effects in semiconductor devices is a rather complicated problem because one should take into account the layers of different semiconductor materials, interfaces metallizations, etc. One should note that variation of the device parameters depends not only on the device functional tasks but on its design and principle of operation as well. For instance, the dose rate value affects essentially generation of photocurrents. These photocurrents may lead to a shift of switching voltage in the logic devices, thus resulting in degradation of logic circuits. At the same time, the MOS designs and bipolar devices are rather insensitive to the dose rate but response strongly to the total dose of irradiation. As a result, the doses of about $10^5 - 10^6$ Gy are critical for the lateral transport devices. As to the vertical transport devices (e.g., RTD), there were practically no data on the effect of radiation on their efficiency. Nevertheless, one may assume that the effects related to the total dose are predominant.
Our investigations supported the above assumption and also demonstrated high radiation tolerance of RTDs [33, 34]. The samples were irradiated with Co$^{60} \gamma$-quanta at room temperature. The RTD $I-V$ curves taken at 77 K, both before and after $\gamma$-irradiation, are presented in Fig. 2.1. No noticeable changes of $I-V$ curves occurred at low (up to $10^6$ Gy) doses. (It should be noted that conversion of conductivity in bulky samples of gallium arsenide was observed at equivalent irradiation doses.) Variations of operating parameters in our RTDs were observed only when the irradiation doses exceeded $10^6$ Gy. Moreover, an improvement of such parameters as peak current and the peak-to-valley current ratio was observed at $\gamma$-irradiation doses up to $5 \times 10^6$ Gy (Fig. 2.2). Further increase of dose led to progressive degradation of the RTD parameters. However, our RTDs retained their serviceability even after irradiation with a dose of $2 \times 10^7$ Gy (Fig. 2.3).
Our investigations enabled us to determine the main factors of radiation action on RTDs. It was noted earlier that RTD is a sequence of thin layers of different semiconductor materials with different doping levels. The principal effect of the irradiation action is removal of the majority charge carriers. Therefore, taking into account that the measured removal rate is about $10^6$ cm$^{-1}$, one can conclude that heavily doped ($N_d = 10^{17}$ cm$^{-3}$) layers do not change considerably the electriFig. 2.3. Reverse branches of $I-V$ curve of a RTD structure at 77 K (dotted curve – after $\gamma$-irradiation up to a dose of $2 \times 10^7$ Gy.)
Fig. 2.4. Position of voltage peaks 1, 2 and 3 at 77 K: square (1), circle (2) and triangle (3) (filled marks – forward branch of $I-V$ curve).
Electrical parameters up to irradiation doses of $10^7$ Gy. In this case most of the irradiation effect is produced on the undoped (active) part of the structure. This leads to an increase of its resistance and change of the potential profile. As a result, the peak voltage shifts towards bigger values, and the resonance current decreases (Fig. 2.4).
One should note one more aspect related to action of radiation. We found that $\gamma$-irradiation leads to considerable decrease of Au–AuGe contact resistance. This effect is due to intense diffusion of Ge into GaAs and solution of Ga in the Au film. As a result of radiation-enhanced diffusion of the heteropair components, the concentration depth profiles in the contact regions change. This, in its turn, leads to redistribution of voltage (depending on the structure) which leads to variation of the $I-V$ curves. The above effect becomes noticeable at irradiation doses over $10^7$ Gy.
Thus our investigations proved that radiation tolerance of RTDs is better than that of the devices which use lateral transport. This result opens good prospects for RTD application in those devices which operate under rather high radiation.
Another aspect related to investigation of the effect of external actions is determination of the effect of microwave irradiation on the RTD operating parameters. The problem is of importance for the following reasons. First, RTD is considered as the elemental base of the microwave devices. Therefore one should know how electromagnetic irradiation (either internal or external) affects the main RTD characteristics. Second, microwave treatment is used as technological technique for purposeful variation of the parameters of an initial semiconductor material, as well as finished product. At present there exists practically no such information dealing with RTDs.
To study the effect of microwave treatment on the RTD operating parameters, high-quality GaAlAs/GaAs/GaAlAs double-barrier resonant tunneling diodes (DBRTDs) were used [35]. The structures were grown by molecular beam epitaxy (MBE) on the GaAs (100) substrates. The layer structure was as follows. The active part of the devices consisted of two 1.7 nm Al$_{0.3}$Ga$_{0.7}$As layers and a 5.6 nm GaAs layer in-between. In order to achieve flat-band conditions in the resonance, $p^+$-GaAs ($5 \times 10^{14}$ cm$^{-3}$) spacer layers were also incorporated into the structure on both sides. The emitter part was grown with the following layer sequence (beginning from the substrate): 50 nm $n^+$-GaAs layer ($3 \times 10^{18}$ cm$^{-3}$), 70 nm graded-doped GaAs layer (from $3 \times 10^{18}$ cm$^{-3}$ down to $10^{17}$ cm$^{-3}$), and 14 nm $p^+$-GaAs spacer layer. After having grown the active part of the structure, the growth was followed with a 1.5 nm
$p^+$-GaAs layer, then with a 50 nm graded-doped GaAs layer, and at last the growth was completed with a 50 nm $n^+$-GaAs layer. The doping levels of this collector part were the same as in the emitter part of the structure. Then 80 to 100 $\mu$m diameter mesas were prepared with evaporated GeAuNi contacts.
The microwave heat treatment was performed in a set-up shown in Fig. 2.5 (cf. [36, 37]). The sample to be irradiated is placed into a waveguide resonator with cross section of 45×90 mm$^2$. 3 kW power (approximately (40–80) W/cm$^2$ on the samples) at 2.45 GHz is provided with a continuous wave (CW) magnetron. The incident, reflected and transmitted signals were monitored with the help of −30 dB directional couplers. The transmitted microwave energy is dissipated in a water-cooled matched load connected to a calorimetric power meter. The exposure chamber and the waveguides were separated by Teflon windows. The microwave treatments were carried out for various periods (up to 20 min.). During the treatment the exposure chamber was flushed with a mixture of nitrogen and 5% hydrogen.
The DBRTD/$I-V$ curves were taken (before and after the microwave treatment) using the conventional DC technique and also with the transient pulse technique [38, 39]. This latter method is especially useful to overcome the difficulties posed by oscillations, hysteresis and jumps in the $I-V$ curves in the NDC region.
Shown in Fig. 2.6 are typical DBRTD $I-V$ curves measured at 77 K temperature before and after microwave treatment for 14 min. A resonant peak is observed for both bias polarities, with peak current densities of the order of $10^4$ A/cm$^2$ and peak-to-valley current ratio of about 9 at 77 K. One can see from Fig. 2.6 that, after microwave treatment, the device current in the range of the fundamental resonance peak and beyond it increases by about 15% (except for a small region of the valley current where it decreases slightly). The maximum output power estimated from the $I-V$ curves ($P_{\text{max}} = (3/16)\Delta I \Delta V$[39] where $\Delta V$ is voltage range of the negative conductivity and $\Delta I$ is the current swing between the peak and valley currents) also increases after microwave treatment. In the initial state, the calculated value of DBRTD $P_{\text{max}}$ was about 6 $\propto$W; after microwave treatment it increased by about 25%.
Figure 2.7 shows similar characteristics measured by the transient pulse technique at 84 K. It should be noted that the peak current increased by 10% after microwave treatment. In the range of NDC a shoulder can be seen on the $I-V$ curves whose strength decreased after
the observation that the strength of the shoulder in the NDC region also decreases. According to the literature [40], the appearance of a shoulder (and its strength) depends on the size and concentration of defects at the interfaces between the barrier and well layers.
The observation that 3 to 4 months after the microwave irradiation the DBRTD $I-V$ curves return close to their initial form indicates that internal stress fields might exist near the heteroboundaries, thus leading to the observed relaxation process.
In conclusion it may be said that we presented experimental observations concerning the effect of 2.45 GHz microwave heat treatment on DBTRD $I-V$ curves. A certain (about 10%) improvement in the relevant parameters of the diodes was observed. In this way a new technological method for possible improvement of the DBRTD characteristics was demonstrated. On the basis of the analysis of $I-V$ curves of the devices taken before and after the microwave treatment, a certain rearrangement of the defect structure near the heteroboundaries was suggested as the mechanism leading to improvements of the conditions for tunneling transport of the charge carriers in DBRTD.
2.2. ENHANCED RADIATION TOLERANCE OF TUNNEL DIODES WITH $\delta$-DOPING
The effect of penetrating radiation on TDs has been studied quite well. It reveals some common, as well as specific, features depending on semiconductor material. Basic changes in $I-V$ curves of GaAs TD under irradiation are related to the increase of excess current ($I_{ex}$) that flows through radiation defects levels arising in both sides of $p-n$ junction as well as inside it [41–44].
The dependence of $I_{ex}$ at certain voltage bias on total radiation dose can be divided into three regions. At low doses, a linear growth of $I_{ex}$ occurs due to increase of the radiation defect concentration. At moderate doses, the rate of $I_{ex}$ growth decreases due to reduction of tunneling probability. In some cases an additional peak appears in the valley region of $I-V$ curves at 77 K. This happens due to preferred introduction of defects with a certain energy level. The peak tunnel
current $I_p$ decreases concurrently under these radiation doses. At high total doses, a sharp increase of $I_{ex}$ is observed. It is stimulated by appearance of an additional conductivity. The $I_p$ drops abruptly at these doses. Further increase of radiation dose leads to deterioration of $p-n$ junction. The fluence at which this occurs (the so-called permissible dose) is approximately the same for all the diodes studied.
However, as the experimental data show, the radiation tolerance of GaAs TDs is higher than that of Ge or Si TDs. The permissible radiation dose is a function of current density which is determined by the ratio $I_p/C_0$ where $C_0$ is the TD capacitance. Thus, the higher the operating frequency of TD, the higher its permissible dose.
At first sight, the use of heavily doped $p$- and $n$-type semiconductors when TD is fabricated allows to enhance the TD radiation tolerance. However, a number of negative effects which make the TD operating parameters considerably worse appear in this case. First, the density of peak tunnel current decreases. Second, the NDC region becomes narrower. Basically it happens because the tails of the density of states appear in the gap of heavily doped semiconductors, as well as due to reduction of barrier height in heavily doped $p-n$ junctions.
In recent years, such technological technique as $\delta$-doping attracts considerable attention of researchers. A quasi-2D electron system is realized by introducing a very thin (from one to several monolayers) layer with high ($N_D \geq 10^{12} \text{ cm}^{-2}$) impurity concentration. On the one hand, high impurity concentration leads to high electron density in the system. In such a system several subbands can be populated. On the other hand, it is easy to manage the electron concentration in the layer if to make a gate electrode, for instance, a $p-n$ junction, not far from a $\delta$-layer. One can expect that this may lead to improvement of the TD characteristics.
Following are the results of our study of $I-V$ curves of a GaAs-based TD with double-coupled $\delta$-layers near the $n-p$ junction. A device (10 $\mu$m in diameter) was fabricated from a structure grown on a semi-insulating GaAs substrate. The layer structure is as follows: i) $p^+$-GaAs (1.5 $\mu$m); ii) $n^+$-GaAs (5 $\times$ m); iii) Si-doped $\delta$-layer; iv) $n^+$-GaAs (5 nm); v) Si-doped $\delta$-layer; vi) $n^+$-GaAs (300 nm). The dopant concentrations in the $p$- and $n$-layers and the $\delta$-layer were $10^{20} \text{ cm}^{-3}$ and $10^{13} \text{ cm}^{-2}$, respectively.
The structures studied were exposed to $^{60}\text{Co} \gamma$-irradiation at a temperature of 300 K. The total dose at which noticeable changes of the TD main parameters were not observed was $3 \times 10^7$ Gy. The typical $I-V$ curves for one of the diodes studied are shown in Fig. 2.8. An additional peak in the valley current region is clearly seen even at room temperature. This peak appeared due to tunneling of electrons localized in the lowest energy level of the $\delta$-layer into the valence band of the $p$-region under the appropriate bias voltage. As long as the distance between the $\delta$-layers is small, the discrete levels in each layer spread out forming subbands. The system becomes a single doped layer with impurity concentration $2N_D$. A schematic potential profile of the structure studied is shown in Fig. 2.9. A theoretical description of a single non-compensated $\delta$-layer with an additional gate electrode has been presented in [45]. By using the formalism developed in [45] for description of our structure, we found a good agreement between the calculated and experimental data.
Let us consider some unusual data related to radiation tolerance of the above structures. One can see from Fig. 2.8 that the $I-V$ curves...
us to draw the following conclusion: use of $\delta$-doping in fabrication of TDs makes it possible to raise considerably their radiation tolerance. In our opinion, the main reason for this effect is enhancement of the tunnel component contribution when a $\delta$-layer is inserted close to the $p-n$ junction. Opening of this active current channel decreases the probability of jumping via the levels of radiation defects which determines the excess current amplitude. It should be noted that TDs with a $\delta$-layer have certain advantages over the other types of tunneling devices. They result from a possibility to manage the electron concentration and conductivity in the layer, as well as from improvement of the device operating parameters (for instance, obtaining of several NDC regions in $I-V$ curves).
2.3. EFFECT OF MICROWAVE IRRADIATION ON $I-V$ CURVES OF GaAs TUNNEL DIODES WITH $\delta$-LAYERS
Considerable recent attention has been focused on the development and investigation of combined structures of microwave electronics on the basis of traditional semiconductor elements (diodes and transistors) with a RTD placed in their active area [9, 17-21, 47-52]. One of such elements is a GaAs TD with a $p-n$ junction and one or several $\delta$-layers built in the space-charge region (SCR). It should be noted that presence of electric fields built in SCR increases considerably the effect of external factors on the geometric and electrophysical parameters of such RTSs.
We investigated the TDs with two $\delta$-layers in the immediate vicinity of the SCR boundary [51, 52]. The structures were MBE-grown on a semi-insulating GaAs (100) substrate. The $p-n$ junction thickness was $l' \approx 10$ nm, the spacing between the $\delta$-layers was $d = 5$ nm. The concentration of silicon impurities in the $\delta$-layers was $N_0 \approx 10^{13}$ cm$^{-2}$, the charge carrier concentrations in the $p^+$- and $n^+$-GaAs layers were about $10^{20}$ and $10^{19}$ cm$^{-3}$, and, correspondingly, the Fermi energy $E_F$ in the $n^+$-GaAs layer was about 0.023 eV.
The $p-n$ junction diameter was 10 $\mu$m. The diodes were mounted in the packages of the microwave oscillating diodes. The microwave
power generated by the diodes at a frequency of 10 GHz was about 50 μW. The electric field in the $p-n$ junction was $E_0 = 2 \times 10^6$ V/cm. The quantum well formed by the $\delta$-layers determined a resonance level via which the resonant-tunneling current flowed.
The TDs with $\delta$-layers were exposed to microwave irradiation (frequency of 2.5 GHz, radiating power of (3÷30) W/cm$^2$) in a wave-guide of a magnetron, as well as to thermal annealing at a temperature of 300 °C. A pronounced anisotropy of the microwave field action was observed: the electromagnetic irradiation dose required for variation of the $I-V$ curves at the normal incidence of microwave wave on the sample was 2–3 orders less than that at the grazing incidence. The small irradiation doses (“low level” in Fig. 2.11) led to shifting of the resonant-tunneling peak in the $I-V$ curve towards higher voltages, as well as to some reduction of the TD excess current.
As the irradiation dose increases, the position of the resonant-tunneling peak becomes fixed, and the excess current $I_r$ increases according to the following expression:
$$I_r = i_1 \exp(a_1 V) + i_2 \exp(a_2 V). \quad (2.1)$$
Here $V$ is the applied voltage, $i_1$ and $i_2$ vary linearly with the microwave irradiation dose (starting from a certain threshold value), and the constants $a_1$ and $a_2$ are independent of the dose.
### 2.3.1. Total heating model
To estimate the temperature $T$ at which noticeable diffusion occurs, we used the following considerations. The impurity concentration in a layer $\Delta x$ located at a distance of $-x_0$ from $x = l$ has to be comparable (of the same order of magnitude) to the charge carrier concentration $n$ in the $n^+$-region. Since $\Delta x \cong E_F/eE_0$, then
$$n(\Delta x) \cong \frac{Q}{\Delta x} \left[ \text{erfc} \left( \frac{x - \frac{DeEt}{kT}}{2\sqrt{Dt}} \right) - \text{erfc} \left( \frac{x + \Delta x - \frac{DeEt}{kT}}{2\sqrt{Dt}} \right) \right]. \quad (2.2)$$
Here $Q$ is the total charge in the $\delta_1$-layer, $D = D_0 e^{-U/kT}$, and $E$ is the strength of microwave electromagnetic field. For $D_0$ and $U$ the known values for Si diffusion in GaAs are taken: $D_0 = 4 \times 10^{-4}$ cm$^2$/s and $U = 2.45$ eV [53]. The estimation showed that the temperature of the heated sample has to exceed 550 °C to ensure noticeable diffusion, but such was not the case in our experiment.
### 2.3.2. Local heating model
Let us consider the following model: a sample (in the form of an infinite plate of thickness $l$) is placed in the area of microwave field action. There is a conducting layer ($2D$) in the middle of the sample; the layer is parallel to the plate faces (Fig. 2.12). Let us assume that the microwave field power is absorbed in the above layer only, and the absorbed power is $W = kP$, where $P$ is the microwave power and $k$ is the absorption coefficient.
The spatial distribution of temperature is given by the heat equation
$$\frac{\partial T}{\partial t} = \alpha \frac{\partial^2 T}{\partial x^2} + \frac{kP}{\rho_A c} \delta \left( x - \frac{l}{2} \right), \quad (2.3)$$
$$0 \leq x \leq l$$
$$t \geq 0 \quad (2.4)$$
Fig. 2.12. The TD geometry used when calculating the local heating model.
(the power is switched on at the instant $t = 0$). Here $\alpha = \frac{\chi}{\rho c}$ is the thermal diffusivity, $\chi$ is the thermal conductivity, $\rho_\Lambda = \rho S$ is the linear density ($\rho$ and $S$ are the sample density and area, respectively), $c$ is the molar thermal capacity. For GaAs $\rho = 5.317 \text{ g/cm}^3$, $c = 5.48 \text{ cal/mole deg}$, $\chi = 0.37 \text{ cal/cm s deg}$ [54-57].
Let the initial and boundary conditions be
$$T|_{t=0} = 0$$ \hspace{1cm} (2.5)
(the initial temperature $T_0$ is to be added to the solution) and
$$\left( \frac{\partial T}{\partial x} - hT \right)|_{x=l} = 0$$
$$\left( \frac{\partial T}{\partial x} + hT \right)|_{x=0} = 0$$ \hspace{1cm} (2.6)
These conditions correspond to convective heat exchange with the medium of zero temperature (i.e., the same temperature $T_0$ as that of the plate). The parameter $h$ characterizes the intensity of heat exchange of the sample with the external medium: at $h = 0$, the plate walls are heat-insulated, at $h \to \infty$, a constant temperature is maintained at the plate walls.
The general solution of Eq. (2.3), with the conditions given by Eqs. (2.4)–(2.6), is
$$T(x,t) = \frac{P}{\rho_\Lambda ca} \sum_{n=1}^{\infty} \frac{1}{2} C_n^2 \sin \left( \frac{1}{2} \lambda_n l - v_n \right) \sin (\lambda_n x - v_n) \left( 1 - e^{-\alpha \lambda_n^2 t} \right)$$ \hspace{1cm} (2.7)
Here
$$C_n = \sqrt{2} \cdot \left[ l - \frac{2h}{\lambda_n^2 + h^2} \right]^{-1/2},$$ \hspace{1cm} (2.8)
$\lambda_n$ is determined from the following equation:
$$\tan \lambda_n l = \frac{2h \lambda_n}{h^2 - \lambda_n^2},$$ \hspace{1cm} (2.9)
and
$$v_n = \tan^{-1}(\lambda_n/h).$$ \hspace{1cm} (2.10)
Let us consider the limiting cases.
a) $h = 0$. In this case $T(x,t) = \frac{2P}{\rho_\Lambda cl} t$. This corresponds to a very quick linear heating.
b) $h \to \infty$. In this case the curve $T(1/2,t)$ flattens out as $t \to \infty$ approaching the value $T_{\text{max}} \simeq \frac{2Pl}{c\rho_\Lambda a \pi^2} \sum_{n=1}^{\infty} \left( \sin^2 \frac{n\pi}{2} / n^2 \right)$.
We believe that the above dependencies are due to electric stimulation (by the external electric field and that of SCR) of impurity thermal diffusion from the nearest to SCR $\delta$-layer. In this case the form of the potential well (where the local level responsible for the resonant-tunneling current is generated) changes: that wall of the well which is the nearest to the $p-n$ junction becomes flatter, and the level in the well (measured from the bottom of the well) becomes shallower. According to this, this level moves farther from the bottom of the conduction band in the $n^+$-layer, and the peak of the resonant-tunneling current somewhat shifts towards higher voltages.
At further microwave irradiation, the position of this peak does not vary, thus indicating that the form of the potential well remains the same. The reason for this may be that all the impurities have traveled from the first $\delta$-layer to SCR. Still further microwave irradiation leads to appearance of two impurity levels in SCR via which interband tunneling may occur. Their energies do not vary with the exposure time, while their concentration varies. In this case $a_1$ and $a_2$ (see Eq. (2.1)) are determined by the nature of the levels and configuration of the electric fields (i.e.,
Fig. 2.13. I–V curves of TD with $\delta$-layers taken before (0) and after (1-4, at interval of 5 min) RTA at $T = 300 \, ^\circ C$.
the structure geometry) only, while $i_1$ and $i_2$ are proportional to the concentration of the centers responsible for interband tunneling.
When analyzing the experimental results obtained at high-power microwave irradiation of the TDs with built-in $\delta$-layers (Fig. 2.11) and at RTA at a temperature $T = 300 \, ^\circ C$ (Fig. 2.13), one can assume that two degradation processes occur in TRD. At first the quantum-confined well becomes wider because the interface between the $\delta$-layer and SCR is smeared due to electric stimulation of mass transfer. Then the generation-recombination centers are accumulated, thus leading to increase of the excess diffusion current.
Thus, it is shown that RTDs on the basis of AlGaAs/GaAs heterojunctions and gallium arsenide TDs with a $\delta$-layer in SCR retain their serviceability after being irradiated with $^{60}$Co $\gamma$-quanta up to doses of $10^7$ and $3 \times 10^7$ Gy, respectively. Rather low $\gamma$-irradiation doses result in improvement of the electrical parameters of RTDs and TDs. A short-term microwave treatment of TDs and RTDs also leads to some improvement of their parameters. An analysis of the degradation effects under action of microwave radiation on TDs with a $\delta$-layer in SCR showed that impairment of the TD parameters may result from diffusion smearing of the $\delta$-layer stimulated by electromagnetic radiation.
Chapter 3.
EFFECT OF $^{60}$Co $\gamma$-RADIATION AND MICROWAVE RADIATION ON THE PROPERTIES OF SiO$_2$–GaAs (SiC) STRUCTURES
The advanced modern technologies make it possible to produce the materials and device structures with preset parameters (composition, thickness, residual impurity concentration, etc.). But in the course of their further application in the semiconductor device technology it is impossible to exclude some negative consequences (e.g., structural changes related to plastic deformation during high-temperature technological processes). So one should not only take into account the structural relaxation and phase transitions in semiconductor hetero-systems but search for novel ways of improvement of semiconductor device characteristics as well. With that end in view, we tried to apply dosed electromagnetic irradiation. Some examples of the effect of microwave and $\gamma$-irradiation on a number of semiconductor objects of technical importance are considered below.
3.1. RADIATION-INDUCED EFFECTS AT THE SiO$_2$–GaAs INTERFACE
The dielectric layers on the basis of SiO$_2$ are widely used for passivation, masking and isolation when producing GaAs-based microelectronic devices [1, 2]. The manufacturing technology and properties of SiO$_2$ have been much investigated [3–21]. However, intense formation and transformation of point and extended defects in the semiconductor near-surface layers occurs in the course of dielectric film deposition. This is due to low thermal stability of GaAs, as well as appearance of
considerable stresses at the boundaries between phases in the course of silicon oxide deposition onto GaAs. The above factors strongly restrict application of SiO$_2$ layers for solving the above problems and make impossible use of these layers as gate dielectric.
Thus the necessity of improvement of the technological processes which use SiO$_2$ films poses the problem of searching the ways of purposeful action on the properties of the SiO$_2$–GaAs interface that could remove (or at least decrease) the action of the above negative factors.
In our experiments, several techniques were applied to deposit the dielectric SiO$_2$ layers onto the GaAs:Te substrates with surface orientation (100). The substrate thickness was 300 µm; the tellurium concentration was $2 \times 10^{17}$ cm$^{-3}$. The data on the techniques of SiO$_2$ deposition are given in Table 3.1.
The samples were exposed to $^{60}$Co $\gamma$-irradiation in the $10^3$–$10^5$ Gy range. The dose rate was 3 Gy/s. The data on the chemical composition and structure of the grown SiO$_2$ layers were obtained with Auger spectroscopy.
An analysis of the structural disordering in the contacts of GaAs with SiO$_2$ was made using the results of Raman scattering of light and optical reflection. The Raman spectra were taken at a temperature $T = 300$ K with a plant assembled on the basis of spectrometer ДФС-52. The Raman scattering signals were registered in the photon-counting mode with a cooled photomultiplier tube ФЭУ-136. The Ar$^+$ laser line (wavelength $\lambda = 488$ nm) was used for excitation. The experiment was performed in the reflection geometry; the angle of incidence was close to the Brewster one. The spectral resolution at Raman scattering measurements was 1.5 cm$^{-1}$. The accuracy of determination of the Raman scattering band peaks (0.1 cm$^{-1}$) was ensured by concurrent recording of the gas discharge Ne spectral lines. The Raman spectra were measured without removal of the dielectric layer [22].
Two peaks (at 267 and 290.5 cm$^{-1}$) were observed in the Raman spectra. These peaks corresponded to scattering on the TO- and LO-phonons. It should be noted that the term “near-surface layer” means the layer where the Raman scattering signal is formed. Its thickness $d$ is determined by the GaAs absorption coefficient $\alpha$ ($d = 1/2\alpha$). To illustrate, $d = 80$ nm at $\lambda = 488$ nm.
It is known that the position and half-width ($\Gamma$) of the LO-phonon peak are determined by presence of deformation and defects of crystal lattice. Practically all types of crystal lattice defects that lead to additional damping of optical phonons result in broadening of the LO-phonon peak (increase of $\Gamma$). So primary attention will be concentrated on this parameter of the LO-phonon peak.
The plant for measurement of the optical reflection spectra enabled us to detect the areas of 5% local concentration nonuniformity; the charge carrier mobility was determined accurate to $\pm 200$ cm$^2$/V·s. The main informative parameters in this technique, as well as in electrorreflectance (ER), are the half-widths of the optical reflection peaks (which correlate with charge carrier mobility and peak heights) that depend on charge carrier concentration. The advantage of the optical reflection technique (as compared to ER) is the possibility to study the near-surface semiconductor layers and interfaces without sample
Table 3.1. The data on the techniques used for SiO$_2$ deposition onto GaAs and parameters of the SiO$_2$–GaAs structures.
| Sample # | SiO$_2$ deposition technique | SiO$_2$ layer thickness, µm |
|----------|------------------------------|-----------------------------|
| 1 | High-frequency plasma: | 0.25–0.3 |
| | tetraethoxysilane + Ar + O$_2$, $T = 250$ °C, $t = 60$ min. | |
| 2 | Monosilane pyrolysis, | 0.35–0.4 |
| | $T = 350$ °C, $t = 15$ min. | |
| 3 | Tetraethoxysilane decomposition, | 0.25–0.3 |
| | $T = 650$ °C, $t = 2.5$ h | |
| 4 | Tetraethoxysilane decomposition, | 0.35–0.4 |
| | $T = 650$ °C, $t = 3$ h | |
| 5 | High-frequency low-temperature plasma: tetramethoxysilane + (Ar + O$_2$), $T = 20$ °C, $t = 15$ min. | 0.36 |
Small-dose $^{60}$Co $\gamma$-irradiation of GaAs samples with SiO$_2$ layers results in narrowing of the phonon peaks not accompanied with their shifting and considerable change of their form. The features observed can be explained by radiation-induced gettering of defects followed with their annihilation at the interface [23]. When the irradiation dose is increased, the parameter $\Gamma$ begins to grow. This results from intensification of destructive action at high irradiation doses.
The above features of the effect of $\gamma$-irradiation on the structure of SiO$_2$–GaAs junctions got support when studying optical reflection from these objects. The increase of reflection peak height at low doses of irradiation indicates reduction of defect concentration in the GaAs near-surface region and increase of the crystal perfection degree in the near-surface layers. These effects are accompanied with a decrease of $\Gamma$ and growth of charge carrier mobility $\propto$ in the near-surface region (see Table 3.2). The data obtained are in a good agreement with the results of investigation of Raman scattering (variation of the half-widths of LO-phonon peaks).
Table 3.2. The dose dependencies of the parameters $\Gamma$ and $\alpha$ of the GaAs near-surface layer calculated from the optical reflection spectra.
| Sample # from Table 3.1 | The measured parameters | Irradiation dose, Gy |
|-------------------------|-------------------------|----------------------|
| | $\Gamma$, meV | 0 (initial) | $10^2$ | $10^3$ | $10^4$ | $10^5$ |
| | $\alpha$, cm$^2$/V·s | | | | | |
| 1 | $\Gamma$, meV | 25 | 22 | 20 | 21 | 23 |
| | $\alpha$, cm$^2$/V·s | 3600 | 3800 | 4000 | 3800 | 3700 |
| 3 | $\Gamma$, meV | 28 | 25 | 23 | 24 | 26 |
| | $\alpha$, cm$^2$/V·s | 3400 | 3600 | 3700 | 3600 | 3400 |
| | $\Gamma$, meV | 30 | 26 | 24 | 25 | 27 |
| | $\alpha$, cm$^2$/V·s | 3200 | 3400 | 3600 | 3600 | 3400 |
| 5 | $\Gamma$, meV | 32 | 25 | 20 | 23 | 25 |
| | $\alpha$, cm$^2$/V·s | 3100 | 3600 | 400 | 3700 | 3600 |
| | $\Gamma$, meV | 25 | 20 | 27 | 27 | 27 |
| | $\alpha$, cm$^2$/V·s | 3600 | 4000 | 3400 | 3400 | 3400 |
| | $\Gamma$, meV | 22 | 20 | 23 | 23 | 24 |
| | $\alpha$, cm$^2$/V·s | 3800 | 400 | 3700 | 3700 | 3600 |
Figure 3.1 presents the dose dependencies of the half-widths of LO-phonon peaks of Raman scattering. They were taken for the SiO$_2$–GaAs samples which were obtained using different techniques (see Table 3.1). After SiO$_2$ deposition using the technique 1, 3 or 4, the LO-phonon peak of GaAs becomes broader. This effect is most pronounced for the samples with dielectric obtained with tetraethoxysilane decomposition at $T = 650^\circ$C. Taking into account that practically all the crystal lattice defects that lead to additional damping of optical phonons cause broadening of the LO-phonon peak, one can assume that plasma anodization of GaAs in tetramethoxysilane and SiO$_2$ deposition using monosilane pyrolysis make it possible to obtain SiO$_2$–GaAs interface with minimal structural imperfections (see Table 3.1).
An analysis of the Auger spectra and concentration depth profiles of the $\text{SiO}_2$–$\text{GaAs}$ structure components measured before and after $\gamma$-irradiation (with doses of $10^3$ and $10^5$ Gy) showed that there was a transition region in the initial structures. This indicates interaction of the substrate with the deposited layer which affects the structure of both the oxide layer and semiconductor near-surface region.
$^{60}\text{Co} \ \gamma$-irradiation changes the distribution of components in the transition region. Concurrently the thickness of this region decreases at low irradiation doses, while increasing at high doses (Fig. 3.2.). Similar results were obtained in [23] with ellipsometry measurements of the junction layer parameters in the initial (before irradiation) and irradiated $\text{SiO}_2$–$\text{GaAs}$ structures that were similar to ours. The observed non-monotone variations of the junction layer thickness in the irradiated $\text{SiO}_2$–$\text{GaAs}$ structure may result from two counteractive factors, namely, increase of diffusion mass transfer at the interface enhanced with $\gamma$-irradiation (this factor favors spreading of the transition region [23–29]) and irradiation-induced clusterization of the building blocks of oxide layer into continuous spatial networks of $\text{SiO}_2$ tetrahedrons connected to each other [30].
Enhancement of crystallization under x-ray irradiation was observed earlier in silicate glasses of different compositions [31]. This factor is responsible for slight penetration of semiconductor components into oxide layer at low doses of $\gamma$-irradiation. The character of clusterization depends on presence of impurities in the oxide [32]. Penetration of Ga deep into oxide at high doses of $\gamma$-irradiation leads to deformation of the spatial network of the oxide phase, thus preventing its condensation. Bounding of the silicon–oxygen complexes is realized with the participation of these components. The main role in building of such layers belongs to the oxygen polyhedrons of cations rather than silicon–oxygen radicals. The above polyhedrons favor formation of microscopic nonuniformities of oxide layer structure in the region contacting with $\text{GaAs}$ and hence deterioration of electrophysical parameters of the dielectric–semiconductor interface.
**Fig. 3.2.** Component concentration depth profiles in the $\text{SiO}_2$–$\text{GaAs}$ structure (sample # 2, Table 3.1): a – initial sample; b (c) - after $^{60}\text{Co} \ \gamma$-irradiation up to a dose of $10^3$ ($10^5$) Gy.
Thus the results of investigations of $\text{SiO}_2$–$\text{GaAs}$ interface modification under low-dose $^{60}\text{Co} \gamma$-irradiation [22–29] can serve as the starting point when solving the problem of obtaining the dielectric–$\text{GaAs}$ interfaces with improved electrophysic characteristics.
3.2. EFFECTS INDUCED BY MICROWAVE IRRADIATION IN THE $\text{SiO}_2$–$\text{GaAs}$ STRUCTURE
The progress of the modern solid-state electronics is determined to a large extent by the possibilities to apply purposeful dosing non-contact actions on the electrophysic parameters of semiconductor materials and structures at the stage of their manufacturing and production on their bases of various discrete devices and ICs [33–42]. Obviously the techniques using interaction of microwave electromagnetic fields with semiconductor structures belong to such technological procedures. The higher are the density of defects (point, cluster, extended) and degree of structural-impurity disordering in the samples, the more sensitive to microwave irradiation are the samples. This effect occurs also in spatially-nonuniform dielectric–semiconductor structures.
We considered the effect of microwave treatment on the properties of $\text{GaAs}$ near-surface layer in the $\text{SiO}_2$–$\text{GaAs}$ structure. The samples were prepared using electron-beam evaporation of quartz in a chamber at a pressure of $6 \times 10^{-4}$ Pa [43]. The substrate was $n$-$\text{GaAs}$ (100) with free charge carrier concentration of $\sim (2 \div 5) \times 10^{16}$ cm$^{-3}$. The substrate thickness was 350 $\mu$m, that of $\text{SiO}_2$ layer was $(0.4 \div 0.5)$ $\mu$m. Before dielectric deposition, the $\text{GaAs}$ wafers were treated in sulfuric etchant and washed in deionized water and isopropyl alcohol.
The defect structure of the samples was studied with the PL at a temperature of 77 K in the spectral range $\Delta h\nu = (0.5 \div 2.04)$ eV, on the side of both the $\text{SiO}_2$ film and $\text{GaAs}$ substrate. The excitation source was a high-power incandescent lamp ПЖ-100. The energy range with photon energy $\geq 2.0$ eV (in that region the $\text{GaAs}$ absorption coefficient is $\sim 10^5$ cm$^{-1}$) was separated from the lamp radiation spectrum using the corresponding filters. Thus, the spectrum of defect states was studied in the near-surface layers whose thickness was $\sim 10^{-5}$ cm. A PbS photoresistor served as luminescence radiation detector.
**Fig. 3.3.** PL spectrum of the $\text{SiO}_2$–$\text{GaAs}$ structure (initial sample) on the side of the substrate (-○-) and $\text{SiO}_2$ film (-■-).
The samples were exposed to microwave irradiation in the work chamber of magnetron loaded with a quasi-stationary microwave resonator at a frequency of 2.45 GHz. The radiating power was 1.5 W/cm$^2$. The sequential times of irradiation of the same sample were 1; 1; 1; 5 and 5 min. (the total times of irradiation were 1, 2, 3, 8 and 13 min., respectively).
Two bands in the PL spectra of the structure studied are observed, no matter on what side ($\text{SiO}_2$ film or substrate) the PL spectra were measured. The band peaks are at 1.04 and 1.3 eV (the peak positions are indicated for the initial sample) (Fig. 3.3). So one can believe that the main features of the PL spectrum in the $\text{SiO}_2$–$\text{GaAs}$ structure come from luminescence at the $\text{GaAs}$ surface and $\text{SiO}_2$–$\text{GaAs}$ interface. The band 1.04 eV is usually related to radiative capture of a free electron in gallium arsenide by a separate acceptor center $\text{Cu}_{\text{Ga}}$ [35–43]. The band 1.3 eV also is related to presence of copper impurity in gallium arsenide: the emitting centers responsible for this band are the ($\text{Cu}_{\text{Ga}}$–D) complexes, where donor D is either intrinsic ($V_{\text{As}}$) or foreign [44–55]. The parameters of PL bands are presented in Tables 3.3 and 3.4.
The distinguishing feature of the PL spectra in the $\text{SiO}_2$–$\text{GaAs}$ structures (at total time of microwave treatment $\leq 8$ min.) is that the PL spectra obtained on the side of $\text{GaAs}$ substrate and $\text{SiO}_2$ film are essentially...
Table 3.3. The parameters of PL bands measured on the substrate side.
| Structure | Total time of microwave irradiation, min. | $h\nu_m$, eV | PL band intensity, rel. units | PL band half-width $\Gamma$, rel. units |
|-----------|------------------------------------------|--------------|------------------------------|----------------------------------------|
| | | 1 Cu$_{Ga-D}$ | 2 Cu$_{Ga}$ | 1 | 2 | 1 | 2 |
| SiO$_2$–GaAs | initial | 1.39 | 1.04 | 132 | 805 | 0.14 | 0.19 |
| | 1 | 1.29 | 1.055 | 21 | 187 | 0.16 | 0.12 |
| | 2 | 1.20 | 1.01 | 214 | 462 | 0.185 | 0.21 |
| | 3 | 1.26 | 1.01 | 165 | 281 | 0.12 | 0.21 |
| | 8 | 1.24 | 1.025 | 416 | 479 | 0.18 | 0.24 |
| | 13 | 1.22 | 1.01 | 390 | 759 | 0.22 | 0.18 |
Table 3.4. The parameters of PL bands measured on the SiO$_2$ film side.
| Structure | Total time of microwave irradiation, min. | $h\nu_m$, eV | PL band intensity, rel. units | PL band half-width $\Gamma$, rel. units |
|-----------|------------------------------------------|--------------|------------------------------|----------------------------------------|
| | | 1 Cu$_{Ga-D}$ | 2 Cu$_{Ga}$ | 1 | 2 | 1 | 2 |
| SiO$_2$–GaAs | initial | 1.295 | 1.04 | 102 | 799 | 0.23 | 0.14 |
| | 1 | 1.31 | 1.04 | 42 | 233 | 0.20 | 0.141 |
| | 2 | 1.20 | 1.01 | 152 | 442 | 0.19 | 0.21 |
| | 3 | 1.22 | 1.01 | 122 | 320 | 0.18 | 0.21 |
| | 8 | 1.26 | 1.025 | 383 | 406 | 0.14 | 0.26 |
| | 13 | 1.28 | 1.02 | 1500 | 350 | 0.15 | 0.21 |
similar (Fig. 3.3). However, when the total time of microwave treatment of the sample amounts to 13 min., such behavior changes: the intensity of the PL spectrum taken on the side of the GaAs substrate is about three times that taken on the side of the SiO$_2$ film (Figs. 3.4 and 3.5). Besides, in the spectra taken on the side of the film, the band peaking at 1.04 eV is of higher intensity than that with a peak at 1.3 eV, and the same band intensity relation is at smaller times of microwave treatment (Fig. 3.3). But in the spectra taken on the side of the substrate, the intensity of the band 1.04 eV becomes lower than that of the band 1.3 eV (Figs. 3.4 and 3.5).
Fig. 3.4. PL spectrum of the SiO$_2$–GaAs structure after microwave treatment (the total time of 13 min.) on the side of the substrate (1) and SiO$_2$ film (2) (in the latter case the spectrum intensity is reduced by a factor of three).
Fig. 3.5. The PL band intensity as function of the total time of microwave treatment.
As the total time of microwave treatment increases, the positions of PL band peaks change slightly (Fig. 3.6). At first (the time of microwave treatment being 1 min.) they somewhat shift towards higher frequencies, then (when the total time of microwave treatment is 2 min.) they shift towards lower frequencies, as compared with the band peak positions in the initial (before microwave treatment) sample. At further increase of the time of microwave treatment the positions of the PL band peaks vary but slightly.
Fig. 3.6. The position of the PL band peaks as function of the total time of microwave treatment.
Fig. 3.7. The half-width of the PL band 1.04 eV as function of the total time of microwave treatment.
Under microwave irradiation the half-width of the band 1.04 eV (Fig. 3.7) first decreases considerably (the time of microwave treatment being 1 min.), then (when this time increases up to 8 min.) increases, and, as the total time of microwave treatment is equal to 13 min., the PL band half-width begins to decrease again. Such behavior of the PL band half-width is common to the spectra taken on the side of the GaAs substrate and the SiO$_2$ film as well.
The dependence of the half-width of the PL band with peak at 1.3 eV on the time of microwave treatment is different (Fig. 3.8). To illustrate, for the above band these dependencies for the spectra taken on the side of the GaAs substrate and SiO$_2$ film differ considerably, while for the band 1.04 eV they are similar. In the case of the band 1.3 eV, the band half-width of the spectrum taken on the side of the SiO$_2$ film decreases smoothly as the total time of microwave treatment increases, while for the spectrum taken on the side of the GaAs substrate the PL band half-width increases with the total time of microwave treatment.
Generally PL band narrowing (decrease of the band half-width) may be considered as evidence of structural-impurity ordering, while band broadening (increase of half-width) indicates intensification of degradation processes [56, 57]. Taking into account that the SiO$_2$ film is practically transparent in the spectral range studied, one should suppose that the PL spectra taken on the film side carry information on a junction layer formed at the SiO$_2$–GaAs interface. The fact that in the SiO$_2$–GaAs structure the PL bands taken on the side of the SiO$_2$ film become narrower when the total time of microwave treatment is 13 min. enables one to assume that structural-impurity ordering occurs in the junction layer under microwave irradiation.
3.3. MECHANISMS OF MODIFICATION OF SiO$_2$–GaAs
DEFECT STRUCTURE BY MICROWAVE IRRADIATION
Along with PL investigation of the defect structure of microwave-irradiated SiO$_2$–GaAs samples, we studied also the effect of microwave treatment on the atomic composition of the semiconductor near-contact regions. The phase composition of the GaAs sample surfaces was determined with x-ray photoelectron spectroscopy (XPS). The composition of an interlayer in the SiO$_2$–GaAs structure was determined using Auger electron spectroscopy (AES) after SiO$_2$ film was etched off in hydrofluoric acid solution [58]. To characterize structural perfection of the substrates, we applied metallography [59] and studied distribution of the breakdown voltage threshold values in the Schottky barrier diodes (SBDs) made on the above-mentioned substrates [60].
Figure 3.9 presents the results of our investigations of phase composition of the gallium arsenide surface that was prepared for deposition of a dielectric layer. It follows from these results that an oxide film which appears spontaneously at the surface after chemical treatment involves three phases: two oxides (Ga$_2$O$_3$ and As$_2$O$_3$) and chemically unbound As atoms. Their distribution with the oxide film depth is nonuniform and most likely corresponds to the condition of oxide appearance, when the concentration ratio As/Ga $\approx 1$ [61]. This conclusion is supported also by the results of [62]. According to them, treatment of GaAs in sulfuric etchants leads to the ratio between the Ga and As concentrations at the surface that is close to the stoichiometric one. The thickness of the formed intrinSiC oxide (estimated from the time of its sputtering with argon ions) is 2.5–3.5 nm. Thus, it prevents efficiently from variation of the atomic composition of semiconductor surface.
Deposition of SiO$_2$ film leads to a change in the chemical composition of GaAs surface (it becomes enriched with As atoms - see Fig. 3.10a).
This result is in agreement with those previously obtained in [27] where it was found that, at $\text{SiO}_2$ deposition onto GaAs, gallium is efficiently captured by the growing dielectric layer.
The solid-state interactions between the sputtered $\text{SiO}_2$ layer and GaAs may be considered as process of predominant removal of Ga. This results in increase of the concentration of gallium vacancies $V_{\text{Ga}}$ in the semiconductor near-surface region. Due to their increased concentration, the gallium vacancies will either diffuse into the crystal bulk (with further transformation into point defects of another nature) or promote impurity segregation in the semiconductor near-surface region [63].
After microwave irradiation (maximal dose) of the $\text{SiO}_2$–GaAs structure, the concentrations of Ga and As under the oxide layer became equal and changed non-monotonously when going deep into the semiconductor (Fig. 3.10b). These variations were accompanied with increase of the oxygen and carbon contents in the GaAs near-surface layer, i.e., the microwave treatment affected “oxidability” of the surface and its contamination with carbon impurities. The authors of [64, 65] also observed that the content of carbon and oxygen solved in the semiconductor increased after microwave treatment. It should be noted that carbon atoms form in GaAs acceptor levels lying above the top of the valence band by 0.02 eV, while oxygen atoms form the defects of the $O_{\text{As}}^-$-type with energy level lying below the bottom of the conduction band by 0.825 eV [61].
The PL studies showed that the samples studied can be separated into two groups differing in their impurity-defect composition (Fig. 3.11a, b). The intensity of PL bands in the samples of the first group is several times bigger than that in the samples belonging to the second group, and the band with $h\nu_m' = 1.04$ eV dominates in the PL spectra. The bands with $h\nu_m' = 1.04$ eV and $h\nu_m' = 1.30$ eV are related to diffusion of uncontrolled copper impurity into the semiconductor [44]. Such drastic distinctions in the PL spectra of two groups of the samples may result from the structural-impurity microscopic nonuniformities of the GaAs material used in our investigations. This statement is supported by the results of (i) studies of breakdown voltage distribution in the SBDs made from the same material and (ii) metallographic investigations (Fig. 3.12) that indicate presence of structural-impurity microscopic nonuniformities in the material.
Microwave treatment of the samples belonging to the second group leads to increase of intensity for both PL bands as some threshold values of exposure are attained (Fig. 3.11b). One can assume that such action of microwave irradiation results from relaxation of the nonradiative recombination channel due to structural disordering of
the semiconductor near-surface layer. This relaxation occurs when an oxide layer appears. The data generalized in [40] also indicate modification of the semiconductor structural-impurity subsystem under the action of strong microwave field and gettering effects related to the structural-impurity transformation. It was found that microwave treatment results in variation of the parameters of impurity aggregations, charge carrier lifetime and dislocation density. The character of structural transformations in semiconductors under action of microwave field shows that the nature of physiCal processes proceeding in this case differs from that of the processes resulting from RTA or traditional thermal annealing in the vacuum.
After microwave treatment of the samples belonging to the first group, we observed PL peak shifting towards lower energies and antiphase variation of peak intensities as function of exposure dose (Fig. 3.11a). The intensity of the band with \( h\nu' \approx 1.04 \) eV first decreased with time, while that of the band with \( h\nu'' = 1.30 \) eV increased. At exposure \( t_{\text{exp}} \approx 8 \) min. The intensities of the above two PL bands became practically equal. At bigger exposures the intensity of the first band decreased, while that of the second band decreased. Such behavior of transformation of PL spectra indicates change of both the type and concentration of the radiating centers. The antiphase variation of the PL band intensities indicates that the defect centers are transformed into each other.
The physico-chemical nature of the centers of PL with \( h\nu' = 1.04 \) eV and \( h\nu'' = 1.30 \) eV still is not conclusively understood. That is why it is difficult to explain the features of structural transformation of the centers of radiative recombination under action of microwave irradiation. Taking the above into account, it is of interest to analyze possible energy sources related to microwave treatment which could lead to the observed structural changes.
In our experiments the SiO\(_2\) layer practically did not absorbed microwave radiation, and the semiconductor conductivity was rather low. So one can assume that the centers responsible for dissipation of microwave energy might be the regions with elevated content of defects and impurities. Such regions were observed in the material studied (Fig. 3.12). Let us estimate possible increase of local temperature taking into account that, at a fixed radiation wavelength, the largest inclusions have a dominant role, because the absorption cross section \( \tau \sim R^2/\lambda \) (\( R \) is the inclusion radius). For a spherical inclusion, the maximal heating temperature \( T_{\text{max}} \) can be calculated from the following expression [66]:
\[
T_{\text{max}} = T_0 + \frac{P_T R^2}{3k_0}.
\]
Here \( T_0 \) is the temperature at the semiconductor–“inclusion” interface, \( P_T \) is the heat power density in the inclusion region (where microwave energy is absorbed), and \( k_0 \) is the heat conductivity.
From Eq. (1) it follows that \( T_{\text{max}} \approx T_0 \), even if one takes the maximal inclusion size (that was about 100 \( \mu \)m) and assumes that \( P_T \) is equal to the maximal value of microwave radiating power. So there are no heating of local nonuniformity regions in semiconductor and temperature gradients related to them that could affect both diffusion redistribution of impurities and defects and the character of distribution of elastic stresses in the samples (which also could lead to redistribution of structural defects).
Let us consider one more possible mechanism of variation of the defect-impurity composition of semiconductor that is related to the non-thermal factors of action of microwave radiation. It is known that free charge carriers of a semiconductors placed in a strong electromagnetic field acquire kinetic energy that is sufficient for interband or impurity ionization: a low-temperature avalanche breakdown occurs which is accompanied with drastic increase of charge carrier concentration. As a result, the charge state of lattice atoms in local crystal regions changes. Further electrostatic interaction of these atoms with each other or with impurities leads to formation of point defects (vacancies and interstitial atoms), as well as complexes “point defect–impurity atom”.
Let us estimate if the strength $E$ of the microwave electric field used in our experiments is sufficient to form an ionized avalanche in GaAs at the maximum density of radiation energy flow incident on the sample studied. In our estimation we use the expression for loss power of electromagnetic wave in free space [67]. (For our microwave treatment, the calculated electric field strength $E$ was about 75 V/cm.)
We may consider the acting electromagnetic field to be quasi-stationary, i.e., $\omega \tau_e < 1$ (this inequality is a fortiori valid at a frequency of 2.45 GHz). Then the electron energy $\varepsilon_{el}$ can be written down as [67]
$$\varepsilon_{el} = \varepsilon_0 \left(1 + \beta E^2\right). \quad (3.2)$$
Here $\varepsilon_0$ is the electron energy at a temperature $T_0 = 300$ K, $\beta = \frac{2}{3} \frac{q^2}{m^* \varepsilon_0} \tau_p \tau_e$ depends on the degree of heating, $q$ is the electron charge, $m^* = 0.067 \ m_0$ is the electron effective mass ($m_0$ is the electron mass), $\tau_p$ ($\tau_\mu$) is the momentum (energy) relaxation time.
Taking $\tau_p \approx 10^{-13}$ s, $\tau_e \approx 10^{-12}$ s and $E \sim 75$ V/cm, one obtains $\varepsilon_{el} \approx \varepsilon_0$, i.e., the electron energy practically does not change under microwave irradiation. So the strength of the electric field of electromagnetic wave is explicitly insufficient to produce interband impact ionization, as well as impurity breakdown in GaAs which requires considerably lower electron energies [68].
Thus it seems that solution of the problem related to GaAs structure modification under microwave treatment should be searched beyond the scope of traditional approaches to the reasons of structural defects generation and annihilation. One of such mechanisms may result from presence in a crystal of unstable Frenkel pairs [69]. Annihilation of such pair in a microwave electromagnetic field can lead to over-the-barrier motion of a dopant or dislocation. In [64] the effect of non-activation variation of residual deformation in GaAs exposed to microwave irradiation was found. This indicates occurrence in crystals of some processes whose nature is different from that of the “traditional” mechanism of dislocation motion at thermal annealing in the vacuum.
The existence of non-thermal action of microwave radiation on atomic diffusion in InGaAs solid solutions was proved in [70]. One of the reasons for such action of microwave radiation on annealing kinetics and transformation of both extended and point defects may be related to the fields of static stresses in semiconductors (if these stresses and their gradients that appear due to semiconductor structural disordering are sufficiently big). In actual practice, however, the effect of stresses on defect migration is insignificant as a rule. This effect may increase drastically if the transformation process is of collective character. The following conditions are required for this: (i) small-size defect aggregations should be present in a semiconductor, and (ii) the time needed to involve the whole cluster in the transformation process should be small as compared with the time of material deformation response to the structural variations. In this case (as was shown in [71]) the decrease of the barrier to defect transformation or annihilation is $\Delta E \approx 8 \times 10^{-23} B\varepsilon N$ where $B$ is the modulus of elasticity, $\varepsilon$ is the local deformation in the neighborhood of defect, $N$ is the number of defects in the cluster. One can see easily that this decrease may be several tenths of electronvolt for sufficiently big clusters.
In different semiconductor regions, the inclusion concentrations are different. Therefore the local fields of elastic stresses vary over the wafer, and their effect on the local defect transformation also varies. Taking into account that the types and activation energies of the defects in a cluster are different, one should expect different structural modifications in the such defect regions samples made from the same wafer.
One should note one more factor that may affect the character of PL spectrum variation under microwave treatment. Nonuniform distribution of charged defects over the wafer leads to nonuniform distribution of quickly diffusing impurities (say, copper) gettered by such defect regions. A change of static elastic stresses or charge state of clusters induces diffusion redistribution of impurities. In this case composite defects involving the impurities may be formed, or the impurities may become inactive.
In conclusion it should be noted that a deeper insight into the nature of the effects occurring in the dielectric–semiconductor structures exposed to microwave treatment requires further investigations, in particular, those aimed at elucidation of the nature of PL centers and their relation to the semiconductor structural nonuniformity and deformation effects (appearing due to the above nonuniformity, as well as deposition of dielectric layers).
3.4. EFFECT OF MICROWAVE RADIATION ON THE SiO$_2$–SiC STRUCTURES
Silicon carbide is known as a promising material for development on its basis of various microelectronic devices. Such its features as heat and radiation tolerance serve to improvement of reliability of diode and transistor operation, even under extreme service conditions [72-86].
SiO$_2$ films find application in the manufacturing technology for silicon carbide devices [87–92]. However, in this case (as for the silicon electronic devices) formation of high-quality dielectric layers poses a grave phySiCotechnological problem [74, 93–95]. Some authors believe that this problem can be solved by application of photostimulated processes for SiO$_2$ layer deposition [96, 97]. The effect of electromagnetic radiation on the properties of such dielectric layers still is not clearly understood.
In [98-101] an attempt was made to perform comparative investigation of the effect of microwave irradiation (frequency of 2.45 GHz, radiating power of 1.5 W/cm$^2$) on the properties of SiO$_2$–SiC structures. They were prepared by Svetlichnyi, Agueev, Polyakov and Kocherov (Taganrog State Radio Engineering University) using the conventional thermal oxidation (CTO) in water vapor at a temperature $T = 1273$ K and RTA at $T = 1373$ K with quartz halogen lamps [102, 103].
The initial Lely-grown 6H-SiC samples were doped with nitrogen (concentration of $(2–3)\times10^{17}$ cm$^{-3}$). Before SiO$_2$ film growing, the samples were exposed to the standard chemical cleaning. Oxidation was made concurrently at the (0001) and $(000\bar{1})$ faces.
The transmission and PL spectra were measured (both before and after microwave treatment) in the 400–800 nm wavelength region at room temperature using a spectrometer СДП-2. A PbS photoresistor was used as detector of secondary radiation when studying the PL spectra in near IR. A spectral lamp СИПШ-200 served as source of radiation in continuous spectrum. A nitrogen-vapor laser (radiation wavelength of 337 nm) and a high-power incandescent lamp ПЖ-100 were used as radiation sources to excite PL.
The AFM studies of surface morphology were performed with a commercial microscope NanoScope IIIa in the tapping mode of scanning. The radius of curvature was measured for all the samples studied with a profilometer П201 (both before and after microwave treatment).
Table 3.5 presents the results of measurements of radius of curvature (on the sample face (0001) side) as function of the total time of microwave treatment $\tau_T$. One can see that the radius of curvature of the samples exposed to RTA in the dry oxygen atmosphere at a temperature of 1273 K practically does not depend on the total time of microwave treatment. The structures exposed to long-term CTO in water vapor at a temperature of 1373 K were more sensitive to microwave treatment: the degree of variation of the sample radius of curvature as function of $\tau_T$ was proportional to the time of oxidation of the initial sample.
Additional information on the interaction of microwave radiation with the SiO$_2$–SiC structures was obtained when studying their optical spectra. A typical dependence of the optical density (OD) of the SiO$_2$–SiC structure on the wavelength of light for different $\tau_T$ (at a temperature $T = 300$ K) is shown in Fig. 3.13.
It should be noted that the absorption spectrum of the $\text{SiO}_2$–$\text{SiC}$ in the 400–800 nm wavelength region is an integral characteristic, i.e., the resulting spectrum is determined by the following three factors: (i) absorption in the SiC bulk, (ii) absorption in the oxide film, and (iii) absorption at the $\text{SiO}_2$–$\text{SiC}$ interface. The main contribution to the total absorption spectrum comes from the factor which is the strongest in the above spectral region. In our case, this is absorption in the SiC bulk.
A distinguishing feature of the presented spectrum is a broad band in the region about 630 nm (Fig. 3.13) which is related in the literature to the ground state of the donor centers stemming from nitrogen impurities in the silicon carbide crystals [82, 104-107]. It should be noted that this band is observed against a general broad background. The authors of [107] give the following explanation for this background absorption. The broad band with a peak near 630 nm partially overlaps with two absorption bands (the more intense broader near-edge band and the high-energy tail of the IR absorption band) that are related to photoionization of nitrogen impurity, with transition of electron to different minima of the conduction band.
Figure 3.14 shows OD of the $\text{SiO}_2$–$\text{SiC}$ samples as function of the total time $\tau_T$ of microwave treatment. The character of these curves depends on the way of SiC oxidation.
To illustrate, for the sample # 1 (Fig. 3.14, curve 1), OD decreases at $\tau_T = 10$ s. Then, after repeated 10 s microwave treatment, OD remains the same, and increases practically up to its initial value when $\tau_T$ becomes equal to 30 s. At further increase of $\tau_T$, first an increase of OD is observed (at 40 s microwave treatment), and then it becomes to decrease.
The sample # 2 (Fig. 3.14, curve 2) also demonstrates a decrease of OD at 10 and 20 s microwave treatment (the OD values are the same for these two durations). At the total time of microwave treatment $\tau_T = 30$ s, the OD value increases (as in the sample # 1). In this case, however, the OD value after 30 s microwave treatment remains below that of the initial sample. At further increase of $\tau_T$, first an increase
| Sample # (the data refer to the face (0001)) | $\tau_T$, s | $R$, m |
|---------------------------------------------|------------|-------|
| A (RTA, 60 s) | 0 | 0.5 |
| | 10 | 0.6 |
| | 30 | 0.5 |
| | 40 | 0.5 |
| B (RTA, 180 s) | 0 | 0.6 |
| | 10 | 0.7 |
| | 30 | 0.75 |
| | 40 | 0.8 |
| 1 (CTO, 30 min.) | 0 | 9 |
| | 10 | 9 |
| | 30 | 8 |
| | 40 | 8.6 |
| 2 (CTO, 30 min.) | 0 | 1.4 |
| | 10 | 1.2 |
| | 30 | 3.35 |
| | 40 | 1.3 |
| 3 (CTO, 120 min.) | 0 | 4.1 |
| | 10 | 1.4 |
| | 30 | 1.5 |
| | 40 | 1.9 |
| 4 (CTO, 180 min.) | 0 | 16.8 |
| | 10 | 14.7 |
| | 30 | 31 |
| | 40 | 8 |
Fig. 3.13. Typical OD spectral dependencies of a $\text{SiO}_2$–$\text{SiC}$ structure (temperature $T = 300$ K) at different total times of microwave treatment: 1 - 0 (initial sample), 2–6 – after 10–50 s microwave treatment (at interval of 10 s).
For the sample A (Fig. 3.14, curve A), the OD dependence on $\tau_T$ at the starting values of total time is the same as for the sample # 4: insignificant OD decrease at $\tau_T = 10$ and $20 \text{ s}$ and slight increase of OD at $\tau_T = 30 \text{ s}$. However, as $\tau_T$ increases up to $40 \text{ s}$, OD of the sample A first increases and then (at further growth of $\tau_T$) decreases, as for the samples # 1–3.
For the sample B, OD decreases after microwave treatment for $10 \text{ s}$ and then remains unchanged as $\tau_T$ increases up to $30 \text{ s}$. Further increase of $\tau_T$ first leads (as for the sample A) to increase of OD as $\tau_T$ grows up to $40 \text{ s}$, and then OD decreases.
One can see from Fig. 3.14 that those samples are most tolerant to microwave irradiation that were obtained using RTA in the dry oxygen atmosphere at a temperature of $1273 \text{ K}$ (curves A and B). It is of interest that (judging from the optical transmission spectra) those of the samples obtained using CTO in water vapor at a temperature of $1373 \text{ K}$ are most tolerant to microwave irradiation whose time of oxidation is the biggest (Fig. 3.14, curve 4). Although one would expect, on the basis of the results of measurements of the samples radii of curvature (see Table 3.5) that just the above samples would demonstrate the strongest dependence of OD on the total time $\tau_T$ of microwave treatment.
The half-width of the band $630 \text{ nm}$ vs $\tau_T$ curve is shown in Fig. 3.15. Here (as in Fig. 3.14) curves 1–4 refer to the structures obtained using CTO in water vapor at a temperature of $1373 \text{ K}$, the time of oxidation being $30$ (1), $60$ (2), $120$ (3) and $180 \text{ min.}$ (4), respectively; curves A and B refer to the structures obtained using RTA in the dry oxygen atmosphere at a temperature of $1273 \text{ K}$, the time of oxidation being $60$ (A) and $180 \text{ s}$ (B). Contrary to the case of OD, one cannot detect a general trend in the dependence of the half-width of absorption band with a peak at $630 \text{ nm}$ on the total time of microwave treatment. The above dependence is nonmonotone.
The following assumption may be proposed for explanation of variation of the band half-width resulting from microwave treatment. According to [107], the band $630 \text{ nm}$ results from photoionization of three nonequivalent nitrogen donors (with hexagonal and cubic
Fig. 3.15. Half-width of the band 630 nm as function of the total time of microwave treatment (same marks as in Fig. 3.14).
coordination of the nearest surroundings). It factually involves three close lines that merge in a broad band. The symmetry of the nearest surroundings of some nitrogen impurities possibly changes under the action of micro-wave radiation, and this may lead to redistribution of the intensities of single lines that form the band 630 nm. As a result, this may lead to change half-width of this band.
Our investigations of the surface morphology showed that growth of oxide film at the SiC surface starts in the defect areas (scratches) (Fig. 3.16). Further oxidation stage - growth of the so-called crystalline whiskers with diameter up to 10 μm – occurs predominantly at the (0001) surface (Fig. 3.18).
Beside this, we observed a microrelief against the macroscopic relief background at the (0001) surface of the samples B, 2 and 3. It was formed by nanoislands (most likely, also SiO₂) of different sizes and density, depending on the way of oxidation (Fig. 3.18a). Microwave treatment for 10 and 20 s did not lead to changes of surface morphology. However, microwave irradiation for 30 s resulted in disappearance of the nanoislands for all the samples where they have been detected earlier, although macroscopic relief of the (0001) surface did not change in this case (Fig. 3.16b). 30 s microwave irradiation led to appearance of the above-mentioned
Fig. 3.16.(a,b) Morphology of SiC (0001) surface: a - initial, b (c) – after oxidation for 1 (30) min. X:Y:Z = 1:1:5.
crystalline whiskers at the \((000\bar{1})\) surface. Further increase of the total time of microwave treatment did not lead to variation of the macroscopic relief and microrelief. One may assume that a phase or structural change of oxide film occurred at the surface of the samples B, 2 and 3 at 30 s microwave irradiation. This change manifested itself as nanoscale smoothing of the surface, with the final roughness size of about 0.3 nm.
Our experimental results enable one to conclude that the structures obtained using RTA in the dry oxygen atmosphere are the most tolerant to microwave irradiation. In addition, it was found that microwave treatment with total time of 30 s and more leads to decrease (and even disappearance) of nanoislands in the oxide films at silicon carbide surface, as well as make the irradiated surface smoother.
The experimental results on the effect of electromagnetic radiation on the electrophysic properties of the SiO$_2$–GaAs (SiC) structures presented in this Chapter indicate the following. Despite high reproducibility of the effects observed which lead to changes in the properties of near-surface semiconductor regions and dielectric–semiconductor interfaces, a mechanism of such action is very complicated, and some additional theoretical and experimental investigations are required for its determination. It is obvious, however, that the effects induced by microwave irradiation must be taken into account by the developers of novel technologies of microwave devices.
Fig. 3.17. Growth of big oxide clusters at the SiC (0001) surface after oxidation for 120 min. X:Y:Z = 1:1:5.
Fig. 3.18.(a) Surface morphology of the sample # 3 before (a) and after 30 s microwave treatment (b).
Chapter 4.
EFFECT OF MICROWAVE IRRADIATION ON THE MORPHOLOGICAL AND STRUCTURAL PROPERTIES OF NANOCRYSTALLINE SILICON–SILICON SYSTEMS
Photoluminescence of silicon nanocrystals (NCs) in the visible spectral region at room temperature is intensely investigated because it can elucidate the processes in quantum-confined nanostructures which could be applied in the quantum optoelectronics. Silicon NCs are in a dielectric medium, most often, in silicon oxide $\text{SiO}_x$ ($0 < x \leq 2$). Porous silicon (por-Si) that is formed using (electro)chemical etching of single-crystalline silicon (c-Si), as well as the films of nanocrystalline silicon (nc-Si) obtained using various techniques (sputtering, chemical deposition, ion implantation, laser ablation, etc.), belong to the above nanocomposite systems.
It is known that electromagnetic radiation from various frequency bands is widely used in semiconductor materials science and instrument-making industry [1–43]. It can play a great role in the manufacturing technology when forming the required properties of nc systems. There are some data on the effect of high-power laser radiation (see, e.g., [44]) and various doses of $\gamma$-radiation (see, e.g., [45]). However, except for the works [46–48], there exist practically no investigations of the effect of microwave treatment on the structural and PL properties of nc-Si.
Compared to por-Si films, those of nc-Si have higher mechanical strength. Their structure can be controlled easier, and it is possible to form nc-Si films on any substrates. Of different methods used to obtain nc-Si films, the pulsed laser deposition (PLD) technique
(which belongs to the well-developed methods) has advantages in what refers to composite formation (congruence of film composition). This technique was applied by Kaganovich, Svechnikov, Manoilov et al. [49–51] for determination of the conditions of nc-Si film formation using PL in the visible spectral range. However, clear interrelations between PL and the features of nc-Si film formation (which could help in determination of the nature of PL in the Si 0D NCs) still have not been found.
In [52] the features of surface morphology and structure of nc-Si films depending on the PLD modes were investigated, as well as interrelation between the film structure and PL properties was determined. A possibility of control over the structural and photoelectric properties of such objects was demonstrated in [46–48]. Some results of these investigations are considered below.
4.1. EXPERIMENTAL PROCEDURES
The films were deposited in the vacuum (see Fig. 4.1) from a particles flow in an erosion spray. The erosion spray was formed at scanning of a c-Si target (5) with a YAG:Nd$^{3+}$ laser beam (1) ($\lambda = 1.06 \mu m$). The laser was operating in the $Q$-spoiled mode, with pulse energy of 0.2 J, pulse length of 10 ns and pulse-repetition rate of 25 Hz. The substrates (6, 7) were commercial wafers made of $p$-silicon (100) (brand mark КДБ-10) with resistivity of 10 $\Omega \cdot cm$.
We prepared films of two types. They were obtained in different ways. The films of the first type (films I) were formed in the oxygen atmosphere (the pressure varied from $1.5 \times 10^{-2}$ up to 20 Pa) from a direct particle flow in a spray onto the substrate (7) that was located on the spray axis at a distance from the target (technique I). The films of the second type (films II) were formed in the argon atmosphere (the pressure of about 13 Pa) from a reverse particle flow onto the substrate (6) located in the target plane (technique II). The feature of technique II was that the particles scattered by the argon atoms came back to the target plane. Such film had a wedge-shaped profile whose width (at a section of 12 mm) varied from 500 down to 50 nm in the course of sputtering that lasted about 30 min.
The film surface morphology was studied with scanning AFM in the tapping mode using a microscope NanoScope IIIa (produced by Digital Instruments) [53]. We used silicon needles with rated point radius of 5 nm. The needle points were checked (both before and after surface measurements) using a test grid TGT 1(produced by NT-MDT) [54]. This was made from the patterns of single grid elements [55], as well as from the algorithm for needle form determination from the results of measurement of a surface about which we had no prior knowledge (the so-called blind reconstruction) [56].
When performing AFM studies of surfaces with reliefs whose small part sizes are comparable to that of the needle point, one should not ignore the effects of superposition of the point form on the actual small parts of surface relief in the AFM patterns. To take the above effects into account, we performed reconstruction of the measured surface patterns from the known form of the needle point. The reconstruction procedure is based on the algorithms described in [56, 57]. The general result of such reconstruction is decrease of the lateral sizes of projections and increase of the pore diameters.
We determined the level of deformations in the c-Si substrate near the nc-Si/c-Si heteroboundary from the results of XRD measurements of radius of curvature $R$ of the near-surface crystallographic planes of the substrate [58]. The deformation level was estimated using the approximate expression $\varepsilon \approx t/2R$ where $t$ is the substrate thickness. The informative layer thickness (i.e., the depth of x-ray penetration) was 42 µm for the reflection 400.
The crystalline structure of the films was studied with x-ray phase analysis using the Cu$_{K\alpha}$-radiation and a focusing LiF monochromator before the detector. This ensured high sensitivity of the technique.
### 4.2. EFFECT OF THE CONDITIONS OF FORMATION OF NANOCRYSTALLINE SILICON FILMS ON THEIR STRUCTURE
The data of x-ray phase analysis show that the nc-Si films II obtained using the reverse particle flow in the erosion spray are x-ray-amorphous. The films II deposited near the erosion spray axis demonstrate (along with an intense halo in the small angle region which is characteristic of an x-ray-amorphous material) weak broad diffraction maxima that belong to polycrystalline silicon. The sizes of the coherent scattering regions of nc-Si film II are several nanometers; they are increasing when approaching the spray axis. There are also weak peaks on the XRD patterns. These peaks seem to be related to presence of another phase – silicon oxide. Thus the films II are two-phase systems (Fig. 4.2).
For the films I obtained using the direct particle flow in the erosion spray at a pressure of oxygen of 6.5 Pa, the diffraction peaks related to polycrystalline silicon are more intense than those in the films II. This fact indicates somewhat bigger content of polycrystalline phase of silicon in the films I (these films are two-phase too). Polycrystalline silicon is the predominant phase in the films I deposited without introduction of oxygen, while silicon oxide is the predominant phase in the films I obtained at a pressure of oxygen of 16 Pa.
Our AFM studies revealed (see Figs. 4.3 and 4.4) that surface morphology in the two-phase nc-Si films depends essentially on the conditions of film formation. One can see that the surface of the films I obtained at a pressure of oxygen of 6.5 Pa (see Fig. 4.3a) consists of clusters whose lateral sizes are 100–300 nm and height values are spread considerably (from 1.5 up to 13 nm), although the average surface roughness is 1.8 nm. The above clusters and flat surface areas are covered with grains (mean diameter of 10–15 nm). The films have good adhesion and contain practically no pores.
The films II (see Fig. 4.3b) are characterized by higher degree of surface uniformity. They have no clusters, there are pores in them, and the mean grain diameter values are smaller than those in the films I. Figure 4.5 shows the histograms of the relief heights and grain diameters for fragments of surfaces of films II deposited at a distance from the erosion spray axis and in the immediate vicinity of it. One can see that, when going from the spray axis, the mean size of the grains on the film surface decreases from 15.2 down to 7.0 nm, while the average roughness reduces from 1.5 down to 0.6 nm. Besides, the thinner films are characterized by more uniform grain size distribution than the thicker ones. Characteristic of the latter films is presence of (i) another peak on the histogram which is due to the grains with diameters from 20 up to 25 nm, and (ii) bigger (about 10 nm) pores (see Fig. 4.5b, curves 1 and 2).
Fig. 4.3. AFM 3D images of the surfaces of films: a - deposited in the way I (at a pressure of oxygen of 6.5 Pa), b - deposited in the way II.
When the thin film regions lying far from the erosion spray axis are doped with gold, this results not only in shifting the peak of distribution towards bigger grain sizes but also in increase of the half-width of the grain size distribution curve (Fig. 4.5b, curve 3). And doping with gold of the thick areas (that are obtained in the immediate vicinity of the spray axis) results in disappearance of the bimodal grain size distribution. Beside this, some grains appear whose diameters are several times that corresponding to the distribution peak (Fig. 4.5b, curve 4). In this case, however, both surface roughness and height distribution for thick films do not change considerably after film doping with gold (see Fig. 4.5a, curves 2 and 4).
Before coming to an analysis of the results of AFM studies, one should note that, even after performing reconstruction of the surfaces,
the obtained magnitudes of the geometric sizes of their details may be somewhat overestimated. In addition, the crystallites that form the surface are in special conditions (as compared to those for the crystallites in the bulk) because the growth of surface crystallites is less constrained. It should be also noted that the surface grains consist of silicon NCs and their oxide coatings, so the factual sizes of Si NCs are below the size values obtained for the surface grains.
The above distinctions in the surface morphology of the films I and II result, above all, from the different character of particle flows that are forming the films. In the technique I, when deposition occurs from an intense direct particle flow in the erosion spray at an oxygen pressure of 6.5 Pa, film growth involves the high-energy particles whose sizes are spread widely. The film growth rate is high, and soon large clusters become coated with small-size particles. The same factors ensure high film adhesion and absence of pores.
In the technique II, the films are formed from a reverse particle flow in the erosion spray at a high pressure of inert gas (argon). Therefore the silicon atoms and clusters from the target are scattered by the argon atoms, slow down and return to the target plane with energy much lower than in the technique I. The larger particles are accumulated on the substrate near the spray axis, while the smaller ones are accumulated at a bigger distance. The diffusion processes practically do not occur in this case, so the films obtained are porous, and their adhesion is much weaker.
Probably increase of the size of grains at the film surface at doping with gold is related to the following two factors. One of them is the activation properties of gold in the course of crystallization. This assumption is supported by the fact that a nucleation layer of an undoped film is formed with the grains whose boundaries are not well-defined, while doping with gold leads to formation of well-defined grain boundaries in the layer. Another factor is that gold is an electropositive metal, and so it serves as catalyst for oxidation of Si NCs due to trapping of valence electrons from weak Si–Si surface bonds. The volume of silicon dioxide is almost three times that of Si from which SiO$_2$ has been formed. So doping
Table 4.1. The deformation levels in different nc-Si/c-Si structures.
| Parameters | c-Si substrate | Types of nc-Si films |
|---------------------|----------------|----------------------|
| | | I | II | II doped with Au |
| Radius of curvature $R$, m | 30.00 | 24.27 | 51.57 | −74.35 |
| Deformation $\varepsilon$ ($\times 10^6$) | 5.00 | 6.18 | 2.91 | −2.07 |
with gold results in a considerable increase of the surface grains (which, as was stated before, are Si crystallites with an oxide coating).
Table 4.1 presents typical values of stresses in the near-surface layers of the c-Si substrates in the nc-Si/c-Si structures. Before deposition of nc-Si film, a typical radius of curvature of c-Si was $R \approx 30$ m, and the level of macroscopic deformation was $\varepsilon \approx 5 \times 10^{-6}$. The structure studied was convex on the side onto which a film was to be deposited. Such a considerable value of residual deformation was due to different treatments of both sides: after mechanical polishing of the c-Si wafer, further chemo-dynamic polishing was made only on the side intended for film deposition. It was found that the stresses in the nc-Si/c-Si structures vary depending on the technique of film deposition, as well as on film thickness and doping.
One can see from Table 4.1 that, if the films were formed using the technique I, the macroscopic deformations increased by 23%, while deposition of films II decreased deformations by 42%. When the films II were doped with gold, not only the deformation demonstrated further decrease (by 59%) but the sign of system curvature reversed (the system became concave on the side with nc-Si film).
To explain such behavior of the system studied, some additional experiments are required. The following assumptions, however, can be made now. Different deformation values for the films obtained using different deposition techniques (without doping with gold) may be due to the fact that high- and low-energy Si particles interact with the substrate surface (and modify it) in different ways. When doping with gold is made at concurrent laser ablation of silicon and gold, a surface phase Si–Au is formed near the substrate–film heteroboundary, thus causing negative deformation.
In [52] it was shown that the structural and morphological properties of the nc-Si films correlate with the PL spectra of these films.
4.3. EFFECT OF MICROWAVE TREATMENT ON THE STRUCTURAL PROPERTIES OF NANOCRYSTALLINE SILICON–SILICON SYSTEMS
Both doped and undoped nc-Si films deposited onto a p-Si substrate are in a nonequilibrium state. Processes of structural ordering are to occur in them under various external actions, in particular, microwave irradiation. AFM studies of the films exposed to microwave radiation (even of the maximal – 7.5 W/cm$^2$ – irradiance) did not reveal noticeable changes in their surface morphology. The results of high information ability have been obtained, however, when measuring radius of curvature for the p-Si, p-Si/nc-Si and p-Si/nc-Si<Au> samples with the XRD technique (Fig. 4.6). For the samples consisting of the p-Si substrate only, the radius of curvature $R$ was about 30 m; the samples were convex toward the side at which the nc-Si films were later deposited (curvature sign “plus”). The calculation gave for the strain $\Delta d/d$ the value of about $5 \times 10^{-6}$. Stressed state of the initial substrate was due to different treatments of its sides. That used for nc-Si films deposi-
tion was at first chemo-dynamically treated, then treated in HF and washed in water. As a result, it had a hydride coating that, being exposed to air, gradually gave place to a thin oxide film. Another side of the substrate experienced only mechanical lapping before the HF treatment. One can see from Fig. 4.6 that the radius of curvature of the $p$-Si substrate practically did not change after microwave irradiation followed by keeping out of doors.
After deposition of an undoped nc-Si film onto the $p$-Si substrate, the strain in the system studied dropped ($R = 84$ m). Microwave irradiation somewhat increased strain ($R = 75$ m), but then, after keeping the sample out of doors for 120 h, strains strongly relaxed (the radius of curvature grew up to 1444 m). Very interesting results were obtained after deposition of an nc-Si-Au film onto the substrate. In this case the radius of curvature changed its sign, i.e., the nc-Si-Au/p-Si system became concave toward the film, and its strain considerably decreased ($R = -102$ m). This fact can be related to both the above mechanism for a gold–silicon phase formation at the film/substrate interface and thermal strains caused by the difference of the film and substrate thermal expansion coefficients.
Changes of sign and value of the radius of curvature immediately after microwave irradiation ($R = 50$ m) seem to result from both disordering of the above surface phase and structural defects redistribution under microwave field action. However, during keeping samples out of doors that phase restores and metastable defect clusters dissociate. As a result, the radius of curvature becomes negative again, and its magnitude substantially increases ($R = -289$ m). Thus in both cases (undoped and Au-doped films on the $p$-Si substrate) microwave irradiation induces processes of structure relaxation proceeding after it. As a result, the residual strains in the nc-Si/p-Si and nc-Si-Au/p-Si systems drop abruptly.
Summing up the results obtained, one should note that the change of the properties of the nc-Si/p-Si structures exposed to microwave treatment depends on (i) the microwave radiating power and exposure time and (ii) the initial (before microwave irradiation) properties of the structure. High radiating powers of the microwave field result in degradation of the structure parameters. This was illustrated in [47, 48] by the example of PL decrease in the undoped structure and complete PL disappearance in the Au-doped structure exposed to microwave irradiation with radiating power of 7.5 W/cm$^2$. At the same time, action of microwave field with moderate (1.5 W/cm$^2$) radiating power may impair, as well as improve, the structure parameters [47].
Chapter 5.
MICROWAVE AND $\gamma$-RADIATION IMPACT ON Ta$_2$O$_5$–Si STACK CAPACITORS
The steady trend towards smaller dimensions of ICs has placed high priority on finding new materials to replace the long-standing SiO$_2$ dielectric. Continued scaling below 100 nm node refers to top-down microelectronics, and respectively determines the research in process technology [1]. Although great successes have been achieved, the further miniaturization of Dynamic Random Access Memories (DRAMs) cannot be realized with conventional SiO$_2$-based insulators, because they have reached their physical limit of thinning defined by direct tunneling current through the dielectric. (In fact the exact thickness limits are currently the source of significant research and debate.) The inevitable reduction in capacitor area of DRAMs has made it difficult to maintain the stored charge in nanoscale memory capacitors needed to prevent soft errors caused by $\alpha$-rays incidence. So the scaling down of Si ICs has pushed conventional SiO$_2$ and SiO$_x$N$_y$ insulators to their physical limits in terms of reduction of thickness and dielectric strength. New storage capacitors using active dielectric films with an equivalent SiO$_2$ film thickness, $d_{eq}$, of less than 1 nm and having low enough leakage current for favorable memory operation are required to realize the fabrication of low-power and high-density DRAMs. (The equivalent oxide thickness refers to the thickness of any dielectric scaled by the ratio of its permittivity to that of SiO$_2$.) One solution of the problem is the replacement of SiO$_2$-based insulators by an alternative insulator(s) with a high dielectric constant (high-$k$). Worldwide research efforts to find valuable candidate materials have so far shown very promising results. New alternative materials with higher dielectric constant instead of SiO$_2$ providing the same capacitance but at considerably larger physical thickness are proposed in order to minimize the impact of miniaturization and to overcome the leakage current limitations of extremely thin conventional dielectrics. High-$k$ metal oxides are currently under consideration as novel active dielectrics for both types of Si devices, DRAMs and metal-oxide-semiconductor field-effect transistors (MOSFETs). Determination of the best materials, the best processing techniques for obtaining these materials and integrating them into the mainstream technological process are all extremely challenging tasks. Among the single metal oxides, *tantalum pentoxide* appears to be one of the best candidates to replace SiO$_2$ and SiO$_{x,y}$ in high-density (Gigabits) DRAMs, due to its compatibility with Ultra Large Scale Integration (ULSI) processing, high dielectric constant (up to 20–30), relatively low leakage current, high breakdown fields and chemical stability. Respectively, Ta$_2$O$_5$ capacitor technologies are widely studied in order to meet the critical requirement of nanoscale manufacturing [1–11]. A number of important film-related parameters must be carefully and simultaneously optimized and controlled in order to gain a success in the minimization of the leakage current to the required tolerable levels in accordance with the requirements of International Technology Roadmap for Semiconductors. To overcome these issues, persistent efforts in both the fundamental understanding of stack dielectrics material and materials engineering including optimization of technology steps are required. The major focus on Ta$_2$O$_5$ films research is to optimize the *leakage current* and the *dielectric constant* - the two most important parameters for the material to be used as memory dielectric in highly integrated dynamic memories. In order to improve the electrical characteristics of the Ta$_2$O$_5$–Si system, *high-temperature post-fabrication treatments are absolutely necessary*. As a rule, however, these annealing processes result usually in two undesirable effects:
(i) Unavoidable increase of the interfacial layer thickness which can compromise the benefits of Ta$_2$O$_5$ as high-$k$ material. The interfacial layer at Si (1–4 nm thick depending on the technological conditions) consists of silicon oxides, i.e., it is a lower-$k$ layer. The phenomenon of formation of interfacial layer is related to thermodynamic instability of most of high-$k$ insulators (Ta$_2$O$_5$ is no exception), in direct contact with Si against formation of SiO$_2$ [1, 3, 7]. This layer reduces the global dielectric constant of the stack capacitor but at the same time ensures better interfacial properties. The lower-$k$ layer in series with the Ta$_2$O$_5$ can, in some cases, even nullify the benefits of Ta$_2$O$_5$ as a high-$k$ dielectric with a capacitance corresponding to the desirable value of $d_{eq}$.
(ii) Partial crystallization of the films which is unacceptable for ULSI applications. Usually as-fabricated films are amorphous due to the low temperature of formation. As typical high-$k$ insulator, however, Ta$_2$O$_5$ crystallizes if subjected to temperatures over about 873 K [3–6, 9, 12–21]. This is accompanied usually with a reduction of breakdown strength [3, 13]. Generally, the exact value of crystallization temperature depends on both the film thickness and amorphous status of the initial film [13, 19]; the crystallized films show orthorhombic ($\beta$-Ta$_2$O$_5$), hexagonal ($\delta$-Ta$_2$O$_5$) or monoclinic phase (usually detected above 973 K) [3, 13, 14, 18, 21, 22]. Although crystalline Ta$_2$O$_5$ has a higher dielectric constant than amorphous one [7, 17, 18, 20], its leakage current can be higher because the grain boundaries serve as an additional leakage current path. On the other hand, it is generally recognized that annealing repairs the oxygen vacancies and various structural imperfections in the films [3, 5, 7, 19, 20, 23–25]. Thus the leakage current could be effectively reduced [19, 20]. Although post-fabrication annealing at high temperatures can in some cases effectively reduce the leakage current (stimulating net annealing) [7, 19, 23, 24], one has to consider all other effects which might influence the physical and electrical properties of the layers.
So, one solution of the problem with high-temperature treatment of Ta$_2$O$_5$ (and generally of high-$k$ dielectrics) is to find *alternative annealing method(s)* to replace *high-temperature heating* and thus to avoid both the crystallization effects in the films and the additional growth of the interfacial layer.
We have shown in a number of investigations [5, 8, 11, 13, 14, 18, 19, 23, 25–27] that amorphous and stoichiometric Ta$_2$O$_5$ can be
successfully obtained by two methods: (i) radio frequency (rf) sputtering of Ta in Ar + O$_2$ gas mixture, and (ii) thermal oxidation (at temperatures of 823–873 K) of thin Ta layer deposited on Si. It has been established that the initial films are amorphous whereas crystalline Ta$_2$O$_5$ (orthorhombic $\beta$-Ta$_2$O$_5$ phase) has been obtained after treatment in O$_2$ or N$_2$ at 1123 K. The high-temperature treatment is beneficial for: dielectric constant (it reaches values of 35–37 after 30 min. annealing); a reduction of oxide charge to $\sim 10^{10}$ cm$^{-2}$; an increase of breakdown strength and a reduction of the leakage current, i.e., the crystalline Ta$_2$O$_5$ shows better leakage current properties than the amorphous one. A current density as low as $10^{-8} - 10^{-9}$ A/cm$^2$ at 1 MV/cm applied field for 15–25 nm annealed layers has been obtained. Improvement of leakage current at oxygen annealing (OA) could be associated with the specific phenomena of heating in O$_2$ ambient: smaller amount of imperfections in the arrangement and less deficiency of oxygen atoms bonded to tantalum one as well as higher quality of the interfacial SiO$_2$. Probably these effects (at annealing conditions used) dominate over those of the crystallization-induced grain boundaries and, as a result, the leakage current reduces. It was established that N$_2$ annealing improves the stoichiometry and microstructure of both the bulk Ta$_2$O$_5$ and the interfacial transition region at Si, which manifests as a reduced amount of suboxides. The anneal process reduces the excess Si and decreases the width of the interface region (a trend to more abrupt interface is observed) resulting generally in improvement of dielectric and interface parameters of the stack capacitor. Despite the beneficial influence on the leakage current, however, the crystallization is unacceptable for high-density devices because it leads to poor point-to-point uniformity and variation of the parameters from one device to another.
Recently we have shown [28–30] that microwave irradiation (2.45 GHz) for several seconds at room temperature could be successfully used as a method for improving electrical and structural parameters of the Ta$_2$O$_5$–Si system (a significant reduction of leakage current and an increase of the dielectric constant), and in this sense it could be alternative to high-temperature annealing steps. The big advantage of microwave irradiation annealing is the strongly reduced thermal budget: room temperature and extremely short (seconds) annealing times. The results imply that most likely the effect is universal and will be valid for other high-$k$ dielectrics.
Here we will demonstrate the microwave irradiation-induced improvement of the structures of very thin Ta$_2$O$_5$ (obtained by two methods: rf sputtering and thermal oxidation) on Si. Comparing the electrical, structural and optical properties of the films before and after irradiation we aim to clarify the effects of the microwave treatment. The relationship between the electrical and physical characteristics will also be discussed.
The second part of this chapter is dedicated to the influence of $\gamma$-radiation on thin Ta$_2$O$_5$–Si structures [31]. As is known, an important factor on which the electrical parameters of thin layers depend and which in many cases causes electrical conduction in the microstructures is their radiation hardness. Since the tantalum pentoxide could be potentially used in radiation-rich conditions, it is of importance to have knowledge of the radiation effects in Ta$_2$O$_5$-based metal–oxide–semiconductor (MOS) devices. These effects in MOS capacitors with Ta$_2$O$_5$ are very poorly studied. It is found [3] that, in general, the trapped positive oxide charge, the interface states concentration and the leakage current density increase after irradiation. The conditions, however, under which the change in the leakage currents and in both the electrical and dielectric properties occurs in dependence on the parameters of the irradiation have not yet been clarified. The purpose here is to show the effect of $\gamma$-irradiation on the properties of thin Ta$_2$O$_5$ layers (rf sputtered and thermally grown) on Si depending on the technological conditions of films preparation.
5.1. EFFECT OF MICROWAVE RADIATION ON Ta$_2$O$_5$–Si MICROSTRUCTURES: RF SPUTTERED Ta$_2$O$_5$
5.1.1. Experimental procedure
Chemically cleaned $p$-type (15 $\Omega$·cm) Si (100) wafers were used as substrates. Tantalum pentoxide was deposited by reactive sputtering of Ta target in a mixture of Ar and O$_2$ to a thickness $d$ of 30–33 nm. (Only for optical and AFM measurements, in order to verify some thickness-related effects, films with thickness in the 20–65 nm range were used.) Presputtering of the target was carried out in Ar. The details concerning the sample preparation can be found elsewhere [8, 18]. Briefly, the total pressure of the mixture during the deposition was 0.33 Pa and the gas composition was 10% O$_2$ + 90% Ar. The rf power density was 3.6 W/cm$^2$; the distance between the target and the samples was 3.5 cm; the substrate temperature during deposition was 493 K. The electrical characterization of the films was carried out using metal–insulator–semiconductor (MIS) capacitors with rf sputtered W top electrode, deposited through a shadow mask, with areas in the range of 1×10$^{-4}$ ÷ 2.5×10$^{-3}$ cm$^2$. Tungsten was chosen as a metal electrode due to its chemical and thermal stability (it does not react with Ta$_2$O$_5$ below 1100 K [17].) The oxide charge was evaluated from high-frequency (1 MHz) capacitance–voltage (C–V) curves. The dielectric constant $\varepsilon_{\text{eff}}$ was determined from the capacitance at accumulation using the ellipsometrically measured ($\lambda = 632.8$ nm) film thickness. Ramped current–voltage ($I$–$V$) characteristics were used to investigate the leakage current at low and high voltages (HP4145B Semiconductor Parameter Analyzer). The breakdown field $E_{\text{bd}}$ was defined as the average applied field at which the current density through the dielectric exceeds 2×10$^{-3}$ A/cm$^2$. The breakdown voltage of approximately 25 capacitors was measured on each sample (a quarter of 3 in. Si wafer).
The Ta$_2$O$_5$–Si structures with and without metallization (MIS and Ta$_2$O$_5$–Si structures, respectively) were exposed to microwave irradiation in a magnetron ($f = 2.45$ GHz, radiating power of 1.5 W/cm$^2$). The irradiation times $t_i$ were 1, 5 and 10 s. During the exposure the temperature of the samples was close to room temperature. The elemental composition and chemical bonding of the films were analyzed with AES. The distribution of the microscopic nonuniformity in the films before and after irradiation was studied with AFM. For optical properties, the film transmittance in the visible wavelength range (from 400 to 800 nm) was measured for samples deposited onto glass substrate.
5.1.2. Results and discussion
Dielectric parameters and C–V curves
The values of the refractive index for both as-deposited and irradiated layers are in the range of 1.92–2.15, with a very slight (less than 4%) tendency of increasing after irradiation. The C–V data were taken at room temperature for the devices before and after irradiation (Fig. 5.1). The curves were obtained by sweeping the gate voltage from
**Fig. 5.1.** C-V curves at 1 MHz of W-Ta$_2$O$_5$–Si capacitors before (as-deposited Ta$_2$O$_5$) and after microwave irradiation (exposure time $t_i = 1; 5; 10$ s), $d = 33$ nm.
inversion to accumulation at a ramp rate of 50 mV/s. By correlating the accumulation capacitance $C_0$ measured at about $-3$ V and physical thickness of the film, the dielectric constant of 9–10 was obtained for as-deposited films. Recently [5, 8, 26] we have reported that the effective dielectric constant $\varepsilon_{\text{eff}}$ of the rf sputtered tantalum pentoxide shows a thickness dependence ($\varepsilon_{\text{eff}}$ rises with increasing $d$) which corresponds to a two-layer model assuming in-series connected capacitors with the dielectrics Ta$_2$O$_5$ and ultrathin SiO$_2$, respectively. The results agree with the XPS [8, 27] and transmission electron microscopy (TEM) [13] data both demonstrating that a layer of mixed silicon oxides is inevitably formed at the interface with Si during sputtering. The thickness $d_s$ of this interfacial layer as determined by TEM is 2.5 nm, and the values of $\varepsilon_{\text{eff}}$ are affected by its presence. The intrinsic dielectric constant $\varepsilon_t$ of the bulk Ta$_2$O$_5$ assuming a double-layer (Ta$_2$O$_5$–SiO$_2$) model for the system is determined to be 27 for the as-deposited films [5, 8, 26]. For the film thickness investigated here we will focus our attention on the effect of microwave irradiation on the electrical and microstructural properties only. High-frequency $C-V$ measurements were performed using 6.25×10$^{-4}$ cm$^2$ square capacitor patterns. The measurements on smaller (2.25×10$^{-4}$ and 1×10$^{-4}$ cm$^2$) and bigger (2.5×10$^{-3}$ cm$^2$) areas showed similar and consistent results. The as-deposited films show negative values ($-0.54$ to $-0.56$ V) of the flat-band voltage $V_{fb}$ (the work function difference $\varphi_{ms}$ between W and Si is $-0.42$ eV, the work function of the W gate is 4.55 eV [32]), and, respectively, the values of oxide charge are $Q_f = (1.8-2.1)\times10^{11}$ cm$^{-2}$. $Q_f$ for Ta$_2$O$_5$ is attributed mainly to the trapped charges in bulk neutral traps. One can see that the irradiation increases $C_0$ of the capacitors as compared to as-deposited Ta$_2$O$_5$. This increase is not due to the reduced film thickness (we did not detect a change in the physical layer thickness after irradiation), but it is related to the higher value of $\varepsilon_{\text{eff}}$. The smallest value of $\varepsilon_{\text{eff}}$ is obtained for the initial films; after irradiation $\varepsilon_{\text{eff}}$ increases up to 11 and 12 for $t_i = 1$ and 5 s, respectively. There is a slight tendency of $\varepsilon_{\text{eff}}$ decreasing with increasing $t_i$ to 10 s, $\varepsilon_{\text{eff}} \sim 11.5$. The measurements of the effective dielectric constant for samples with the rest electrode areas produced similar results. The deviation of the measured dielectric constant from $\varepsilon_t$ is due to the presence of the ultrathin SiO$_2$-like layer at the interface. Over the irradiation time range, $V_{fb}$ first decreases ($t_i = 1$; 5 s) and then increases slightly remaining smaller than $V_{fb}$ for the non-irradiated samples. ($V_{fb}$ decreases to $-0.37$ and to $-0.3$ V as a result of 1 and 5 s exposure time, respectively; further, for $t_i = 10$ s, $V_{fb}$ shifts to more negative values ($-0.46$ V) indicating generation of positive charge, but still remains below that in the initial non-irradiated samples.) In this way, the oxide charge density decreases after irradiation for the three irradiation times. Generally, $Q_f$ is of $(8-9)\times10^{10}$ cm$^{-2}$ after irradiation but changes its sign (negative for $t_i = 1$ and 5 s and positive for the as-deposited and 10 s irradiated samples, respectively) depending on the value of $(\varphi_{ms} - V_{fb})$. The negative charge density for $t_i = 1$ and 5 s may be due to the OH groups (for example, [Si–OH]$^-$ and/or [Ta–OH]$^-$) in the film formed during irradiation. A shift in flat-band voltage can be attributed generally to oxide charge, mobile charge or interface trapped charge. Since $C-V$ curves after high-temperature ($-473$ K) measurements indicate that there is no measurable change with respect to the room temperature results, the effect of the mobile charge can be neglected. There is no visible change in the sharpness of the $C-V$ curves in the depletion region after irradiation suggesting that the concentration of fast interface states, to a first approximation, is not significantly affected by microwave treatment. This leaves oxide charge term to be accounted for. The presence of an extremely thin SiO$_2$ layer between Ta$_2$O$_5$ and Si may be responsible for the formation of high-quality interface at Si. There are two possibilities for the observed decrease of $Q_f$: a net annealing (real reduction of $Q_f$ as a result of improvement of the oxide parameters) or a partial compensation of the positive charge by a negative one incorporation during the irradiation. Having in mind that usually the electrically active defects in Ta$_2$O$_5$ are oxygen vacancies and the expected annealing effect of microwave irradiation, we are inclined to assume that the process of true annealing is more likely. We speculate that irradiation improves the stoichiometry of the oxide and reduces oxygen vacancies in the
initial film observed as oxide charge. The change of sign of $Q_t$ after 1 and 5 s exposure implies that the eventual irradiation-induced negative charge in tantalum oxide cannot be ruled out completely. The AES results (presented in the next section) indicate, however, improvement of film stoichiometry, in this way implying that the process of real annealing occurs.
When sweeping the voltage from inversion to accumulation and then back to inversion mode, small hysteresis effects of 100 mV were observed in the depletion region suggesting small concentration of slow states. The arrows in the curves (Fig. 5.1) indicate the direction of the hysteresis. Hysteresis in $C-V$ curves is normally attributed to charge trapping in the states located very close to the interface with Si (border or slow states). All samples exhibit a hysteresis behavior; $\Delta V_{th}$ is negative before and after irradiation. The slow state concentration $Q_{s1}$ is estimated to be $\sim 2 \times 10^{11}$ cm$^{-2}$ which is not dependent on irradiation at all (usually these traps are interrelated by the presence of oxygen vacancies in the oxide close to the interface with Si [33]). As is evident from Fig. 5.1, there is no change in the $C-V$ hysteresis suggesting any measurable effect of irradiation on the concentration of carrier-trapping defect sites that contribute to the hysteresis.
**Auger analysis**
A sputter Auger depth profile analysis was used to study the elemental composition of the films studied here. The ion sputter profiling was performed with a 1.5 keV Ar$^+$ ion beam raster over a 6×6 mm$^2$ area at an angle of 78° to the normal of the surface. We used ion energy of 1.5 keV, low enough to give shallow-damaged surface layer [8]. Additional support of this choice is the known fact [34] that 1.5 keV Ar$^+$ ions sputter conventional SiO$_2$ keeping its stoichiometric ratio (ions remove Si and O at a rate very close to 1:2). Our recent results [8, 27] from XPS and Auger depth profiles of thick enough Ta$_2$O$_5$ have shown that the ion-induced damage is not severe for 1.5 keV Ar$^+$. All this supports the assumption that 1.5 keV Ar$^+$ sputtering does not perturb the stoichiometry of the films and the eventual unfavorable effects of the ion beam sputtering should not influence considerably the results obtained, and the data are reliable enough. Figure 5.2 shows Auger profiles of 33 nm Ta$_2$O$_5$ before and after irradiation. The elemental Ta (27 eV), main Ta$_{NNN}$ (176 eV), O and Si peaks were measured as a function of the depth $d_0$ into the film. The Si line was monitored in order to define the Ta$_2$O$_5$–Si interface which was arbitrarily taken to correspond to the point at which the Ta and Si signals crossed (the sputtering rate is $\sim 1$ nm/min). The thickness of the steady-state region (nearly constant intensities of Auger peak-to-peak heights) corresponding to the bulk oxide is approximately 25 nm for the as-deposited films. The composition of the initial oxide is uniform up to the interface transition region: oxygen concentration $\sim 63$ at.% and tantalum concentration $\sim 37$ at.%. The existence of non-oxidized elemental Ta (peak at 27 eV) is not detected indicating relatively effective oxidation process. The bulk composition (O/Ta ratio is 1.7) suggests, however, a deviation from the stoichiometric Ta$_2$O$_5$ and presence of suboxides of Ta, although the layers are homogeneous without remarkable change of the chemical composition through the depth (Fig. 5.2a). The formation of a transition region at the Si consisting generally of Si, Ta and O atoms is observed: oxygen atoms bonding in tantalum oxide (176 eV peak position) and silicon oxide (peak at 76 eV) are detected. The interface width $W_1$ is defined as a region over which the oxygen profile changes from 0.9 to 0.1 of its steady-state value by analogy with the common practice for the Si–SiO$_2$ system. The definition of $W_1$ should be considered only as a qualitative characteristic of the layer, because the correct extraction of the layer parameters from Auger profiles needs the knowledge of the exact influence of the matrix elements and the different artefacts. At present there is no common standard for determination of the interface width from the Auger depth profiles of two-component materials and in particular of high-$k$ dielectrics. Having this consideration in mind, $W_1$ is found to be 12 nm, and about 8 nm from $W_1$ is situated in Si substrate (Fig. 5.2a). Here we will not discuss all effects which impact the $W_1$ and especially the argon bombardment. We will focus only on the influence of the irradiation on the depth profiles and the
relative changes of $W_i$, respectively. The interface is relatively broad for the as-deposited films. The depth profile shows presence of a thin SiO$_2$ layer in the interfacial region. The signal (of negligible intensity) corresponding to Si bonded in silicon oxide appears at 25 nm from the surface. Further it increases slightly and reaches its maximum value ($\sim 7$ at.\%) at $d_0 = \sim 35$ nm, then rapidly loses its intensity to $\sim 2$ at.\% at $d_0 = 35-40$ nm, i.e., the interface transition region penetrates in the substrate itself. This is associated with some unavoidable effects of ion sputtering despite relatively low energy of Ar$^+$ ions. A part of the oxide species in the transition region consists probably of knock-on implants [35] driven into the relatively conductive silicon matrix during the sputtering. This effect may result in the fact that some of the observed Ta–O and Si–O bonds in the interfacial region are not present before sputtering but are produced by the sputtering itself. Thus, part of the substrate appears to mimic oxides (tantalum and silicon) which manifests in an artificial broadening of the transition region. Having this in mind we assume that the real interface region, all the same, extends from $d_0 \sim 27$ nm to $d_0 = 33$ nm, where we define the interface, i.e., the estimated $W_i$ is about 6 nm. The thickness of SiO$_2$ as determined by XPS and TEM [8, 13, 27] is 2.5–3 nm for the layer thickness studied here. The disagreement with the value of $W_i$ is related to the definition of $W_i$ itself: $W_i$ involves not only a net thickness of SiO$_2$ detected by TEM but also parts of both interfaces Ta$_2$O$_5$–SiO$_2$ and SiO$_2$–Si which are not abrupt. After 1 and 5 s irradiation, the stoichiometry of the bulk oxide is improved and the interface becomes somewhat more abrupt. The atomic concentration ratio of the oxygen and tantalum (in the steady-state regime which defines bulk oxide and is characterized by constant intensities) is 1.9 and 2.45 for $t_i = 1$ and 5 s, respectively (Fig. 5.2b). The signal associated with silicon oxide(s) is missing, i.e., the irradiation changes near-interfacial composition and $W_i$ is about 5.5 nm. The concentrations of Ta and O reduce gradually down to a minimum at $d_0 \sim 37$ nm for $t_i = 1$ s and at $d_0 \sim 33$ nm for $t_i = 5$ s. The results clearly imply more perfect microstructure of both the bulk oxide and the interfacial layer after irradiation. The structural modifications are related to chemical changes: the stoichiometry of the bulk oxide is better and the amount of suboxides of Ta and Si in the interface region decreases; the measurable signal due to SiO$_2$ is not detected and the width of interface transition region slightly decreases. With increasing $t_i$ up to 10 s, broadening of the interface
region is observed. However, the value of $W_1$ typical of the as-deposited film is not reached. The stoichiometry of the bulk oxide changes for the worse (O/Ta ratio concentration is 2). A relatively small deterioration of the quality of the bulk oxide as well as interfacial region emerges. In this way, we have evidence of optimal irradiation time in the terms of annealing, namely, about 5 s. We speculate that longer irradiation time stimulates undesirable degradation processes resulting in various structural imperfections (broken and/or strained Ta–O and Si–O bonds). The shape of O, Ta and Si concentration profiles does not significantly change during the exposure. The quality of the bulk and the interfacial region, however, tends to become poorer with increasing $t_1$ above 5 s. It seems that the increase of exposure time above $\sim$5 s degrades slightly stoichiometry of the Ta$_2$O$_5$ films in the terms of AES analysis. That is why we interpret the data for $t_1 = 10$ s as an indication of an initial stage of degradation of the films.
**I–V curves and conduction mechanisms**
The typical room temperature $I$–$V$ curves taken before and after microwave treatment are shown in Fig. 5.3 for the samples with an electrode area of $6.25 \times 10^{-4}$ cm$^2$ and with the gate positively and negatively biased, respectively. (There is no contribution due to ramp voltage-induced displacement current in the Figure.) The leakage current characteristics did not show a difference from capacitor to capacitor on the same wafer. The effect of irradiation on the curves for samples with the rest capacitor areas is similar. The results presented (here and further) are reproducible from sample to sample and reflect the specific effects of irradiation. One can see that there are only slight differences between the current of positive and negative polarities of as-deposited films. The films show a low leakage current density, $J \leq 10^{-6}$ A/cm$^2$, up to about $\pm 1$ V applied voltage, and above this voltage, the current increases monotonically. The current might originate from non-perfect stoichiometry (presence of suboxides, as indicated by the Auger depth profile). After irradiation, the leakage current decreases and becomes strongly dependent on gate-bias polarity. The current lowers about one order after 1–5 s irradiation (Fig. 5.3) when the electrode is biased negatively (i.e., a forward bias is applied to form an accumulation layer on Si). The increase of $t_1$ up to 10 s has no further significant effect on the curves. The current density vs the electric field $E$ across the dielectric film is shown in Fig. 5.4a (the gate electrode is negatively biased; p-Si surface is in accumulation and the entire applied electric field appears across the oxide; exposure time is a parameter). As is seen, 1 s irradiation reduces $J$ by an order of magnitude in the whole applied field range studied (up to $\sim 1.1$ MV/cm). For longer exposure times the irradiation is beneficial in the terms of leakage current only for low electric fields ($\leq 0.35$ MV/cm). $J$ reduces with increasing $t_1$ from 1 to 5 s and further $J(E)$ dependence does not change any more with increasing $t_1$ up to 10 s. The lowest leakage current density is measured for the 5 s irradiated samples, resulting in a value of $\sim 10^{-10}$ A/cm$^2$ at $E$ of 0.1–0.3 MV/cm. The $I$–$V$ curves for $t_1 = 10$ s are almost the same as those of 5 s irradiated films. Obviously irradiation times of about 5 s are effective for reduction of leakage current, i.e., the data confirm the Auger spectra results for the existence of optimal exposure time in the
The 20–65 nm Ta$_2$O$_5$ films were examined with XRD technique for evidence of crystallinity. Both types of the films (as-deposited and irradiated ones) were x-ray amorphous. This means that there is no indication of irradiation-induced crystallization effect in Ta$_2$O$_5$ and all the characteristics studied here correspond to amorphous layers. Having in mind the Auger data, the improvement of $I-V$ characteristics after irradiation could be attributed to decrease of the contribution of suboxides and increase of the stoichiometric ratio up to 2.45, which is very close to that typical of Ta$_2$O$_5$. The detected improved parameters of the interfacial transition region also cause the decrease of the leakage current. The irradiation provides also lower leakage current for reversely biased electrode at relatively high (> 0.7 V) bias (Fig. 5.3, positive applied voltage at the gate) when electrons are injected from the substrate. The current is virtually independent of $t_i$, having saturated value of $5 \times 10^{-7}$ A/cm$^2$ for applied voltages from about 70 mV up to 4 V. For the as-deposited films, the electrons injected from the Si tunnel through the SiO$_2$ to the bulk traps in Ta$_2$O$_5$, i.e., the conduction is combined by the tunneling mechanisms (Fowler–Nordheim or direct tunneling) in the SiO$_2$ and the Poole–Frenkel (PF) effect in the Ta$_2$O$_5$. This can explain the existence of higher leakage current compared to the irradiated ones and the absence of abrupt current increase as well. This is also an electrical manifestation of the weakness of the interfacial region at Si. The weakness is related to the classical interfacial defects such as dangling bonds as well as to a strained and imperfect SiO$_2$. The interfacial layer detected by AES analysis is in fact not “ideal” stoichiometric SiO$_2$ because Si is not perfectly oxidized due to the spontaneous oxidation during sputtering in active oxygen ambient. The incompletely oxidized Si contributes also to the increase of the overall conductivity of the dielectric. The lower leakage current at higher voltages for the irradiated films is associated generally with improvement of the quality of this stack dielectric in a good accordance with the Auger data. The current increase at small applied voltages, after irradiation, could be a result of redistribution of the field in Ta$_2$O$_5$ and interfacial transition region. An additional study, however, of the
**Fig. 5.4.** Capacitor leakage current density vs applied electric field (a) and $E_{\text{eff}}$ (b) curves before and after microwave irradiation, $d = 33$ nm (negative applied voltage at the gate).
current due to electron injection from Si through interfacial layer into Ta$_2$O$_5$ (reverse gate bias), is needed. As a tendency there is no difference in the $J-V$ curves with varying $t_i$, in the positive voltage range studied. This means that there are some kinds of electrically active defects in the initial films acting as a leakage current enhancement factor, which are annealed even after 1 s irradiation; further their behavior does not depend on the irradiation duration.
In order to compare the characteristics of Ta$_2$O$_5$ with those of SiO$_2$, the effective field strength $E_{\text{eff}}$ is calculated as $\tilde{E}_{\text{eff}} = V/d_{\text{eq}}$. Here $d_{\text{eq}}$ is the equivalent oxide thickness, therefore $E_{\text{eff}}$ is determined assuming that the film consists of a single layer having a dielectric constant of SiO$_2$. Figure 4.b shows $J$ vs. $E_{\text{eff}}$ for the as-deposited and irradiated films (the capacitor is in the accumulation mode). The equivalent film thicknesses are $d_{\text{eq}}^0$ (before) and $d_{\text{eq}}^i$ (after irradiation). The effective field strength was calculated using the measured parameters $\varepsilon_{\text{eff}}$ and $V$, $E_{\text{eff}} = \varepsilon_{\text{eff}} V/\varepsilon_s d$; $d$ represents the total, physical thickness of the film, and $\varepsilon_s$ is the dielectric constant of SiO$_2$. The layers show improved $J(E_{\text{eff}})$ characteristics after irradiation ($J \sim 10^{-8}$ A/cm$^2$ for $E_{\text{eff}}$ up to 1 MV/cm, and below $10^{-6}$ A/cm$^2$ for $E_{\text{eff}} = 1-1.5$ MV/cm), i.e., the irradiated films have potential for deep submicron application in the terms of leakage current: the lowest leakage current density, $J \sim 10^{-10}$ A/cm$^2$ ($E_{\text{eff}} \sim 0.5$ MV/cm) corresponds to 5 or 10 s irradiated layer ($d_{\text{eq}}^i = 10.8$ nm) and in this sense $t_i = 5$ s might be a beneficial annealing time for DRAM applications. Generally, our results suggest that the poor-oxidation-related defects are the dominant factor in the leakage current for as-deposited films and the irradiation stimulates better oxidation, resulting in improvement of the dielectric properties and $I-V$ characteristics. The SiO$_2$ equivalent thickness for the as-deposited films is about 14.5 nm. The irradiation gives the benefit of reducing the $d_{\text{eq}}^i$, namely, $d_{\text{eq}}^i = 11.5$ and 10.8 nm for $t_i = 1$ and 5–10 s, respectively, indicating improved quality of the Ta$_2$O$_5$–Si system as a whole. The lowest $d_{\text{eq}}^i$ in this comparison is for 5–10 s irradiated samples, i.e., $d_{\text{eq}}$ values decrease with $t_i$ keeping all the same high values. The total thickness of the films is not changed and the signal corresponding to SiO$_2$ in Auger spectra after irradiation is missing completely, for all $t_i$. That is why we may rule out an additional oxidation of Si during irradiation with subsequent influence of SiO$_2$ thickness on the voltage distribution and the leakage current value. Then, the improvement of the leakage characteristics for irradiated layers can be explained with repairing of the stoichiometry of the initial oxide, as well as enhancement of the interface properties mainly due to the improved interface at Si. The tendency of “stopping” of leakage current improvement after 10 s irradiation can be due to the change of the mechanism of interaction of radiation with the Ta$_2$O$_5$–Si system, namely, from annealing to degradation, according to the AES data, for longer irradiation times. This change probably depends in a complex manner on the thickness and microstructural status (chemical bonds, imperfect bonds, suboxides) of the initial layer.
Now we will discuss the conduction mechanisms of Ta$_2$O$_5$ layers before and after irradiation. The possible conduction mechanisms of the leakage current may be due to several mechanisms including Schottky emission and the PF effect. If PF mechanism is assumed, the current through the dielectric is
$$J = C_t E \exp \left\{ -q \left[ \Phi - \left( qE / \pi \varepsilon_0 k_r \right)^{1/2} \right] / k_B T \right\}$$ \hspace{1cm} (5.1)
Here $C_t$ is a trap concentration related constant, $E$ is the electric field, $\Phi$ is the barrier height of bulk traps, $\varepsilon_0$ is the vacuum permittivity, $k_r$ is the dynamic dielectric constant, $k_B$ is the Boltzmann constant and $T$ is the absolute temperature. The current governed by the Schottky emission is described by the Richardson–Dushman equation:
$$J = AT^2 \exp \left[ 1/k_B T \left( q^3 E / 4\pi \varepsilon_0 k_r \right)^{1/2} \right],$$ \hspace{1cm} (5.2)
$$A = C_{RD} \exp (-\varphi_b / k_B T)$$ \hspace{1cm} (5.3)
$C_{RD}$ is the Richardson constant, $\varphi_b$ is the Schottky barrier height). In order to distinguish these two mechanisms, the $I-V$ curves (forward gate bias) are expressed in the scale $J/E$ vs. $E^{1/2}$ (Fig. 5.5) and $J$ vs. $E^{1/2}$ (Fig. 5.6), respectively. The linearity of the plots in the certain field regions of Fig. 5.5 is consistent with a PF transport limitation,
Fig. 5.5. The Poole–Frenkel plot of the $\text{Ta}_2\text{O}_5$ film (33 nm) before and after microwave irradiation.
and from the slope of the straight lines we have determined the values of $k_r$: 2.9 and 1.1 for the as-deposited films in the fields range 0.1–0.6 and 0.6–0.8 MV/cm, respectively. Therefore, we suggest that the PF effect is operating in the field region 0.1–0.8 MV/cm. After irradiation, when $t_i = 1$ s, $k_r = 2.1$ and 4.7 for fields of 0.2–0.8 MV/cm and 0.8–1.1 MV/cm, respectively. The same mechanism is observed for $E \sim 0.4–0.9$ MV/cm ($k_r = 6.4$), for 5 and 10 s irradiated samples. As is well known, however, only a self-consistent dynamic dielectric constant can ensure that current conduction is due to the PF effect. Taking this into account it is clear that the obtained low $k_r$ values deviate from the optical dielectric constant $\varepsilon_{\text{opt}}$ (typically < 5 [36]) and are not consistent with the “net” PF process, regardless the fact that at a first glance the symmetry of the $I–V$ curves for as-deposited films (Fig. 5.3) implies for domination of a bulk-limited conduction process. This indicates that other mechanisms exist for the layers with low $k_r$. Therefore, only for the layers with $k_r = 4.7$ and 6.4 (in fact irradiated samples), i.e., $\varepsilon_{\text{opt}} \leq k_r < \varepsilon$ (1 MHz), the PF effect dominates the current at applied fields of about 0.4–1.1 MV/cm, and the relation with the refractive index ($n_r = \sqrt{k_r}$ is about 2.2) is also accurate. In all other cases the values of $k_r$ are not consistent with the value of $n_r$, which rules out the PF effect at the fields mentioned above. $\varepsilon$ (1 MHz) is the static dielectric constant of the samples.
Figure 5.6 is the Schottky plot of the films before and after irradiation. As can be seen, when the top electrode is negatively biased ($-V_g$), i.e., the electrons are injected from the gate, the current of the as-deposited films can be well fitted by $\ln J$ vs. $\sqrt{E}$ (three straight sections of the curve), indicating that the conduction is Schottky emission in low and medium field regime (0.05–0.9 MV/cm). Combining the data from Figs. 5.5 and 5.6, we can conclude that for the initial films, the leakage current is dominated by Schottky emission at both low and medium electric fields. After microwave process the mechanisms of the leakage current have some variations: (i) the current is controlled by the Schottky effect at low electric fields and by the PF emission at medium fields (0.4–1.1 MV/cm); (ii) at very low electric fields, up to 0.15 MV/cm, the current is constant for 1 s irradiated samples, Figs. 5.4a and 5.6. The
rapid change of the conduction mechanism for 5–10 s treated films is observed at $E \sim 0.3$ MV/cm. This change of the conduction mechanism for the irradiated samples when varying the electric field and the data after irradiation can be best interpreted in the terms of transition from an electrode-limited to bulk-limited mechanism.
The data suggest that the conduction mechanism is highly dependent on the technological conditions. The fact that Schottky emission controls the current in the voltage region which is the working one for high-density DRAMs could have technological implementation, because the leakage current could be further decreased by using an electrode material with a higher work function than that of W. There are two dominant conduction mechanisms (in the field range of $\sim 0.4–1$ MV/cm) for the films with different technological history, namely: Schottky emission limited current for as-deposited as well as 1 s irradiated films and the PF mechanism for 5 and 10 s irradiated films (Figs. 5.5 and 5.6), i.e., the conduction mechanism is related to the concentration of charged defects in the films. A transition from Schottky to PF conduction process occurs after longer $t_i$ indicating irradiation-induced electrically active defects. (The next step for accurate conduction mechanism identification is to study the temperature dependence of the leakage current which is our future task.) Generally, the results here confirm the AES data where we observed clear evidence of worsening of the film microstructure after 10 s irradiation. Now, combining these two types of investigations we conclude that the critical exposure time is about 5 s when a change of the irradiation process from annealing (desirable) to degradation (undesirable) one takes place. The presence of interfacial SiO$_2$-containing layer leads to a reduction of $\varepsilon_{\text{eff}}$ and to a modification of the conduction mechanism of the double structure; due to the presence of SiO$_2$, a high electric field exists (even at low applied voltages), across SiO$_2$ superior to the field in Ta$_2$O$_5$ [37]. Our data show that there are two mechanisms mainly governing the conductivity: (i) Schottky emission above the potential barrier for the initial films in the whole applied field range investigated as well as for irradiated films at low and medium fields, and (ii) PF mechanism, i.e., bulk-traps-assisted transport from cathode (W electrode) to anode (Si substrate) for irradiated layers at higher fields; with increasing $t_i$ the PF mechanism is detected at lower applied fields. The electrons released from the trap levels in Ta$_2$O$_5$ can also contribute to the current, i.e., the current component corresponding to tunneling of trapped electrons to the insulator conduction band. The nature of the traps, according to the Auger analysis, is structural imperfections and suboxides. In general, other mechanisms (direct and/or Fowler–Nordheim tunneling) can also contribute to the current. Their relative contributions depend on the applied field and the concentration of traps as well as on the SiO$_2$ to Ta$_2$O$_5$ thickness ratio. The irradiation anneals the electron traps such as oxygen vacancies and strained bonds, and we detect a reduction of leakage current for irradiated samples. This is accompanied with an increase of $\varepsilon_{\text{eff}}$ due to the removal of structural defects present in Ta$_2$O$_5$. It should be emphasized, however, that the concentration of these bulk traps is low enough before as well as after irradiation. This can explain the domination of the Schottky-type mechanism observed for both as-deposited and 1 s irradiated samples - the microwave treatment anneals some kind of defects resulting in a leakage current reduction but this process is not related to changing of the mechanism of conductivity at fields close and below 1 MV/cm. Additionally, by combining AES and $I-V$ data we can conclude that only a fraction of defects introduced during 10 s irradiation, according to the Auger analysis, are “active” or “effective” in causing an increase of current. Obviously their effect on the leakage current is negligible and therefore the $I-V$ curves for $t_i = 10$ s are almost the same as those of 5 s exposed films. This might result from the different energy levels of the defects or from their different physical and/or chemical nature depending on $t_i$.
**Breakdown fields**
One can see from the $I-V$ characteristics that after irradiation there is a general shift of the curves (at forward bias polarity) to higher voltages, indicating an increase of breakdown fields. Figure 5.7 illusFig. 5.7. Breakdown histograms of the Ta$_2$O$_5$ film (33 nm) before and after microwave irradiation.
Figures 5.6 and 5.7 illustrate the breakdown electric field $E_{\text{bd}}$ characteristics of the capacitors (biased in the accumulation mode) before and after microwave treatment. The main fraction of capacitors for the initial films breaks down in the 0.1–0.5 MV/cm field range. The characteristics of the irradiated layers are better than those of the as-deposited ones. $E_{\text{bd}}$ slightly increases with $t_i$, implying that the longer irradiation time is beneficial in the terms of breakdown characteristics. We correlate the improvement of $E_{\text{bd}}$ with an improvement of both the bulk oxide stoichiometry and interfacial parameters and with general densification of the layers too. The results are consistent with the leakage current reduction after irradiation. Additional information here, however, is that the longest $t_i$ used is beneficial for breakdown fields regardless of the fact that an effect on leakage current at low and medium applied fields is missing. In spite of small (5%) intensity, the maximum $E_{\text{bd}}$ after $t_i = 10$ s is surprisingly high (14–17 MV/cm). For all irradiated samples the breakdown frequencies are distributed randomly. The distribution of breakdowns for 1 s treated samples is characterized with a main peak (at 1 MV/cm) of 30% intensity and peaks of 10–15% intensities at higher (2–6 MV/cm) fields. There is a weak tendency for an increase of high-field breakdowns with increasing $t_i$. Their intensities, however, remain low for all treated samples, including the main peak at 11–12 MV/cm after 10 s irradiation. The physical understanding of breakdown in Ta$_2$O$_5$ is still under research, but generally it is related to the microscopic properties of Ta$_2$O$_5$ and interface with Si, and in this context it is associated with broken and/or strained bonds [1, 3, 21]. The breakdown data are consistent with the main results deduced from the $I-V$ and $C-V$ measurements – they indicate that microwave treatment efficiently lowers the defect concentration and leads to an improvement of $E_{\text{bd}}$.
At the end of this subsection it should be noted that the preliminary experiments indicate that after microwave annealing (for about 5–7 s), the characteristics of capacitors are stable enough after long (1 year) staying at air. The degradation of a number of important films-related parameters (dielectric constant, oxide charge, concentration of both slow and interface states, breakdown fields) is no more than 5% (to within the experimental errors) as compared with the initial values. So it emerges that the stack capacitor is thermodynamically more stable after microwave irradiation after which only negligible variations of its parameters with time are observed.
**Surface roughness parameters and transmittance spectra**
The AFM images of the films were analyzed and two roughness parameters were calculated: the root-mean square (RMS) surface roughness and maximum difference ($Z_{\text{range}}$) between the highest and the lowest points in the scan range. Our AFM analysis for a 1×1 μm$^2$
Table 5.1. RMS roughness of a $1 \times 1 \mu m^2$ area of the surface of $\text{Ta}_2\text{O}_5$ films on Si (before and after microwave irradiation).
| Film thickness (nm) | As-deposited film | After irradiation, $t_i$ (s) |
|---------------------|-------------------|-----------------------------|
| | | 1 | 5 | 10 |
| 20 | 0.092 | 0.107 | 0.113 | 0.121 |
| 25–30 | 0.127 | 0.143 | 0.091 | 0.147 |
| 50 | 0.128 | 0.150 | 0.102 | 0.154 |
| 55 | 0.140 | 0.156 | 0.101 | 0.146 |
| 60–65 | 0.157 | 0.197 | 0.155 | 0.211 |
area of the as-deposited films (thickness in the range of 20–65 nm) on Si shows that the surface is reasonably smooth, with rms values in the range of 0.092–0.157 nm. The representative micrographs of the surface morphology for the initial films are shown in Fig. 5.8. The quantitative data of rms variation with irradiation time and thickness are summarized in Table 5.1.
One can see that the roughness of the as-deposited films increases slightly with their thickness. The rms surface roughness increases (very weakly) as a result of 1 s irradiation. The effect of 5 s irradiation may be different depending on the surface characteristics before irradiation, which are actually related to the film thickness. If the surface of the initial film is smooth enough (the thinnest $\text{Ta}_2\text{O}_5$), it becomes more rough: its rms increases slightly as compared with the value before microwave treatment; 5 s irradiation has beneficial effect on the surface with some level of roughness (i.e., the surface which is not smooth enough, typical of thicker $\text{Ta}_2\text{O}_5$), namely, the rms roughness decreases and the surface becomes smoother. The 10 s irradiation increases the rms roughness in comparison with the values of the initial layers for all the thicknesses studied. The structure morphology is dominated by grains 10–20 nm in diameter, about 1 nm in height and which are randomly scattered every few micrometers over the wafer surface. Generally, the irradiation acts as micro-structuring process and changes the surface morphology: an improvement of surface quality occurs after
Fig. 5.8.(a,b,c) AFM 3D topography of as-deposited $\text{Ta}_2\text{O}_5$ on Si, with different thicknesses $d$: 20 (a), 50 (b) and 65 nm (c). The average roughness $R_a$ and the RMS roughness $R_q$ are shown. X:Y:Z = 1:1:30.
$t_i = 5$ s and a degradation after $t_i = 1$ and 10 s, i.e., there is again evidence of annealing effect of 5 s irradiation, here in the terms of surface morphology. This can be attributed to relaxation of mismatch stresses between the Si substrate and the deposited film as well as improvement of the stoichiometry of the film (as demonstrated by the AES data). It should be noted that all radiation-induced changes of surface morphology (decrease or increase of rms roughness depending on $t_i$) are small and as a matter of fact both the as-deposited and irradiated films are smooth enough (the irradiated films have roughness similar to that of the initial ones). The irradiation does not affect also the thickness dependence of rms values detected for the as-deposited layers – the surfaces of thinner films are smoother than those of thicker ones before and after irradiation. The thickness-related morphology phenomena are probably an attribute of sputtering process itself and it needs additional special study. As far as the films are amorphous before and after treatment, the surface structure at 1 and 10 s irradiations (rms value increases) does not reflect crystallization process during irradiation. Additionally, for AFM evaluation the Ta$_2$O$_5$ films on Si are used, and respectively the irradiation acts directly on the surface of the Ta$_2$O$_5$ in contrast to irradiation of MIS structures (metal gate on Ta$_2$O$_5$) used for the electrical measurements. This peculiarity should be taken into account when comparing and combining the data of AFM with those of the electrical experiments.
Now we will focus on the films deposited onto glass which are the basis for optical measurements. The initial films with $d = 20–50$ nm have smooth surface with $Z_{\text{range}}$ values of 1.101 and 1.906 nm, respectively; rms surface roughness is found to be nearly constant (0.235 nm) for this thickness range. The thicker films (55–65 nm) have rough surface with a $Z_{\text{range}}$ value of 2.546 nm and rms roughness of 0.387 nm. The surface structure (not shown here) is dominated by mounds that are approximately 20–30 nm in diameter, and are randomly scattered. The irradiation, however, acts as microstructuring process only for the thinnest films (20–30 nm): a relatively sharp increase of rms value is observed (by a factor of 3 and 5 at $t_i = 1$ s and $t_i = 5$ or 10 s, respectively). The irradiated surface is covered with a quasi-ordered array of conical-like microstructures (Fig. 5.9) with randomly distributed areas ranging from 80 to 300 nm in diameter. The surface morphology of the films thicker than 30 nm is not changed by microwave treatment at all. Obviously, the microstructure and surface morphology of sputtered films on glass are different from those of deposited films on Si, and, respectively, the effect of irradiation is also different.
Figure 5.10 shows transmittance spectra of as-deposited films with various thicknesses (25–65 nm). All the transmittance values are above 50% in the 400–800 nm wavelength range, and their dependence on $d$ reveals the expected higher density of thicker films. The microwave treatment changes only the spectrum of the thinnest film: at $t_i = 1$ s the transmittance decreases significantly over the whole wavelength range (the spectrum corresponding to $t_i = 5$ s is almost the same); after 10 s irradiation, the spectrum is indistinguishable from that typical of the initial, non-irradiated film. Roughly speaking (having in mind incompleteness of these kind of experiments), we have again evidence of a tendency toward parameters improvement of 20–30 nm thick layers, whose thicknesses are of practical interest, after short-time (1–5 s) microwave irradiation.
In summary, the results presented above allow to draw the following conclusions: microwave irradiation at room temperature can be used as an annealing post-deposition process of thin sputtered Ta$_2$O$_5$
films on Si, for achieving parameters required for storage capacitor application in DRAMs. The study indicates an annealing window of about 5 s exposure time which results in (i) improved stoichiometry of bulk oxide (O/Ta ratio reaches the values typical of ideal Ta$_2$O$_5$); (ii) better parameters of interfacial transition region at Si and more smooth film surface. Obviously the microwave treatment stimulates oxidation reactions in the as-deposited rf sputtered films and in this way is responsible for reduction of suboxides (in the interfacial transition region too) resulting in: lower oxide charge densities; higher dielectric constant; lower leakage current and better breakdown characteristics, i.e., the net effect of the irradiation is a real annealing of the parameters of Si-sputtered Ta$_2$O$_5$ system. The process is not accompanied either by an additional oxidation of Si substrate or by crystallization effects in Ta$_2$O$_5$ (almost insuperable problems in the course of high-temperature annealing processes of high-$k$ materials). This effect of microwave irradiation is related in fact to its main advantage as an annealing process – a minimal thermal budget (extremely small exposure times at room temperature). In this sense, *the microwave irradiation appears to offer significant promise toward replacement of high-temperature processes as an annealing step for high-$k$ insulators*.
As is known for most industrial applications, high-temperature processes should preferentially be avoided for these materials. In the same context, we plan an investigation of the electrical properties of the films irradiated before metallization, to check the suitability of the process as a post-deposition annealing. The observed irradiation-induced improvement of the films microstructure and their surface morphology motivate for such kind of experiments. A future work should be also aimed at optimization of irradiation times for annealing of thinner Ta$_2$O$_5$ films, in order to meet the demands of nanoscale technology.
### 5.2. EFFECT OF MICROWAVE RADIATION ON Ta$_2$O$_5$–Si MICROSTRUCTURES: THERMAL Ta$_2$O$_5$ ON Si
#### 5.2.1. Experimental procedure
The $p$-Si (100) substrates (resistivity of 15–17 Ω·cm) were 2 in. in diameter. After a conventional chemical cleaning of the wafer, tantalum films were deposited onto Si by rf sputtering (13.56 MHz) of tantalum target (a plane magnetron cathode Leybold Heraus type system; 99.99% purity of the target) in the Ar atmosphere. Before deposition the chamber was evacuated to a pressure of $2 \times 10^{-7}$ Pa. The working gas pressure was 3 Pa, the rf radiating power was 2.2 W/cm$^2$ and the deposition rate was 9 nm/min. The distance between the target and substrate was 3.5 cm. The substrates were not intentionally heated during Ta deposition and presumably remained at a temperature close to room one). Subsequently, the Ta films were oxidized at 823 K in dry O$_2$ at atmospheric pressure; O$_2$ flow rate was 5 l/min. The oxidation was performed in a standard oxidation furnace. It was suggested that the oxidation temperature was low enough, so oxidation of the silicon substrate was negligible and tantalum silicide formation seemed unlikely. The Ta$_2$O$_5$ layer thickness was determined using ellipsometry ($\lambda = 632.8$ nm).
The $\text{Ta}_2\text{O}_5-p-\text{Si}$ structures (thickness of $\text{Ta}_2\text{O}_5$ layer being 16, 20 and 24 nm) and MIS structures were exposed to magnetron microwave radiation (frequency $f = 2.45$ GHz, radiating power of 1.5 W/cm$^2$, processing duration of 10 s).
The ER spectra have been measured before and after microwave irradiation of the $\text{Ta}_2\text{O}_5-p-\text{Si}$ structures. From these spectra we calculated the values of the threshold energy $E_g$ and collision line-broadening parameter $\Gamma$. The latter carried information on structural state of the $\text{Ta}_2\text{O}_5-p-\text{Si}$ heteroboundary (the collision line-broadening parameter decreases when the interface becomes more perfect). For similar structures we measured, both before and after microwave irradiation, the curvature radius with a standard profilometer. Talyrond traces were registered on the $\text{Ta}_2\text{O}_5$ film side. The curvature radius $R$ was determined with arm of curvature $l$ on arc chord $m$ from Talyrond trace:
$$R = \frac{m^2}{8l}.$$
(5.4)
The intrinsic stress value $\sigma$ was estimated from the Stone formula:
$$\sigma = \frac{Yd^2}{6(1 - \nu)Rd_{\text{sub}}},$$
(5.5)
where $d$ is the $\text{Ta}_2\text{O}_5$ film thickness; $R$ is the curvature radius; $Y (=1.3\times10^{11}$ N/m$^2$ [38, 39]) is the Young’s modulus of Si (100) substrate; $d_{\text{sub}}$ is the substrate thickness; $\nu = 0.278$ is the Poisson ratio of Si substrate.
### 5.2.2. Results and discussion
The results of measurements of the curvature radii and intrinsic stresses before and after microwave irradiation for 10 s are given in Table 5.2. Our measurements of the radius of curvature $R$ have shown that tensile ISs appeared in the $\text{Ta}_2\text{O}_5$ film on the Si substrate, while compressive stresses were present in the Si substrate at the interface. In this case one should expect that the Si gap $E_g$ in the heterosystem is below that in the starting (without $\text{Ta}_2\text{O}_5$ film) substrate [40].
One can see from Table 5.2 that there are strains in all basic structures: the $\text{Ta}_2\text{O}_5$ film is expanded and the Si substrate is compressed.
| Layer thickness, nm | Duration, s | Flexure | $l$, nm | $M$, nm | $R$, m | $\sigma$, $10^9$ N/m$^2$ |
|---------------------|-------------|------------------|---------|---------|--------|--------------------------|
| 16 | 0 | Concave low profile | 70 | 1 | 38.3 | 5.7 |
| | 10 | | 70 | 0 | $\infty$ | 0 |
| 20 | 0 | Concave low profile | 68 | 1 | 36.1 | 5.9 |
| | 10 | | 68 | 0 | $\infty$ | 0 |
| 24 | 0 | Concave | 67 | 1 | 35.1 | 6.1 |
| | 10 | Concave | 76 | 0 | 45.1 | 4.7 |
| MIS | 0 | Concave low profile | 72 | 1 | 40.5 | 0 |
| | 10 | | 74 | 0 | $\infty$ | 0 |
After microwave irradiation of the samples ($\text{Ta}_2\text{O}_5$ film thicknesses of 16 and 20 nm), intrinsic stress relaxation occurred and, as a result, the heterostructures became relaxed. In the sample with 24 nm $\text{Ta}_2\text{O}_5$ film, the curvature radius increased and $\sigma$ value decreased after microwave treatment.
The results of ER spectra measurements for $\text{Ta}_2\text{O}_5-p-\text{Si}$ structure with $d = 20$ nm in the 3.1–3.7 eV spectral range are shown in Fig. 5.11 and Table 5.3. After microwave irradiation the system became flat ($R = \infty$) and Si gap increased; the collision line-broadening parameter $\Gamma$ decreased by a factor of 1.3 (see Table 5.3). The corresponding ER spectra of the Si substrate at the interface (transition at the center of the Brillouin zone) are given in Fig. 5.11.
The results obtained indicate IS relaxation and structural ordering of the $\text{Ta}_2\text{O}_5-p-\text{Si}$ interface due to microwave processing. It also led to a decrease of the collision line-broadening parameter $\Gamma$ and increase of electron energy relaxation time $\tau = \hbar / \Gamma$, as well as mobility of the photo-excited charge carriers.
According to the data obtained from the ER spectra, the above effect of structural ordering also took place in structures with $\text{Ta}_2\text{O}_5$ film thicknesses of 16 and 24 nm. In the last case the effect was essentially smaller than it was in the two other cases.
Fig. 5.11. Electroreflectance spectra from Si substrate in the Ta$_2$O$_5$–p–Si system (3.1–3.7 eV spectral range): 1 – initial sample (before microwave processing); 2 – after microwave processing.
It should be noted that in the initial samples the $E_g$ value decreased when the Ta$_2$O$_5$ layer thickness increased. The effect was due to increase of intrinsic compression stresses in silicon substrate. This is confirmed by decrease of curvature radius (see Table 5.2). For all the samples, however, the microwave treatment led to $E_g$ increase as compared to the initial value.
The results of ER spectra measurements for Ta$_2$O$_5$–p–Si structure (Ta$_2$O$_5$ film 20 nm thick) in the 3.7–5.0 eV spectral range are presented in Fig. 5.12 and Table 5.4. The spectrum near 4.1 eV describes the energy transition for Si substrate at the Brillouin zone edge (point X). An increase of $E_g$ after microwave irradiation (caused by IS relaxation) and considerable decrease of $\Gamma$ are observed. These facts confirm the above conclusions about Si structural ordering at the Si interface due to microwave irradiation. There is also another transition near 4.3 eV in the ER spectrum (Fig. 5.12). We relate it to the presence of Ta$_2$O$_5$ film on Si surface. One can see from Table 5.4 that this transition energy also increases after microwave irradiation. This confirms IS decrease in the film. But $\Gamma$ value has not changed after irradiation. So microwave
Table 5.3. The changes of parameters $E_g$ and $\Gamma$ in the Ta$_2$O$_5$–p–Si structures after microwave treatment with different durations $t_i$.
| $t_i$, s | $d_{\text{Ta}_2\text{O}_5}$, nm | Si gap $E_g$, eV | $\Gamma$, eV |
|----------|-----------------|-----------------|-------------|
| 0 | 16 | 3.333 | 0.096 |
| 10 | 16 | 3.334 | 0.091 |
| 0 | 20 | 3.346 | 0.102 |
| 10 | 20 | 3.384 | 0.076 |
| 0 | 24 | 3.364 | 0.109 |
| 10 | 24 | 3.367 | 0.082 |
Table 5.4. The changes of parameters $E_g$ and $\Gamma$ for Si and Ta$_2$O$_5$ in the Ta$_2$O$_5$–p–Si structures after microwave treatment.
| $t_i$, s | High-energy transition for Si | High-energy transition for Ta$_2$O$_5$ |
|----------|-------------------------------|----------------------------------------|
| | $E_g$, eV | $\Gamma$, eV | $E_g$, eV | $\Gamma$, eV |
| 0 | 4.070 | 0.181 | 4.374 | 0.146 |
| 10 | 4.118 | 0.119 | 4.420 | 0.146 |
irradiation during 10 s is not enough for structural ordering in Ta$_2$O$_5$ film, unlike the case of Si substrate where such ordering is observed after 10 s microwave treatment (according to the results of the ER spectra measurements at the points $\Gamma$ and $X$ of the Brillouin zone).
Similar effects took place in MIS structures too, e.g., the curvature of wafer with MIS topology increased after 5 and 10 s microwave treatment (Table 5.2). This serves as evidence of IS relaxation in the device structure induced by microwave irradiation.
The typical $I-V$ curves of MIS structures before and after microwave irradiation during 5 and 10 s are given in Fig. 5.13. One can see that microwave treatment during 10 s led to essential change of $I-V$ curve (as it was after irradiation of similar structures with $^{60}$Co $\gamma$-quanta up to a dose of $5 \times 10^5$ Gy described in [31]). This correlated with the data on structural-impurity ordering of the Ta$_2$O$_5-p$–Si interface presented above in Table 5.3.
Shown in Fig. 5.14 are the topograms of current distribution over the wafer with fifty MIS structures. They were taken at forward and reverse biases (the voltage was fixed), both before and after microwave irradiation for 1 and 3 s. One can see that the current distribution in the initial samples was nonuniform. This was due to technological factors (such as stresses that appeared during MIS structure deformation) and nonuniformities of the initial material (silicon). Microwave irradiation of MIS structures during 1 s made current distribution over the wafer more uniform. This effect took place at forward and reverse biases on the MIS structures.
Considerable variations of current values were observed for different samples after 3 s irradiation of MIS structures. One can explain this fact if one assumes that it results from imperfections at the inTable 5.5. Effect of microwave irradiation on the curvature radius $R$ and IS value $\sigma$ for the Ta$_2$O$_5$–p–Si test structures and MIS capacitors.
| Structure | $t_i$, s | $R$, m | $\sigma$, $10^9$ N/m$^2$ |
|--------------------|----------|--------|--------------------------|
| Ta$_2$O$_5$–p–Si (16 nm) | 0 | 30 | 6.8 |
| | 0.5 | 20 | 11 |
| | 1.0 | 26 | 8.4 |
| | 3.0 | 24 | 8.9 |
| Ta$_2$O$_5$–p–Si (24 nm) | 0 | 30 | 5.1 |
| | 0.5 | 40 | 3.7 |
| | 1.0 | 60 | 2.4 |
| | 3.0 | 50 | 2.6 |
| MIS | 0 | 40 | - |
| | 1.0 | 58 | - |
terface (metal–dielectric and dielectric–semiconductor) regions and modifications due to IS relaxation resulting from short-term microwave irradiation. Indeed, as it follows from the investigations (Table 5.5), bending existed in the initial state for both wafers - with test structures and with MIS structures. The changes of curvature radius value after irradiation (as a result of corresponding changes of ISs in the test structures with insulator thickness of 16 nm) are smaller than those in the MIS and test structures with Ta$_2$O$_5$ layer thickness of 24 nm. It should be also noted that IS relaxation is observed after microwave treatment. As a result, $\sigma$ value drops.
The investigation of surface morphology for test structures before and after microwave irradiation (Fig. 5.15) showed that surface microrelief was different for structures with Ta$_2$O$_5$ layer thicknesses of 16 and 24 nm. The size of nonuniformities in the structures with “thin” (16 nm) dielectric is smaller than that in similar structures with layer thickness of 24 nm. The microrelief changes after microwave treatment for 1 and 3 s in “thin” structures are smaller than those in “thick” ones (Table 5.6).
Microwave treatment during 1 s improves uniformity of “thin” structures, while that during 3 s makes it worse (almost such as in the initial state). Contrary to this, for thicker films the surface uniformity monotonically grows with $t_i$ indicating film ordering.
In structures of both types a trend for structural ordering is observed. We believe that this trend is related to the presence of tantalum suboxides (that is, not completely oxidized Ta) at the dielectric–silicon interface or in the transition layer. This can lead to nonuniform absorption of microwave radiation in the structures studied and, as a result, to microheating and disruption of Ta microclusters. Such factors could cause structural-impurity ordering in the Ta$_2$O$_5$–p–Si contact. This
Fig. 5.15b. As in Fig. 5.15a but for the Ta$_2$O$_5$–Si (24 nm) structure.
conclusion is confirmed by the AFM results (Fig. 5.15) as well as by the experimental investigations of ER spectra of our systems performed before and after microwave irradiation. As it was also demonstrated in our work [41], the collision broadening parameter $\Gamma$ is decreased by 20...30% in the samples of both types after microwave treatment (this parameter characterizes the imperfect state of interface and transition layer). The decrease of $\Gamma$ value corresponds to structural-impurity ordering in the Ta$_2$O$_5$–p–Si contacts. This correlates with decrease of MIS parameter spread after microwave treatment during 1 s. However, MIS systems are more complicated structures than Ta$_2$O$_5$–p–Si test objects. So for more definite explanation of the effects stimulated by microwave irradiation one should perform additional investigations, including those of the component concentration depth profiles in MIS structures before and after microwave treatment. We suppose that, due to microwave irradiation of both the Ta$_2$O$_5$–p–Si heterostructures and MIS (as in the case of exposure to $\gamma$-quanta), excitation of the electron subsystem of semiconductor stimulated by microwave irradiation occurs. As a result, there is an IS relaxation in heterostructures leading to structural-impurity ordering. *This effect was obtained by us for similar heterostructures for the first time.* It seems to deserve further study, since it enables one to operate with electronic and structural properties of such objects as MIS structures.
*The essential result* here, however, is that microwave processing obviously enables one to obtain Ta$_2$O$_5$/Si systems with practically no stresses, and real increase of the degree of Ta$_2$O$_5$/Si interface ordering is observed.
Table 5.6. Surface parameters of Ta$_2$O$_5$ films before and after microwave treatment.
| Duration of oxidation, s | Ta$_2$O$_5$ (24 nm)–p–Si | Ta$_2$O$_5$ (16 nm)–p–Si |
|--------------------------|---------------------------|---------------------------|
| | $Z_{\text{range}}$, nm | RMS, nm | $Z_{\text{range}}$, nm | RMS, nm |
| 0 (initial) | 2.648 | 0.164 | 2.333 | 0.138 |
| 1 | 2.153 | 0.158 | 1.336 | 0.118 |
| 3 | 1.983 | 0.140 | 2.205 | 0.130 |
5.3. EFFECT OF $\gamma$-RADIATION ON THIN Ta$_2$O$_5$–Si MICROSTRUCTURES
5.3.1. Experimental procedure
The $p$-Si (100) wafers with resistivity of 15 $\Omega$·cm, cleaned with a standard for submicron technology process, were used as substrates in this study. The following two sets of samples were formed:
(i) After the chemical cleaning of the substrates, Ta film was deposited on Si by rf sputtering of a tantalum target in the Ar ambient. The process parameters were such: base pressure of $6 \times 10^{-4}$ Pa; Ar pressure of 3 Pa; rf radiating power of 2.2 W/cm$^2$ and deposition rate of 9.3 nm/min. The substrates were not intentionally heated during the Ta deposition and presumably remained at a temperature close to the room one. Subsequently the Ta films were oxidized in dry oxygen at atmospheric pressure at two temperatures, 823 and 873 K; the O$_2$ flow rate was 5 l/min. The oxidation temperatures $T_{ox}$ should be low enough to prevent formation of tantalum silicide. After oxidation, capacitors were defined by evaporation of Al (thickness of 500 nm) through a shadow mask; the capacitor areas were $10^{-4}$, $2.25 \times 10^{-4}$, $6.25 \times 10^{-4}$, and $2.5 \times 10^{-3}$ cm$^2$. Postmetallization annealing was carried out in H$_2$ at 723 K for 1 h.
(ii) Tantalum pentoxide layers were deposited on Si by rf reactive sputtering of a tantalum target in an Ar + O$_2$ mixture: oxygen content of 10%, working gas pressure of 3.3 Pa, rf radiating power of 3.6 W/cm$^2$, deposition rate of 5 nm min$^{-1}$, substrate temperature $T_s = 293$ and 493 K. After deposition, the samples were annealed at 873 and 1123 K for 30 min, in dry oxygen.
All the samples were treated with $^{60}$Co $\gamma$-radiation (1.25 MeV); the dose rate was 1.2 Gy/s. The temperature in the irradiation zone was under 313 K. Irradiation doses of $10^4$, $10^5$ and $5 \times 10^6$ Gy were used. The thickness $d$ of Ta$_2$O$_5$ and the refractive index $n_{eff}$ were determined by ellipsometry ($\lambda = 632.8$ nm). The samples with $d$ in the range from 25 to 90 nm were studied. The dielectric and electrical characteristics of the Ta$_2$O$_5$ structures were studied using measurements of high-frequency (1 MHz) C–V, $I$–$V$ curves and oxide breakdown voltage $V_{bd}$ histogram. The static dielectric constant $\varepsilon_{eff}$ of the Ta$_2$O$_5$ layers was determined from the capacitance value $C_0$ at strong accumulation. The $V_{bd}$ values for approximately 60 capacitors were measured on each wafer (2 in. in diameter). The gate electrode is negatively biased so that the $p$-type silicon surface is at accumulation and the applied electric field appears across the oxide. Ramp $I$–$V$ characteristics were used to investigate the leakage current through Ta$_2$O$_5$ at low voltages. The data were acquired with a microcomputer through an IEEE interface bus. All electrical measurements were carried out in a screened dark chamber at room temperature.
5.3.2. Results and discussion
$n_{eff}$ of the as-prepared Ta$_2$O$_5$ of both types (rf sputtered as well as thermally oxidized) was found to be in the range of 1.95–2.3 depending on the specific fabrication conditions of the layers [14, 26, 42]. The irradiation changed neither the layer thickness nor the $n_{eff}$ values as indicated by ellipsometry. Here we examine the changes of the effective dielectric constant and the oxide charge as a result of irradiation.
**Dielectric parameters**
*rf sputtered Ta$_2$O$_5$.* The effective dielectric constant of the layers with thickness of 25 nm is 12–14 and 15–16 for the as-deposited and the annealed layers, respectively. After irradiation, $\varepsilon_{eff}$ decreases to the values of 5–6 independently of the irradiation dose as well as of the initial values of $\varepsilon_{eff}$. The fixed oxide charge density $Q_f$ has changed from $2 \times 10^{11}$ cm$^{-2}$ (as-deposited films) to $3 \times 10^{12}$ cm$^{-2}$ (after irradiation). The shift of the C–V curves has indicated positive charge build-up as a result of exposure to ionizing radiation for the as-deposited layers only. To illustrate, Fig. 5.16 presents HF C–V curves before and after exposure to a dose of $10^5$ Gy for the samples obtained at $T_s = 293$ K. $C_0$ of the irradiated layer is lower as compared to the initial value; this is due to the radiation-induced decrease of $\varepsilon_{eff}$. The flat-band voltage shift...
Fig. 5.16. Typical 1 MHz $C-V$ curves with a ramp rate of 100 mV/s, for as-deposited 293 K sputtered 25 nm Ta$_2$O$_5$ MOS capacitor (4 nm thickness of SiO$_2$) before (-) and after (- -) $10^5$ Gy $\gamma$-irradiation. (The dielectric constants are 11.6 and 5.1, respectively; the direction of voltage sweep is indicated by an arrow.)
$\Delta V_{fb}$ is negative in all cases indicating a net positive charge trapped in the films. The radiation-induced oxide charge (without gate bias during irradiation) $\Delta Q_f$ is about $5 \times 10^{11}$, $2 \times 10^{12}$ and $3 \times 10^{12}$ cm$^{-2}$ for doses of $10^4$, $10^5$ and $5 \times 10^5$ Gy, respectively. After irradiation the curves are stretched out along the voltage axis. This voltage stretch out can be caused by an increase of either charge nonuniformity or interface trap concentration. Even a dose of $5 \times 10^5$ Gy does not cause generation of oxide charge in the oxygen-annealed samples (873 or 1123 K), and the density of oxide charge in these layers remains about $10^{10}$ cm$^{-2}$ before as well as after the irradiation.
Hysteresis effects are observed in the bidirectional scans of $C-V$ curves in Fig. 5.16. The hysteresis of the curves for the as-deposited layers is positive and respectively the concentration of slow states is determined to be about $3 \times 10^{10}$ cm$^{-2}$. After irradiation the hysteresis is negative indicating an additional $\sim 2 \times 10^{11}$ cm$^{-2}$ positive charge buildup. No hysteresis was observed for annealed layers before as well as after irradiation. Since the slow states (which are also called border traps) are usually related to the presence of oxygen vacancies in the Ta$_2$O$_5$-Si system, the results provide evidence of a negligible amount of the oxygen vacancies in the annealed layers before as well as after $\gamma$-irradiation. The as-deposited non-annealed films, however, are not radiation-hard enough and the exposure generates oxygen vacancies in the form of slow states with significant concentration, which is practically independent of the dose.
*Thermal Ta$_2$O$_5$.* The values of $\varepsilon_{\text{eff}}$ of thinner layers decrease slightly after exposure (Fig. 5.17) with a tendency to saturate at $10^5$ Gy. The irradiation does not influence $\varepsilon_{\text{eff}}$ for thicker ($\sim 90$ nm) layers at all. (As it was reported earlier [9, 10], the dielectric constant of thicker layers as a rule is larger than that of thinner ones.) So, the results imply that the irradiation has not a significant effect on $\varepsilon_{\text{eff}}$ values up to doses of $5 \times 10^5$ Gy. Very well-defined HF $C-V$ curves together with a strong
accumulation effect were obtained for the as-grown Ta$_2$O$_5$ [23, 43]. The variation of $Q_f$ as a function of the dose is shown in Fig. 5.18 for the layers obtained at two temperatures of oxidation. For the reference samples, $Q_f$ is $\sim 3 \times 10^{11}$ cm$^{-2}$ without a clear dependence on $d$ and $T_{ox}$. After irradiation with $10^4$ Gy, $Q_f$ increases 2–4 times and after it does not change with dose. The temperature of oxidation does not influence $Q_f$ values for thinner oxides. For thicker oxides, the radiation-induced fixed oxide charge is lower for the oxides obtained at lower oxidation temperature (823 K). In general, the irradiation does not degrade the radiation hardness of the layers significantly. As far as $\Delta Q_f$ is found to depend slightly on the oxidation temperature, it can be concluded that the oxides grown at different temperatures show no apparent difference in radiation hardness. However, it is hard to say if the oxidation temperature of 823 K is better than 873 K since $\Delta Q_f$ depends not only on $T_{ox}$ but also on thickness. In general it seems that the increase of growth temperature above 823 K degrades the radiation hardness.
The hysteresis of the $C-V$ curves of the samples before as well as after irradiation was negligible (the flat-band voltage shift arising from the hysteresis effects is about 0.1–0.2 V for all curves, after sweeping from accumulation to inversion and back) and the curves were steep, indicating no generation of some kinds of traps (most likely slow states) located in the Ta$_2$O$_5$ very close to the interface with silicon. No change in the sharpness of the curves after irradiation was observed, i.e., to a first approximation, the irradiation did not affect the concentration of fast surface states. The presence of extremely thin SiO$_2$ layer between Ta$_2$O$_5$ and Si detected by us previously [5, 8] may be responsible for the formation of a high quality interface at Si.
**Leakage current characteristics**
*Thermal Ta$_2$O$_5$.* To clarify the effect of radiation on the conduction properties of Ta$_2$O$_5$ films, leakage current characteristics of the irradiated capacitors were examined. Figure 5.19 shows the leakage current density vs electric field characteristics for the MOS capacitors with Ta$_2$O$_5$ layers grown at 823 K. The as-grown Ta$_2$O$_5$ shows a low leakage current density, $J < 10^{-8}$ A/cm$^2$ up to 4 V applied voltage. Above 4 V, the leakage current increases monotonically. After irradiation $J$ is higher than that of the as-grown layers, and the extent of the current increase depends on the layer thickness and the applied voltage. (The $I-V$ characteristics of the initial samples as well as their change after irradiation for Ta$_2$O$_5$ obtained at 873 K are almost the same and they are not shown in the Figure.). The leakage current increase is bigger for thinner layers (Fig. 5.19a) and for low applied fields ($\leq 0.7$ MV/cm) the current it is 4–6 orders of magnitude higher than that in the as-grown samples. At higher fields, the current increases monotonically with the applied voltage. The leakage current increase for 40 nm layers is the same for irradiation doses in the range of $10^4-5 \times 10^5$ Gy, i.e., no obvious irradiation dose dependence in the behavior and values of the current was observed. No deterioration of the leakage current was found for the samples with thicker Ta$_2$O$_5$ (90 nm) irradiated with a dose of $10^4$ Gy (Fig. 5.19b). The irradiation only reduced the catastrophic (hard) breakdown fields (from 3 MV/cm before to 1.6 MV/cm after irradiation). The catastrophic breakdown field is defined as a field at which a sudden and irreversible increase in leakage current occurs. The layers irradiated with doses of $10^5-5 \times 10^5$ Gy have inferior leakage
current characteristics for fields greater than 1 MV/cm as compared to the pre-irradiated ones – the leakage is increased by 1–2 orders of magnitude, leading quickly to an early breakdown (Fig. 5.19b).
Generally, the results show that $\gamma$-irradiation will be a problem for the Ta$_2$O$_5$–Si structures and the capacitors with irradiated films have deteriorated leakage characteristics compared to the initial ones. This effect is most probably due to the radiation-generated defects in the Ta$_2$O$_5$ and at the interface with Si, which leads to an increase of the leakage current. On the other hand, at least two other factors could contribute to the increased leakage and they cannot be neglected. One of them is the radiation-induced change of the thickness of the interfacial SiO$_2$ (most likely increase of the thickness as indicated by the decrease of the global dielectric constant of thinner layers, Fig. 5.17), which is inevitably formed during the fabrication of Ta$_2$O$_5$. Our XPS investigations [42] clearly revealed the formation of interfacial SiO$_2$ layer (of about 2–3 nm) under all technological regimes used. The thickness and the quality of this layer depend on the oxidation temperature. As far as the total thickness of the layer (as measured with ellipsometry) is almost completely independent of the irradiation, the deterioration of the current may be due to the increase of SiO$_2$ thickness as a result of the reduced thickness of the outer Ta$_2$O$_5$. (The growth of SiO$_2$ layer at the interface leads to an increase of the equivalent oxide thickness of the layer. The change of the thickness of SiO$_2$ leads also to a redistribution of the electric field.) Another phenomenon can be correlated with an eventual radiation-induced crystallization effects in the initial layers, which have been found to be amorphous [5, 23, 42, 43] after the growth. A deterioration of the leakage current is usually observed when the layers are crystallized [44, 45]. The current increase is thought to be caused by the grain boundaries which serve as current paths resulting in poor leakage current characteristics. The relationship between the leakage current properties and the crystalline structure of the tantalum oxide has not yet been clarified. Eventual radiation-induced crystallization effects in Ta$_2$O$_5$ are not understood at all, and further investigations are mandatory to explain the above observations.
**rf sputtered Ta$_2$O$_5$.** Figure 5.20a shows current density $J$ vs applied voltage for the as-deposited (at 293 and 493 K) 25 nm Ta$_2$O$_5$ before and after OA. (The characteristics did not show a difference from capacitor to capacitor on one and the same wafer.) For the as-deposited films, leakage current about and below $10^{-8}$ A/cm at 0.5 MV/cm can be achieved without annealing steps. The films fabricated at 493 K have somewhat better leakage current characteristics at low applied fields. The annealed films show improved characteristics, $J \sim 10^{-8}$ A/cm for applied voltages up to
~6 V. One can see that after OA there is a general shift of the curves toward higher voltages, indicating an increase of breakdown fields and dielectric strength. The effect seems to result from the repairing of oxygen vacancies in Ta$_2$O$_5$ and densification of the layers as a whole. The comparison of Fig. 5.20a and b shows that a $10^4$ Gy dose has negligible influence on the leakage current up to voltages which are actual from the practical point of view and are close to the breakdown voltages. The effect of irradiation is well pronounced for $10^5$ Gy: $J$ increases by 1–3 orders of magnitude when the applied voltage increases up to 5 V. The irradiation does not alter the $I-V$ characteristics up to fields of ~0.5 MV/cm. For simplicity, the effect of dose on the $I-V$ curves is presented in Fig. 5.20c only for one of the layers (annealed at 873 K). In the case of $5 \times 10^5$ Gy, the leakage current is nearly equally deteriorated as that for $10^5$ Gy dose. So, the results indicate that the layers are stable to $\gamma$-irradiation up to a dose of $10^4$ Gy, i.e., this dose does not change the quality of the capacitors in terms of leakage current. Relatively severe degradation of the leakage current can be observed after exposure to $10^5$–$5 \times 10^5$ Gy. The reason for worsening of the electrical properties in this case is that the layers are damaged by introduction of radiation defects in the form of broken Ta–O and/or Si–O bonds. The radiation-induced crystallization of these films also cannot be ruled out.
From an analysis of Fig. 5.20 it is clear that the initial quality of starting oxide influences the magnitude of the leakage current after irradiation: the irradiated annealed films have lower current in comparison with the irradiated as-deposited ones. This means that oxygen-annealed layers have higher $\gamma$-radiation hardness. It emerges that for higher voltages the relative change of the leakage current after irradiation as compared to the initial current value is nearly the same (Fig. 5.20c), i.e., the relative change depends on the average electric field in the oxide rather than on the absolute current level. As is seen, the curve corresponding to $10^5$, $5 \times 10^5$ Gy shifts parallel to lower voltages with respect to the curve of the non-irradiated oxide. This implies that most probably the radiation-induced damage is uniformly distributed throughout the Ta$_2$O$_5$.
**In general**, three possible explanations [3] exist for the observed increase of the leakage current after $\gamma$-irradiation: (i) lowering of the barrier height at the Al–Ta$_2$O$_5$ interface because build-up of a charge in Ta$_2$O$_5$ near this contact seems possible, (ii) reduction of Ta$_2$O$_5$ to tantalum suboxides and hence an increase of the layer conductivity (the oxygen deficiency in Ta$_2$O$_5$ is one of the reasons for the leakage current through the films), and (iii) modification of the Si–Ta$_2$O$_5$ interface as a result of reduction of Ta$_2$O$_5$ and oxidation of Si substrate.
during irradiation, leading to enlargement of the mixed transition layer consisting generally of both tantalum and silicon suboxides. The possibility for such modification is supported by the observed changes in $Q_s$. So, we have obtained that the irradiated films have leakage current larger than the starting ones. We have shown by XRD technique [18] that the sputtered as-deposited as well as annealed at 873 K layers are amorphous, whereas crystalline Ta$_2$O$_5$ (orthorhombic $\beta$-Ta$_2$O$_5$ phase) was obtained after OA at 1123 K. It should be kept in mind, however, that in order to detect crystallinity with XRD techniques, a certain size of crystallites is required. The absence of diffraction peaks provides only an upper limit of the volume fraction of the crystalline phase. For XRD the lower limit of detection is approximately a volume fraction of the crystalline phase of 0.001 [46]. That is why XRD data have to be considered only in terms of the sensitivity of this method. A combination of XRD data and the present leakage current and $Q_f$ data suggests and reveals that the crystalline Ta$_2$O$_5$ (obtained after heating at 1123 K) shows better leakage current properties. The $I-V$ data for the rf sputtered layers strongly suggest also that the radiation hardness is completely independent of the amorphous status of the layers: the relative increase of the leakage current is practically the same for the amorphous and crystalline Ta$_2$O$_5$. The current magnitude after irradiation depends on the initial value before the exposure – the annealed layers have better leakage current characteristics before as well as after irradiation. Having in mind also the dielectric constant data, one can see that for the amorphous (as-deposited and annealed at 873 K) films the intrinsic dielectric constant of Ta$_2$O$_5$ is 23–27 and for the 1123 K annealed (when a crystalline phase appeared) it is significantly higher (32–37), i.e., the crystalline Ta$_2$O$_5$ shows bigger values of dielectric constant. The deviation of the measured dielectric constant $\varepsilon_{\text{eff}}$ from the values of the relative dielectric constant of the bulk Ta$_2$O$_5$ is due to the presence of the ultrathin SiO$_2$ at the interface with Si. Usually, Ta$_2$O$_5$ leakage current increases with its crystallization. In contrast, we obtain that for the crystalline 1123 K annealed layers the leakage current is smaller. On the other hand, the leakage current degradation after irradiation can be correlated with eventual critically high level of radiation-induced crystallization of the films, leading actually to the increase of the current. However, none of the presented possible explanations for the current degradation could be ruled out at this stage of our investigations. The exact clarification of this fact requires further detailed study of an eventual crystallization of the irradiated layers.
**Breakdown fields**
Breakdown characteristics of the layers before and after irradiation are discussed in this section. The breakdown field $E_{\text{bd}}$ is detected when the leakage current is over $10^{-6}$ A. As is seen in Fig. 5.21, the breakdown characteristics of the annealed rf sputtered Ta$_2$O$_5$ layers are better than that of the as-deposited one. Since no obvious dependence of $E_{\text{bd}}$ histograms on the substrate temperature is observed, for simplicity only the data for $T_s = 493$ K are given in the Figure. The oxide equivalent breakdown field $E_{\text{eq}}$ of the annealed layer is as high as 20 MV/cm. $E_{\text{eq}}$ is the breakdown field obtained using the “equivalent SiO$_2$ film thickness”, which is defined by assuming that the films consist of a single layer having a dielectric constant of SiO$_2$. In general, OA improves the breakdown characteristics of Ta$_2$O$_5$ obtained at both deposition temperatures used. The effect is stronger for higher temperature of annealing, Fig. 5.21a. These phenomena indicate that most of the fabrication-induced defects were passivated during the anneal process. We correlate the improvement in $E_{\text{bd}}$ with a reduction in oxygen vacancies number and the imperfect Ta–O bonds in the initial layers as well as with the general densification of the layers. The as-deposited layers exhibit a distribution of the measured breakdown fields in the range of 3.5–5.5 MV/cm with a main peak at $\sim 4.2$ MV/cm. These parameters for the 1123 K annealed samples are 5–7 MV/cm and $\sim 6.6$ MV/cm, respectively. The results are consistent with the leakage current reduction after OA, and the higher annealing temperature is more effective in reducing the leakage. In general, all the irradiated samples with if sputtered Ta$_2$O$_5$ exhibit not very strong deterioration of the breakdown
field distribution. The influence of the irradiation on the gate oxide breakdown frequency depends on both the irradiation dose and the initial quality of the layers. The as-deposited films are damaged more severely by irradiation: after $10^4$ Gy treatment, a low breakdown appears in the range of 0.2–2 MV/cm with a peak intensity of ~15%; the high breakdown field peak shifts to the left at 4–5 MV/cm without intensity reduction. The higher dose irradiation (Fig. 5.21b) produces additional degradation – a main fraction of capacitors (~27%) break at 0.1–2.2 MV/cm; the high field breakdown localizes at about 5 MV/cm with an intensity of ~30%. The irradiation slightly affects the annealed samples – the degradation after the higher dose is more pronounced. The distribution for $10^4$ Gy dose is characterized with two main peaks at ~4 and 5.5 MV/cm with 30% intensity, and peaks with low intensity (<10%) in the ranges of 2–3 and 4.5–5 MV/cm (Fig. 5.21c). The higher dose leads to more random distribution of the breakdown fields: low and medium breakdowns appear in the ranges of 0.2–2 and 2.2–4 MV/cm, respectively; the maximum $E_{bd}$ is at 5 MV/cm, with a slight reduction of the intensity.
The breakdown field of the thermal Ta$_2$O$_5$ slightly increases with increasing the growth temperature implying that the higher oxidation temperature is beneficial in terms of breakdown characteristics. The breakdown fields are practically the same for the two thicknesses used (Fig. 5.22) suggesting that the composition and the microscopic structure of thermal oxides do not change significantly when varying the thickness from 40 to 90 nm. There is a weak tendency for slight increase of high field breakdowns for thinner oxides: a peak with a small intensity (<10%) at 3–4 MV/cm appears. The intensity of high field breakdowns, however, remains low for all samples. After irradiation the breakdown field characteristics worsen (the low and medium field breakdowns increase and the effect is stronger for the higher dose) with slight dependence on $d$ and $T_{ox}$. Figure 5.22 shows the radiation-induced breakdown histogram changes. All irradiated thermal Ta$_2$O$_5$ films break down at an electric field of about 0.5–1 MV/cm for 823 K and 0.5–2 MV/cm for 873 K formed layers respectively, indicating that the higher oxidation temperature is more beneficial for radiation hardness of Ta$_2$O$_5$ in terms of breakdown. (For non-irradiated samples the breakdown frequencies have also a more random distribution.) The damage of devices exposed to $5 \times 10^5$ Gy is not heavier than that of devices with $10^5$ Gy and it is higher than in $10^4$ Gy irradiated oxide. The breakdown of 90 nm Ta$_2$O$_5$ does not critically depend on dose in the range used. For thinner (40 nm) films, however, the radiation damage is a severe problem: the main fraction of capacitors breaks down in the field range of 0.2–1 MV/cm after exposure to $10^4$ as well as to
degradation of the electrical characteristics of the irradiated layers it is desirable to relate them to the composition and microscopic structure of the film and its interface. Usually the breakdown is manifested by the formation of a conductive path through the oxide, initiated by the presence of weak spots. It is related in this way to the microscopic properties of the layers and interface with Si and is basically associated with defects induced by the technological process (intrinsic defects like oxygen vacancies) as well as defects generated by the radiation. Although the true mechanism of the radiation-induced breakdown in $\text{Ta}_2\text{O}_5$ is unclear, it is probably associated with broken bonds ($\text{Ta}-\text{O}$ and/or $\text{Si}-\text{O}$). The exact answer of this question is related to the more general question concerning the mechanism of breakdown in $\text{Ta}_2\text{O}_5$ and particularly to the presence of ultrathin $\text{SiO}_2$ at the interface with Si. At present these questions remain open. We cannot eliminate a priori the possibility for the radiation-induced crystallization effects in $\text{Ta}_2\text{O}_5$ (the issue that is not studied at all).
*The results presented allow one to draw the following conclusions* about the $\gamma$-irradiation effect on the dielectric and electrical parameters of $\text{Ta}_2\text{O}_5$ layers on Si.
**rf Sputtered $\text{Ta}_2\text{O}_5$**
The radiation causes higher leakage current and lower dielectric constant, which decreases to values of 5–6 independently of its initial value as well as of the dose. The lower dielectric constant value confirms that the film structure is modified by irradiation. The as-deposited films are not radiation-hard enough and the exposure generates significant defects in the form of positive oxide charge ($5 \times 10^{11} - 3 \times 10^{12} \text{cm}^{-2}$) and slow states with a concentration of about $2 \times 10^{11} \text{cm}^{-2}$. The effect seems to result from some kind of oxygen vacancies-generation-related reaction. The formation of oxygen vacancies in the as-fabricated oxides results mainly from imperfect oxidation. The results provide evidence, however, of *a negligible amount of oxygen vacancies in the annealed layers*. Even the highest dose used does not cause generation of oxide charge in the annealed samples.
The leakage current of the as-fabricated layers is bigger after irradiation, with different values of increase depending on the dose. A relatively severe degradation is detected after $10^5–5 \times 10^5$ Gy. The increase in the leakage current density most likely is attributed to broken Ta–O and/or Si–O bonds. The radiation-induced crystallization of the as-deposited films also cannot be ruled out, and the leakage current degradation can be related to an eventual critically high level of radiation-induced crystallization of the films leading actually to current increase. The irradiated annealed films have lower current in comparison with the irradiated as-deposited ones, i.e., *the oxygen annealed layers have higher radiation hardness*. In this context, it can be concluded that the initial quality of starting oxide influences the magnitude of the leakage current after irradiation and OA *is beneficial for radiation hardness*. These phenomena indicate that most of the irradiation-induced defects are oxygen vacancies and/or some kind of degradation in the stoichiometry of the layers. They also support the argument that the latent defects, which are activated during irradiation, are in the form of oxide traps and are responsible also for deterioration of breakdown characteristics. Since the radiation-induced decrease of breakdown field is relatively weak, it can be concluded that the irradiation does not worsen the interface and the bulk to an extent at which the radiation-induced catastrophic breakdown occurs and in fact the oxide is only slightly weakened.
**Thermal Ta$_2$O$_5$**
The radiation does not degrade the dielectric properties of the layers significantly: the dielectric constant decreases slightly for thinner layers and does not change for thicker ones at all; the density of oxide charge increases 2–4 times for $10^4$ Gy and saturates above a dose of $10^5$ Gy; no generation of slow states is observed – the presence of extremely thin SiO$_2$ layer between Ta$_2$O$_5$ and Si may be responsible for the formation of high-quality interface transition region. The results show, however, that $\gamma$-irradiation *will be a problem in terms of leakage current* – the extent of the current increase after irradiation depends on the layer thickness and the applied voltage; the effect of radiation is stronger for thinner layers and higher doses – the current increase is 4–6 orders of magnitude at low ($\leq 0.7$ MV/cm) applied fields. This result is attributed to the generation of electrically active defects in Ta$_2$O$_5$ and at the interface as well as to the radiation-induced increase of interfacial SiO$_2$ layer as indicated by the decrease of the global dielectric constant after $\gamma$-radiation for thinner oxides.
The higher oxidation temperature is more beneficial for the radiation hardness of Ta$_2$O$_5$ in terms of breakdown, which is consistent with the data on the dielectric and electrical parameters of the layers. The results give evidence that *a suitable choice of the oxidation temperature can improve the radiation hardness*. The radiation-induced breakdown depends on the oxide thickness rather than the irradiation dose: the data clearly show that Ta$_2$O$_5$ with a thickness above $\sim 40$ nm prepared at a relatively high oxidation temperature has good radiation hardness.
*In summary*, we have shown that $\gamma$-irradiation can increase leakage current and oxide charges significantly. In fact, the presence of radiation-induced traps in the Ta$_2$O$_5$–Si system is expected. The results prove the introduction of damage by radiation and the high level of leakage current is attributed to the presence of these traps. Although the true mechanism of radiation-induced breakdown in Ta$_2$O$_5$ is unclear yet, it is most likely associated with broken and imperfect Ta–O and Si–O bonds with a key influence of the interface transition region where SiO$_2$ and the intermediate oxidation states of Si coexist. Additional support of this suggestion is the good correspondence between the breakdown data and the results deduced from the $I-V$ and $C-V$ measurements. In the context of advanced MOS technologies it is clear that *irradiation will give rise to reliability problems*, which may be related to oxide failures, i.e., *radiation-induced damage remains a major concern for Ta$_2$O$_5$ reliability*. Based on the results, however, one would tend to conclude that $\gamma$ irradiation-induced damage will have less impact on devices with thicker Ta$_2$O$_5$ and obtained or annealed at relatively high temperatures.
The microwave exposure for extremely short times (several seconds) has a potential to replace undesired high-temperature annealing
processes for high-$k$ dielectrics in nanoscale Si devices (DRAMs and MOSFETs), to meet the future road map requirements.
Insufficient experimental data about the behavior of high-$k$ dielectrics in radiation-rich conditions will motivate future intensive work in this field. Our first experiments ($\gamma$-irradiation, $10^4–10^6$ Gy) show that the irradiation will be, especially for Ta$_2$O$_5$ as a typical high-$k$ insulator, a problem in terms of leakage current – the extent of the current increase depends on the layer thickness, and the effect is stronger for thinner films and higher doses. There is, however, a potential to improve and control additionally the current by using appropriate annealing steps.
CONCLUSION
In this book we made an attempt to consider and explain some processes of interaction of microwave radiation with semiconductors and device structures (among them the submicron and nanostructured materials) that are of importance for electronics. The effects of structural relaxation (resulted from microwave treatment, as well as rapid thermal annealing and $^{60}$Co $\gamma$-irradiation) and their influence on the parameters of single crystals and barrier contacts are considered.
It was found that, despite some general features of the effect of active actions on the electrical and structural properties of different semiconductor objects (single crystals, hetero- and $p-n$ junctions, metal–semiconductor, dielectric–semiconductor and metal–dielectric–semiconductor contacts), the mechanism of the effect of microwave radiation is more complex than had been suspected. Both the heating effects (leading to degradation of the parameters of semiconductor materials and device structures) and non-thermal effects (accompanied with defect gettering) are observed in this case. One should take these factors into account when developing the mm-wave devices with heterojunction and Schottky barrier, as well as MIS structures with nanometer thick dielectric.
It should be noted that the theoretical and experimental investigations made to date did not give final solution to the problem of interaction between microwave radiation and semiconductors. However, the model approaches and experimental technique which are progressing rapidly give grounds to expect further widening of the scope of our knowledge in the area and application of the results obtained in practice by the technologists and those engaged in development of electronic devices.
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Some abbreviated journal titles:
ET - Elektronnaya Tekhnika
FTP - Fizika I Tekhnika Poluprovodnikov
FTT - Fizika Tverdogo Tela
OET - Obzory po Elektronnoi Tekhnike
OPT - Optoelektronika i Poluprovodnikovaya Tekhnika
PZhE - Peterburgskii Zhurnal Elektroniki
PZhTF – Pis’ma v Zhurnal Tekhnicheskoi Fiziki
SPQEO - Semiconductor Physics, Quantum Electronics & Optoelectronics
UFZh – Ukrainskii Fizicheskii Zhurnal
ZhETF – Zhurnal Eksperimental’noi i Teoreticheskoi Fiziki
ZhTF – Zhurnal Tekhnicheskoi Fiziki
CONTENTS
PRINCIPAL ACRONYMS AND SYMBOLS ........................................... 5
PREFACE ......................................................................................... 9
Chapter I. INVESTIGATION OF THE ROLE OF THERMAL AND NON-THERMAL FACTORS IN TRANSFORMATION OF STRUCTURAL PARAMETERS OF III-V SEMICONDUCTOR COMPOUNDS, SiC AND CdS EXPOSED TO HIGH-POWER MICROWAVE IRRADIATION ............... 15
1.1. PROCESSES OF STRUCTURAL ORDERING INDUCED BY MICROWAVE TREATMENT AT THE SURFACES OF GaAs SINGLE CRYSTALS AND CONTACT SYSTEMS ON THEIR BASIS .................. 16
1.1.1. Structural ordering at the surface of GaAs single crystals ................................................................. 18
1.1.2. Structural ordering in the TiB$_2$–GaAs barrier contacts ................................................................. 27
1.2. DEFORMATION EFFECTS IN THE TiB$_2$–GaAs (InP, GaP) STRUCTURES INDUCED BY EXTERNAL ACTIONS (RAPID THERMAL ANNEALING, MICROWAVE AND $^{60}$Co $\gamma$-IRRADIATION) ................................................................. 35
1.3. STRUCTURAL RELAXATION IN THE n-GaAs AND n-SiC 6H INDUCED BY MICROWAVE IRRADIATION ......................... 41
1.4. EFFECT OF MICROWAVE TREATMENT ON THE IMPURITY-DEFECT STATE OF CdS CRYSTALS ............................................. 47
Chapter 2. EFFECT OF $\gamma$-RADIATION AND MICROWAVE RADIATION ON THE ELECTRICAL CHARACTERISTICS OF RESONANT TUNNELING AND TUNNEL DIODES MADE ON THE BASIS OF GaAlAs–GaAs HETEROJUNCTIONS AND GaAs ........................................... 52
2.1. RADIATION EFFECTS IN RESONANT TUNNELING DIODES EXPOSED TO $^{60}$Co $\gamma$-RADIATION AND MICROWAVE RADIATION .................................................................................. 56
2.2. ENHANCED RADIATION TOLERANCE OF TUNNEL DIODES WITH $\delta$-DOPING ................................................................................................................................. 64
2.3. EFFECT OF MICROWAVE IRRADIATION ON I–V CURVES OF GaAs TUNNEL DIODES WITH $\delta$-LAYERS ............................................................................................................. 68
2.3.1. Total heating model ............................................................................................................ 70
2.3.2. Local heating model ........................................................................................................... 70
Chapter 3. EFFECT OF $^{60}$Co $\gamma$-RADIATION AND MICROWAVE RADIATION ON THE PROPERTIES OF SiO$_2$–GaAs (SiC) STRUCTURES .................................................................................................................. 74
3.1. RADIATION-INDUCED EFFECTS AT THE SiO$_2$–GaAs INTERFACE ................................................................................................................................. 74
3.2. EFFECTS INDUCED BY MICROWAVE IRRADIATION IN THE SiO$_2$–GaAs STRUCTURE .................................................................................................................. 81
3.3. MECHANISMS OF MODIFICATION OF SiO$_2$–GaAs DEFECT STRUCTURE BY MICROWAVE IRRADIATION ........................................................................................................... 87
3.4. EFFECT OF MICROWAVE RADIATION ON THE SiO$_2$–SiC STRUCTURES ................................................................................................................................. 95
Chapter 4. EFFECT OF MICROWAVE IRRADIATION ON THE MORPHOLOGICAL AND STRUCTURAL PROPERTIES OF NANOCRYSTALLINE SILICON–SILICON SYSTEMS .................................................................................................................. 105
4.1. EXPERIMENTAL PROCEDURES .............................................................................................. 106
4.2. EFFECT OF THE CONDITIONS OF FORMATION OF NANOCRYSTALLINE SILICON FILMS ON THEIR STRUCTURE . 108
4.3. EFFECT OF MICROWAVE TREATMENT ON THE STRUCTURAL PROPERTIES OF NANOCRYSTALLINE SILICON–SILICON SYSTEMS ........................................................................................................... 115
Chapter 5. MICROWAVE AND $\gamma$-RADIATION IMPACT ON Ta$_2$O$_5$–Si STACK CAPACITORS ........................................... 118
5.1. EFFECT OF MICROWAVE RADIATION ON Ta$_2$O$_5$–Si MICROSTRUCTURES: RF SPUTTERED Ta$_2$O$_5$ .................................................. 122
5.1.1. Experimental procedure .................................................. 122
5.1.2. Results and discussion .................................................. 124
Dielectric parameters and C–V curves .................................. 124
Auger analysis .............................................................. 127
I–V curves and conduction mechanisms .................................. 131
Breakdown fields .......................................................... 140
Surface roughness parameters and transmittance spectra ............ 142
5.2. EFFECT OF MICROWAVE RADIATION ON Ta$_2$O$_5$–Si MICROSTRUCTURES: THERMAL Ta$_2$O$_5$ ON Si ............................................. 148
5.2.1. Experimental procedure .................................................. 148
5.2.2. Results and discussion .................................................. 149
5.3. EFFECT OF $\gamma$-RADIATION ON THIN Ta$_2$O$_5$–Si MICROSTRUCTURES ................................................................. 159
5.3.1. Experimental procedure .................................................. 159
5.3.2. Results and discussion .................................................. 160
Dielectric parameters ...................................................... 160
Leakage current characteristics .......................................... 164
Breakdown fields .......................................................... 170
rf Sputtered Ta$_2$O$_5$ ....................................................... 174
Thermal Ta$_2$O$_5$ ............................................................ 175
CONCLUSION ........................................................................... 178
REFERENCES ........................................................................ 179
Національна академія наук України
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Notice
NOTICE is hereby given that the 24th Annual General Meeting of the members of GUJARAT FOILS LIMITED will be held at 3436-3439, Chhatral G.I.D.C Phase- IV, Taluka Kalol, Dist. Gandhinagar, Gujarat- 382729 on Friday, the 16th September, 2016 at 11.30 A.M. to transact the following businesses:
ORDINARY BUSINESSES
1. To receive, consider and adopt the Audited Financial Statement for the financial year ended 31st March, 2016 and the reports of the Directors’ and the Auditors’ thereon.
2. To appoint a Director in place of Mr. Abhay Narendra Lodha, who retires by rotation and, being, eligible offers himself for re-appointment.
3. To ratify the appointment of Statutory Auditor and, if thought fit, to pass, with or without modification(s), the following Resolution as an Ordinary Resolution
RESOLVED THAT pursuant to sections 139, 141, 142 and other applicable provisions, if any, of the Companies Act, 2013 and the rules made there under, the appointment of M/s. H.R. Agarwal & Associates, Chartered Accountants, (having Firm Registration No. 323029E), as Auditors of the Company approved by the ordinary resolution passed at 22nd Annual General Meeting of the Company, to hold office from the conclusion of the 22nd Annual General Meeting until the conclusion of 27th Annual General Meeting, be and is hereby ratified for the balance term and accordingly they continue to hold office from the conclusion of the 24th Annual general Meeting until the conclusion of the 27th Annual General Meeting on such remuneration as may be fixed by the Board, apart from reimbursement of out of pocket expenses as may be incurred by them for the purpose of audit.
SPECIAL BUSINESSES
4. To approve the remuneration of the Cost Auditor for the Financial year ending 31st March, 2017 and in this regard to consider and if thought fit, to pass with or without modification(s), the following resolution as an Ordinary Resolution
“RESOLVED THAT pursuant to the provisions of Section 148 and all other applicable provisions of the Companies Act, 2013 and the Companies (Audit and Auditors) Rules, 2014 and pursuant to recommendations of Audit Committee (including any statutory modification(s) or re-enactment thereof, for the time being in force), the Cost Auditors, M/s. S. K. Agarwal & Associates, appointed by the Board of Directors of the Company, to conduct audit of cost records of the Company for the financial year ending 31st March, 2017, be paid the remuneration of ₹50,000/- (Rupees Fifty Thousand only) plus service tax, be and is hereby ratified and confirmed.
RESOLVED FURTHER THAT the Board of Directors of the Company be and is hereby authorised to do all acts, deeds and things and further to take all steps as may be necessary, proper or expedient to give effect to this resolution.”
5. To appoint Mr. Satish Chandra Gupta (DIN: 00025780) as an Independent Director and in this regard to consider and if thought fit, to pass, with or without modification(s), the following resolution as an Ordinary Resolution
“RESOLVED THAT pursuant to the provisions of Sections 149, 150 and 152 read with Schedule IV and all other applicable provisions of the Companies Act, 2013 and the Companies (Appointment and Qualification of Directors) Rules, 2014 (including any statutory modification(s) or re-enactment thereof for the time being in force), Mr. Satish Chandra Gupta (DIN: 00025780), who was appointed as an Additional Director of the Company pursuant to Companies Act, 2013 with effect from 28th April, 2016, and in respect of whom the Company has received a notice in writing under Section 160 of the Companies Act, 2013 from a member proposing his candidature for the office of Director, be and is hereby appointed as an Independent Director not liable to retire by rotation who shall hold office for a term of 3 (Three) consecutive years upto 15th September, 2019.
RESOLVED FURTHER THAT the Board of Directors of the Company be and is hereby authorised to do all acts, deeds and things and further to take all steps as may be necessary, proper or expedient to give effect to this resolution.”
6. To approve the revised remuneration of Mr. Prasenjit Promode Datta (DIN: 00013414) as Whole Time Director of the Company and in this regard to consider and if thought fit, to pass with or without modification(s), the following resolution as Special Resolution
“RESOLVED THAT pursuant to the provisions of Sections 196, 197, 203 and any other applicable provisions of the Companies Act, 2013 and the rules made thereunder (including any statutory modification(s) or re-enactment thereof), read with Schedule V to the Companies Act, 2013, and subject to approval of the Central Government, if any, consent of the Company be and is
hereby accorded for the revision in the remuneration of Mr. Prasenjit Promode Datta, (DIN: 00013414), Whole Time Director of the Company, w.e.f. 1st April, 2016 on terms and conditions as recommended by the Nomination and Remuneration Committee and Audit Committee as set out in the explanatory statement annexed to the notice.
**RESOLVED FURTHER THAT** except for the aforesaid revision in salary, all other terms and conditions of his appointment as the Whole Time Director of the Company, as approved by the resolution passed at the Annual General Meeting of the Company held on 23rd September, 2015 shall remain unchanged.
**RESOLVED FURTHER THAT** the Board of Directors be and is hereby authorized to alter or vary the scope of remuneration of Mr. Prasenjit Promode Datta, Whole Time Director, including the monetary value thereof, to the extent recommended by the Nomination and Remuneration Committee and Audit Committee from time to time as may be considered appropriate, subject to the overall limits specified by this resolution and the Companies Act, 2013.
**RESOLVED FURTHER THAT** any one of the Directors or Company Secretary of the Company be and are hereby authorized to do all necessary acts, deeds and things, which may be usual, expedient or proper to give effect to the above resolution.”
By Order of the Board of Directors
Place: Mumbai
Date: 14th July, 2016
Rahul Singh
Company Secretary
**Registered Office:**
Plot no 3436-3439, Chhatral, G.I.D.C.,
Phase IV,Taluka-Kaloj,Dist-Gandhinagar,
Gujarat–382729
CIN–L28999GJ1992PLC018570
Tel- +91-2764-233657
Fax- +91-2794-233657
Email- email@example.com
Website- http://www.gujaratfoils.com/
**NOTES:**
1. A MEMBER ENTITLED TO ATTEND AND VOTE AT THE MEETING IS ENTITLED TO APPOINT A PROXY TO ATTEND AND VOTE ON A POLL INSTEAD OF HIMSELF/HERSELF AND SUCH PROXY NEED NOT BE A MEMBER OF THE COMPANY. A person can act as proxy on behalf of members not exceeding fifty (50) and holding in the aggregate not more than ten percent of the total share capital of the Company.
THE PROXIES IN ORDER TO BE EFFECTIVE MUST BE RECEIVED AT THE REGISTERED OFFICE OF THE COMPANY, NOT LESS THAN FORTY-EIGHT HOURS BEFORE THE COMMENCEMENT OF THE MEETING. PROXIES SUBMITTED ON BEHALF OF LIMITED COMPANIES, SOCIETIES ETC. MUST BE SUPPORTED BY APPROPRIATE RESOLUTIONS / AUTHORITY, AS APPLICABLE. A PROXY FORM IS APPENDED WITH THE ADMISSION SLIP.
2. Members/Proxies should bring the Attendance Slip duly filled in for attending the Meeting and also their copy of the Annual Report.
3. Corporate Members intending to send their authorized representative to attend the meeting pursuant to section 113 of the Companies Act, 2013 are requested to send to the Company a certified true copy of Board resolution authorizing their representative to attend and vote on their behalf at the meeting.
4. Brief resume of Directors including those proposed to be appointed/re-appointed, nature of their expertise in specific functional areas, names of companies in which they hold directorships and memberships/chairmanships of Board Committees, shareholding and relationships between directors *inter-se* as stipulated, are provided in the Corporate Governance Report forming part of the Annual Report.
5. A Statement pursuant to Section 102(1) of the Companies Act, 2013, relating to the Special Business to be transacted at the Meeting is annexed hereto.
6. In case of joint holders attending the Meeting, only such joint holder who is higher in the order of names will be entitled to vote.
7. The Register of Members and the Share Transfer Books of the Company will remain closed from 10th September, 2016 to 16th September, 2016 (both days inclusive) in the terms of the provisions of the Companies Act, 2013 and the Listing Agreement for the purpose of the Annual General Meeting.
8. The Register of Directors and Key Managerial Personnel and their shareholding, maintained under Section 170 of the Companies Act, 2013 will be available for inspection by the members at the Annual General Meeting of the Company.
9. The Annual Reports will also be available on the website of the Company www.gujaratfoils.com in the investor section.
10. Members desirous of getting any information about the accounts and operations of the Company are requested to address their queries to the Company Secretary of the Company at least seven days in advance of the meeting so that the information required may be made readily available at the meeting.
11. Shareholders who are holding shares in physical form are requested to address all correspondence concerning registration of transfers, transmissions, sub-division, consolidation of shares or any other share related matters and/or change in address or updation thereof to the Company’s Registrar and Share Transfer Agent. Shareholders whose shareholding is in electronic format are requested to direct change of address notifications, registration of e-mail address and updation of bank account details to their respective depository participant.
12. Members who hold shares in physical form in multiple folios in identical names or joint holding in the same order of names are requested to send the share certificates to Link Intime, for consolidation into a single folio.
13. Statutory registers and documents referred to in the notice and explanatory statement are open for inspection at the Registered office of the Company on all working days (except Sunday and Public Holiday) between 11.00 a.m. and 1.00 p.m. upto the date of Annual General Meeting and will also be available for inspection at the meeting.
14. Physical copies of the Notice of 24th Annual General Meeting of the Company inter alia indicating the process and manner of e-voting along with Attendance Slip and Proxy Form is being sent to all the members in the permitted mode.
15. Non-resident Indian members are requested to inform the Company or its RTA or to the concerned DPs, as the case may be, immediately:
16. The change in the residential status on return to India for permanent settlement.
17. The particulars of the NRE Account with a Bank in India, if not furnished earlier.
18. The Securities and Exchange Board of India (SEBI) has mandated the submission of Permanent Account Number (PAN) by every participant in securities market. Members holding shares in electronic form are, therefore, requested to submit their PAN to their Depository Participants with whom they are maintaining their demat accounts. Members holding shares in physical form can submit their PAN to the Company / Link Intime.
19. In compliance with the provisions of Section 108 of the Companies Act, 2013 and the Rules framed thereunder and the Regulation 31(1)(b) of the SEBI (LODR) Regulation, 2015, the Members are provided with the facility to cast their vote electronically, through the e-voting services provided by CDSL. Resolution(s) passed by Members through e-voting is deemed to have been passed as if they have been passed at the AGM.
20. **Voting through electronic means**
The Company is pleased to offer e-voting facility for the members to enable them to cast their votes electronically. If a member has opted for e-voting, then he/she should not vote physically and vice-a-versa.
**Instructions for members for e-voting are as under:**
(i) Log on to the e-voting website www.evotingindia.com
(ii) Click on “Shareholders” tab.
(iii) Now, select the “COMPANY NAME” from the drop down menu and click on “SUBMIT”
(iv) Now Enter your User ID
a. For CDSL: 16 digits beneficiary ID,
b. For NSDL: 8 Character DP ID followed by 8 Digits Client ID,
c. Members holding shares in Physical Form should enter Folio Number registered with the Company.
(v) Next enter the Image Verification as displayed and Click on Login.
(vi) If you are holding shares in demat form and had logged on to www.evotingindia.com and voted on an earlier voting of any company, then your existing password is to be used.
(vii) If you are a first time user follow the steps given below:
| For Members holding shares in Demat Form and Physical Form |
|-------------------------------------------------------------|
| **PAN** | Enter your 10 digit alpha-numeric *PAN issued by Income Tax Department (Applicable for both demat shareholders as well as physical shareholders).
- Members who have not updated their PAN with the Company/Depository Participant are requested to use the sequence number which is printed on Postal Ballot / Attendance Slip indicated in the PAN field. |
| **DOB#** | Enter the Date of Birth as recorded in your demat account or in the company records for the said demat account or folio in dd/mm/yyyy format. |
| **Dividend Bank Details#** | Enter the Dividend Bank Details as recorded in your demat account or in the company records for the said demat account or folio.
- Please enter the DOB or Dividend Bank Details in order to login. If the details are not recorded with the depository or company please enter the number of shares held by you as on the cut off date in the Dividend Bank details field. |
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1. The e-voting period commences on 13th September, 2016 (9:00 am) and ends on 15th September, 2016 (5:00 pm). During this period shareholders' of the Company, holding shares either in physical form or in dematerialized form, as on the cut-off date (record date) of 9th September, 2016 may cast their vote electronically. The e-voting module shall be disabled by CDSL for voting thereafter. Once the vote on a resolution is cast by the shareholder, the shareholder shall not be allowed to change it subsequently.
2. Once the vote on a resolution is cast by the shareholder, the shareholder shall not be allowed to change it subsequently.
3. The voting rights of shareholders shall be in proportion to their shares of the paid up equity share capital of the Company as on the cut-off date (record date) of 9th September, 2016.
4. Mr. Umesh Ved, Company Secretary (Membership No.4411) has been appointed as the Scrutinizer to scrutinize the e-voting process in a fair and transparent manner.
5. The Scrutinizer shall within a period not exceeding three (3) working days from the conclusion of the e-voting period unblock the votes in the presence of at least two(2) witnesses not in the employment of the Company and make a Scrutinizer's Report of the votes cast in favour or against, if any, forthwith to the Chairman of the Company.
6. The results declared along with the Scrutinizer's report shall be placed on the Company's website www.gujaratfoils.com within two days of passing of the resolutions at the AGM of the Company and communicated to BSE Limited.
7. All documents referred to in the accompanying Notice and the Explanatory Statement shall be open for inspection at the Registered Office of the Company between 11.00 a.m. and 1.00 p.m (except Sunday and Public Holiday) up to the date of the Annual General Meeting of the Company.
By Order of the Board of Directors
Place: Mumbai
Date: 14th July, 2016
Rahul Singh
Company Secretary
Registered Office:
Plot no 3436-3439, Chhatral, G.I.D.C.,
Phase IV, Taluka-Kaloj, Dist-Gandhinagar,
Gujarat–382729
CIN-L28999GJ1992PLC018570
Tel: +91-2652-23657
Fax: +91-2794-233657
Email:-email@example.com
Website: http://www.gujaratfoils.com/
| Name of Director | Mr. Abhay Narendra Lodha | Mr. Satish Chandra Gupta |
|------------------|-------------------------|-------------------------|
| Date of Birth | 01-06-1971 | 05-05-1947 |
| Date of initial Appointment | 14-07-2008 | 31-01-2009 |
| Expertise in specific functional areas | Entrepreneur, wide 17 years of experience in technical, operational & manufacturing on any industry | A renowned banker and former CMD of Punjab National bank and Indian Overseas Bank. |
| Qualifications | B.Com, LL.B | M.Com, CAIIB |
| Directorships held in other Public Companies (excluding Foreign Companies, Private Companies and Section 25 Companies). | NIL | 1. Emmsons International Limited
2. ISMT Limited
3. SMC Investments And Advisors Limited
4. SMC Global Securities Limited
5. Kohinoor foods Limited
6. Kamanwala Housing Construction Limited |
| Memberships/ Chairmanships of committees (Audit Committee and Shareholders Grievance Committee) across other Public Companies. | NIL | Audit Committee
i. ISMT Limited
ii. Emmsons International Limited
iii. Kohinoor foods Limited
iv. SMC Global Securities Limited*
v. Kamanwala Housing Construction Limited*
Stakeholders’ Relationship Committee
i. ISMT Limited
ii. Kohinoor foods Limited
iii. SMC Global Securities Limited |
| Shareholdings in the Company | 30,47,104 | NIL |
*Chairman of the Committee
**Note:**
For other details in respect of Mr. Abhay Narendra Lodha and Mr. Satish Chandra Gupta please refer to Corporate Governance Report.
Annexure to Notice
EXPLANATORY STATEMENT PURSUANT TO SECTION 102 (1) OF THE COMPANIES ACT, 2013
ITEM NO. 4
The Board, on the recommendation of the Audit Committee, has approved the appointment of the Cost Auditor at a remuneration of ₹ 50,000/- (Rupees Fifty Thousand Only) plus service tax to conduct the audit of the cost records of the Company for the financial year ending 31st March, 2017.
In accordance with the provisions of Section 148 of the Act read with the Companies (Audit and Auditors) Rules, 2014, the remuneration payable to the Cost Auditor has to be ratified by the shareholders of the Company. Accordingly, consent of the members is sought for passing an Ordinary Resolution as set out at Item No. 4 of the Notice for ratification of the remuneration payable to the Cost Auditor for the financial year ending 31st March, 2017.
None of the Directors / Key Managerial Personnel of the Company / their relatives are, in any way, concerned or interested, financially or otherwise, in the resolution set out at Item No. 4 of the Notice. The Board commends the Ordinary Resolution set out at Item No. 4 of the Notice for approval by the shareholders.
ITEM NO. 5
Pursuant to Section 149(10), 152 of the Companies Act, 2013 (the ‘Act’) read with Companies (Appointment and Qualification of Directors), Rules 2014, an Independent Director shall be appointed pursuant to the provisions of new Companies Act.
Mr. Satish Chandra Gupta, Director has given his consent to act as Independent Director and also not disqualified from being appointed as Director in terms of section 164 of the Companies Act, 2013. Further, the Company has received a notice from a member proposing the candidature of Mr. Satish Chandra Gupta for the Office of the Director of the Company.
The Company has received the declaration from the aforesaid Director that he meets the criteria of Independence as prescribed in Section 149 (6) of the Companies Act, 2013 and the Board is of the opinion that the aforesaid Director fulfills the conditions for his appointment as Independent Directors.
In view of same, Mr. Satish Chandra Gupta, Independent Director of the Company is proposed to be re-appointed as Independent Director not liable to retire by rotation for a term of consecutive 3 (Three) years upto September 15, 2019.
None of the Directors/ Key Managerial Personnel of the Company / their relatives are, in any way, concerned or interested, financially or otherwise, in the resolution set out at Item No. 5 except Mr. Satish Chandra Gupta, The Board commends the Ordinary Resolution set out at Item No. 5 of the Notice for approval by the shareholders.
ITEM NO. 6
Mr. Prasenjit Promode Datta has been appointed as the Whole Time Director of the Company with effect from 1st March, 2015 for a period of 5 years at the meeting of the shareholders held on 23rd September, 2015.
The Company is aggressively focused on its expansion plans besides exploring opportunities both in India and abroad.
Since there has been a considerable increase in the duties and responsibilities performed by the Whole Time Director and after considering the prevailing managerial remuneration in industry, the Board of Directors at their meeting held on 14th July, 2016, on the recommendations made by the Nomination and Remuneration Committee and Audit Committee, has approved the proposal to increase the salary of Mr. Prasenjit Promode Datta, Whole Time Director from Rs. 48,00,000 to Rs 52,80,000/- Per annum and Performance Linked Incentive from Rs. 12,00,000 to 13,20,000/- Per annum with effect From 1st April, 2016. Except for the aforesaid revision in salary, all other terms and conditions of his appointment as the Whole Time Director of the Company as approved earlier, shall remain unchanged.
None of the Directors/ Key Managerial Personnel of the Company / their relatives are, in any way, concerned or interested, financially or otherwise, in the resolution set out at Item No. 6 except Mr. Prasenjit Promode Datta. The Board commends the resolution as set out at Item No. 6 of the Notice for approval by the shareholders.
By Order of the Board of Directors
Place: Mumbai
Date: 14th July, 2016
Rahul Singh
Company Secretary
Registered Office:
Plot no. 3436-3439, Chhatral, G.I.D.C.,
Phase IV, Taluka-Kalol, Dist-Gandhinagar,
Gujarat–382729
CIN- L28999GJ1992PLCO18570
Tel- +91-2764-233657
Fax- +91-2794-233657
Email- firstname.lastname@example.org
Website- http://www.gujaratfoils.com/
Route Map to the AGM Venue
Venue: 3436-3439, Chhatral G.I.D.C Phase- IV, Taluka Kalol, Dist. Gandhinagar, Gujarat- 382729
Landmark: Chhatral GIDC
Distance from Ahmedabad Railway Station: 46 kms
Distance from Sardar Vallabhbhai Patel International Airport, Ahmedabad: 44 kms
GUJARAT FOILS LIMITED
Regd. Office: 3436-3439, Chhatral, G.I.D.C., Phase-IV, Taluka: Kalol, District: Gandhinagar, Gujarat-382729.
CIN: L28999GJ1992PLC018570
ATTENDANCE SLIP
PLEASE FILL ATTENDANCE SLIP AND HAND IT OVER AT THE ENTRANCE OF THE MEETING HALL
Joint shareholders may obtain additional Slip at the venue of the meeting.
| DP ID* | Folio No. |
|--------|-----------|
| Client ID* | No. of shares |
NAME AND ADDRESS OF THE SHAREHOLDER
I hereby record my presence at the 24TH ANNUAL GENERAL MEETING of the Company held on Friday, 16th September, 2016 at 11:30 a.m. at 3436-3439, Chhatral G.I.D.C. Phase – IV, Taluka-Kalol, Dist. Gandhinagar, Gujarat – 382729.
*Applicable for investors holding shares in electronic form.
Signature of Shareholder / proxy
---
GUJARAT FOILS LIMITED
Regd. Office: 3436-3439, Chhatral, G.I.D.C., Phase-IV, Taluka: Kalol, District: Gandhinagar, Gujarat-382729.
CIN: L28999GJ1992PLC018570
PROXY FORM
[Pursuant to section 105(6) of the Companies Act, 2013 and rule 19(3) of the Companies (Management and Administration) Rules, 2014]
| Name of the member(s): Registered address: | e-mail Id: | Folio No/ *Client Id: | "DP Id: |
|------------------------------------------|------------|----------------------|---------|
I/We, being the member(s) of shares of Gujarat Foils Limited, hereby appoint:
1) ____________________________ of ____________________________ having e-mail id ____________________________ or failing him
2) ____________________________ of ____________________________ having e-mail id ____________________________ or failing him
3) ____________________________ of ____________________________ having e-mail id ____________________________
and whose signature(s) are appended below as my/our proxy to attend and vote (on a poll) for me/us and on my/our behalf at the 24th Annual General Meeting of the Company, to be held on Friday, 16th September, 2016 at 11:30 a.m. at 3436-3439, Chhatral G.I.D.C. Phase – IV, Taluka-Kalol, Dist. Gandhinagar, Gujarat – 382729 and at any adjournment thereof in respect of such resolutions as are indicated below:
** I wish my above Proxy to vote in the manner as indicated in the box below:
| Item No. | Resolutions | For | Against |
|----------|-------------|-----|---------|
| 1 | Adoption of Audited financial for the year ended 31st March, 2016 and the Reports of the Board of Directors and the Auditors thereon. | | |
| 2 | To appoint a Director in place of Mr. Abhay Lodha, who retires by rotation and, being, eligible offers himself for re-appointment. | | |
| 3 | To ratify the appointment of M/s H.R. Agarwal & Associates as Statutory Auditor. | | |
| 4 | To approve the remuneration of Cost Auditor for the financial year ending 31st March, 2017 | | |
| 5 | To appoint Mr. Satish Chandra Gupta (DIN: 00025780) as an Independent Director | | |
| 6 | To approve the remuneration of Mr. Prasenjit P. Datta (DIN: 00013414), Whole Time Director of the Company with effect from 1st April, 2016 | | |
* Applicable for investors holding shares in electronic form.
Signed this................... day of..................2016
Signature of shareholder
Signature of first proxy holder Signature of second proxy holder Signature of third proxy holder
Notes:
(1) This form of proxy in order to be effective should be duly completed and deposited at the Registered Office of the Company not less than 48 hours before the commencement of the meeting.
(2) A Proxy need not be a member of the Company.
(3) A person can act as a proxy on behalf of members not exceeding fifty and holding in the aggregate not more than 10% of the total share capital of the Company carrying voting rights. A member holding more than 10% of the total share capital of the Company carrying voting rights may appoint a single person as proxy and such person shall not act as a proxy for any other person or shareholder.
**(4) This is only optional. Please put a ‘√’ in the appropriate column against the resolutions indicated in the Box. If you leave the ‘For’ or ‘Against’ column blank against any or all the resolutions, your Proxy will be entitled to vote in the manner as he/she thinks appropriate.
(5) Appointing a proxy does not prevent a member from attending the meeting in person if he so wishes.
(6) In the case of joint holders, the signature of any one holder will be sufficient, but names of all the joint holders should be stated. |
MODELLING OF THE SPACE DEBRIS EVOLUTION BASED ON CONTINUA MECHANICS
N.N.Smirnov\textsuperscript{(1)}, A.I.Nazarenko\textsuperscript{(2)}, A.B.Kiselev\textsuperscript{(3)}
\textsuperscript{(1)}Moscow M.V.Lomonosov State University, Moscow 119899, Russia; firstname.lastname@example.org
\textsuperscript{(2)}The Center for Program Studies, 84/32 Profsoyuznaya, Moscow 117810, Russia; email@example.com
\textsuperscript{(3)}Moscow M.V.Lomonosov State University, Moscow 119899, Russia; firstname.lastname@example.org
ABSTRACT
The paper is aimed at mathematical modelling of long term orbital debris evolution taking into account mutual collisions of space debris particles of different sizes. The present model is based on the continua mechanics approach [1]. The space debris environment containing fragments differing greatly in mass, velocity and orbital parameters the multiphase continua approach was introduced distinguishing classes of fragments possessing similar properties. Under this approach the evolution equations contain a number of source terms responsible for the variations of different fractions of orbital debris population due to fragmentations and collisions. Those source terms were developed based on the solution of a high velocity collision and breakup problem. The Russian Space Debris Prediction and Analysis (SDPA) model [2, 3, 4] developed using the continua approach served the basis for the present study. The model used the averaged description for the sources of space debris production and took into account collisions of debris fragments of different sizes (including non-catalogued ones) that could lead not only to debris self-production but also to a self-cleaning of the Low Earth Orbits.
1. MATHEMATICAL MODEL
Essential differences in debris particles sizes and thus collision consequences brings to a necessity of introducing a number of "phases" or "mutually penetrating continua" into the model, each phase being characterized by its own density of distribution. The particles could be assembled into groups ("phases") due to the following attributes: their characteristic size $d_j$; the perigee altitude of the orbit $h_{pj}$, eccentricity $e_j$; inclination of the orbit $i_j$; ballistic coefficient. The number density of particles of the $j$-th phase per volume unit $\rho_j$ evolution can be determined by the following equation [1]:
$$\frac{\partial \rho_j}{\partial t} + \text{div} \ \rho_j \vec{v}_j = \sum_{k=1}^{N} \psi_{jk} + n_{j \ op} + n_{j \ ex} - v_j , \quad (1)$$
where $\psi_{jk}$ is the number of particles transferred from the $k$-th to the $j$-th phase per time unit due to fragmentation in collisions; $n_{j \ op}, n_{j \ ex}, v_j$ - the rates of particles number growth and/or decrease due to external sources, $\vec{v}_j$ is the local velocity of the $j$-th phase.
Averaging the equation (3.22) in longitude and latitude gives the following form of the model equation:
$$\frac{\partial N_j}{\partial t} = -W_j \frac{\partial N_j}{\partial r} - N_j \frac{\partial W_j}{\partial r} + \dot{N}_j , \quad (2)$$
where $N_j(t, r)$ is the number of debris particle of the $j$-th phase per altitude spherical layer of the thickness $\Delta h$; $W_j(t, r) = \left( \frac{dr}{dt} \right)_j$ - radial velocity of particles (sedimentation velocity); $\dot{N}_j$ - the rate of variation of particles number per altitude layer due to external sources.
$$\dot{N}_j(t, r) = \int_r^{r+\Delta h} \int_{-\pi/2}^{\pi/2} \int_0^{2\pi} \left( \sum_{k=1}^{N} \psi_{jk}(t, r, \Omega, \theta) + n_{j \ op}(t, r, \Omega, \theta) + n_{j \ ex}(t, r, \Omega, \theta) - v_j(t, r, \Omega, \theta) \right) r^2 \cos \theta \ d\Omega d\theta dr$$
The sedimentation velocity can be determined by formula [1]:
$$\dot{r} = W_j = -\frac{3}{8} \frac{c_j \rho_a(r, t)}{\rho^0_j d_j} \sqrt{\gamma Mr} , \quad (3)$$
where $\gamma$ is the gravity constant and $M$ is the mass of the Earth, $\rho^0_j$ - actual density of material of a particle, the function $\rho_a(r, t)$ could be obtained from one of the models of a standard atmosphere, or from its approximations:
\[ \rho_a(r, t) = \rho_a(r_0, t) \exp \left( -\int_{r_0}^{r} \frac{dr}{H(r, t)} \right), \]
where \( H(r, t) \) is the scale height of a uniform atmosphere at the altitude \( r \); \( \rho_a(r_0, t) \) is a known density at the altitude \( r_0 \). Substituting Eqs. 3 and 4 in the Eq. 2 one obtains
\[ \frac{\partial N_j}{\partial t} = -W_j \frac{\partial N_j}{\partial r} + \frac{N_j W_j}{H} \left( 1 - \frac{H}{2r} \right) + \dot{N}_j. \]
Introducing positive sedimentation velocity \( V_j(t, r) = -W_j(t, r) > 0 \) and assuming \( \frac{H}{2r} << 1 \) brings the Eq.5 to the form used in the SDPA model
\[ \frac{\partial N_j(t, h)}{\partial t} = V_j \left( \frac{\partial N_j(t, h)}{\partial h} - \frac{N_j(t, h)}{H} \right) + \dot{N}_j, \]
where \( h \) is the perigee altitude.
### 2. EVALUATION OF COLLISIONS PROBABILITY
The average number of collisions of spherical-shaped spacecraft (SC) with small-sized space debris particles is determined as follows [2-4]:
\[ \frac{dN}{dt} = S \cdot \rho(t) \cdot \int_{A=0}^{2\pi} p(t,A) \cdot V_{re}(t,A) \cdot dA = S \cdot \rho(t) \cdot \overline{V}_{re}(t). \]
Here \( S \) is the satellite cross-section, \( \rho \) is the spatial density of particles, \( p(t,A) \) is their azimuthal distribution at time moment \( t \) and \( V_{re} \) is the relative velocity of a particle with respect to the given satellite. The integral has a meaning of the mean relative velocity of a space object (SO) at this point.
The averaging of SO flux through a unit cross-section of a space vehicle is performed for one revolution (for the time interval equal to the SC period \( T \)). This mean value is calculated by the formula
\[ \overline{Q} = \frac{1}{T} \cdot \int_{t=0}^{T} \rho(t) \cdot \int_{A=0}^{2\pi} p(t,A) V_{re}(t,A) \cdot dA \cdot dt. \]
The study and estimation of probabilities of mutual collisions of objects belonging to different groups - large-size (catalogued), medium-size (from 1 up to 20 cm) and small-size (for example, from 0.1 up to 1 cm) etc. - is of considerable interest. We shall assume that the space debris can have various sizes including those, which cannot be neglected. A possible size of particles will be characterized by the distribution density \( p(d) \) of their mean diameter \( d \). Taking account of the distribution density \( p(d) \), we can introduce into equation (7) modifications, which take into consideration the variability of particles' sizes. It is convenient to express the spatial density of particles, sizing larger than the arbitrary quantity \( d \), as a product of some dimensionless factor \( k(d) \) by the spatial density of particles sizing larger than some specified value \( d_0 \):
\[ \rho(d, t) = k(d) \cdot \rho(d_0, t) \]
Here coefficient \( k(d) \) is supposed to be independent of time. We designate the derivative of coefficient \( k(d) \) as \( f(d) = dk(d)/dd \). Then the averaged number of collisions of a SC, having size \( D \), with particles whose size lies in the range of \( (d_1, d_2) \), can be expressed as
\[ N(D, d_1, d_2) = F_d \cdot \overline{Q}(d_0, t) \cdot (t-t_0), \]
where
\[ F_d = \left[ -\frac{\pi}{4} \int_{d_1}^{d_2} (D+d)^2 \cdot f(d) \cdot dd \right]. \]
Having estimated the value \( N(D, d_1, d_2) \) - the averaged number of collisions of a single spacecraft of diameter \( D \) with particles sizing in the range of \( (d_1, d_2) \) one could develop the average number of collisions of a group of objects, having size in the range of \( (D_1, D_2) \) and situated in some altitude region \( (h, h+\Delta h) \), with all SOs having size in the range of \( (d_1, d_2) \) (this estimate is designated as \( N(h, h+\Delta h)_{Dd} \) below). It is necessary to sum up the estimates \( N(D, d_1, d_2) \) for all SOs of the given size lying in the given altitude range. As a result, we obtain the following estimate:
\[ N(h, h+\Delta h)_{Dd} = F_{Dd} \cdot n(h, h+\Delta h)_{cat} \cdot \overline{Q}(d_0, h, t_0) \cdot (t-t_0), \]
where \( F_{Dd} \) is calculated by the formula
\[ F_{Dd} = \left[ \frac{\pi}{4} \int_{D_1}^{D_2} \int_{d_1}^{d_2} (x+y)^2 \cdot dk(x) \cdot dk(y) \right]/2. \]
This value has a meaning of the mean cross-sectional area of collisions of objects sizing in the range \( (D_1, D_2) \) with particles from the range of \( (d_1, d_2) \), where \( n(h, h+\Delta h)_{cat} \) is the number of the catalogued objects within the altitude range \( (h, h+\Delta h) \).
Evaluating components of \( F_{Dd} \) matrix for SOs of different sizes drives to the following conclusion. The
number of collisions of small-sized particles (sizing smaller than 1 cm) between each other, as well as with larger objects, is much higher, than the number of mutual collisions of catalogued objects (sizing larger than 10 - 20 cm). This result testifies the necessity of taking into account mutual collisions of space debris of different sizes.
3. **FRAGMENTATION MODEL FOR COLLISIONS OF SPACE DEBRIS PARTICLES**
The developed model allows to evaluate collision probabilities, relative velocities, masses and sizes of colliding objects within all the altitude ranges. The results of collisions could be evaluated using the fragmentation model [5, 6]. The basic relationships for this model modified to meet the requirements of LEO debris self-production modeling are presented briefly below.
The high-velocity collision of particles of mass $M_1$ and $M_2$ is considered, the velocities of particles being equal $V$ at the time of collision. The angle between velocity vectors is equal to $2\beta$ (in the inertial space). We use the designations: $M = M_1 + M_2$, $k_1 = M_1 / M$, $k_2 = M_2 / M$. Then the mean velocity of fragments after collision will be:
$$V_M = V \cdot \sqrt{1 - 4 \cdot k_1 \cdot k_2 \cdot \sin^2 \beta}.$$
(13)
The amount of energy generated in collisions is characterized by the density of internal energy $u$, which is uniformly distributed within particles. This specific internal energy can be determined as follows:
$$u = \frac{U}{M} = \frac{1}{2} \cdot k_1 \cdot k_2 \cdot (2 \cdot V \cdot \sin \beta)^2 = \frac{1}{2} \cdot k_1 \cdot k_2 \cdot (V_x \cdot \sin \beta)^2$$
(14)
In deriving this formula we used the assumption, that after collision all fragments (of total mass $M$) are moving with the same velocity (13). Indeed, with a great difference in size (and mass) between a target and a particle ($M_1 << M_2$) the energy of collision is absorbed only by a small fraction of target’s mass (by individual components of the SC structure in our case). In this case in applying formula (14) only some portion of masses of colliding bodies should be used as a reference mass, rather than their total mass, i.e. $M_2 = \tilde{A} \cdot M_1$, as in paper [7].
The density of internal energy is supposed to be subdivided into elastic (e) and inelastic (dissipation) ($\chi$) components, i.e. $u = e_\alpha + \chi_\alpha$ ($\alpha = 1, 2$). The entropic criterion of limiting specific dissipation is used here as a macrodestruction criterion, i.e. $\chi \leq \chi^*$, where $\chi^*$ is the limiting specific dissipation, which depends on particle’s material and is assumed to be known. It is also assumed, that a part of elastic energy, accumulated in particles after collision, is spent for destruction of particles. Then the energy spent for destruction can be calculated by formulas $\varepsilon_\alpha^f = k \cdot \varepsilon_\alpha$, where $k$ is some factor, which is considered to be known. If the internal energy of a particle is found to be $u < \chi_\alpha$, then the destruction of particle $\alpha$ does not occur.
For description of fragments distribution in mass, the modification of Weibull distribution is used:
$$N(< m) = N_0 \cdot \left[ 1 - \exp \left( - \left( \frac{m - m_{min}}{m_s} \right)^\Lambda \right) \right],$$
(15)
$m_{min} \leq m \leq m_{max}$.
Here $\Lambda$ is the parameter, whose value depends on particle’s material. It characterizes the degree of “compactness” of destruction fragments’ distribution in masses. For the discrete spectrum of particles’ masses $m_1^{\hat{\alpha}}, m_2^{\hat{\alpha}}, ..., m_{K_\alpha}^{\hat{\alpha}}$ the number of fragments of ensemble $m_j^{\hat{\alpha}}$ is
$$N_j^{\alpha} = N_0^{\alpha} \cdot \left( b_j^{\alpha} - b_{j+1}^{\alpha} \right),$$
$$b_j^{\alpha} = \exp \left( - \left( \frac{\sqrt{m_{j-1}^{\alpha} \cdot m_j^{\alpha} - m_{min}^{\alpha}}}{m_s^{\alpha}} \right)^\Lambda \right).$$
(16)
The system of $K_\alpha$ equations (16) is supplemented by the two following equations:
$$\sum_{j=1}^{K_\alpha} m_j^{\hat{\alpha}} \cdot N_j^{\alpha} = M_\alpha,$$
(17)
$$\sum_{j=1}^{K_\alpha} \gamma_\alpha \cdot \frac{S_j^{\hat{\alpha}}}{2} \cdot N_j^{\alpha} = M_\alpha \cdot \varepsilon_\alpha^f,$$
(18)
where $\gamma_\alpha$ is specific energy required for producing a destruction surface unit, $S_j^{\hat{\alpha}}$ is the area of arising destruction surface for fragment $m_j^{\hat{\alpha}}$. Equation (17) expresses the condition that the total mass of particle’s fragments is equal to the initial mass of the particle, and equation (18) expresses the equality of elastic energy, accumulated in a particle, to the energy spent for producing a destruction surface.
The solution of the system of equations (16), (17) and (18) allows us to determine the number and masses of fragments. The known values (Eq. 13) of fragments velocity at a collision, and the velocity increments
\( v_j^\alpha = \sqrt{2 \cdot (1 - k) \cdot e_\alpha} \), acquired by particles after collision, and the relation between the area of particle’s surface and its size: \( d_j \approx \sqrt{s_j^\alpha / \pi} \) make it possible to determine:
- The number and mass of breakup fragments remained in orbit;
- The number and mass of breakup fragments sizing larger than 0.1 cm;
- The distribution of breakup fragments sizing larger than 0.1 cm over the perigee altitude.
As an example, we consider the results of modeling the collision of two balls: steel one of mass of 2g and aluminium one having mass of 20g. The altitude of a circular orbit of objects before collision was 950 km. The values of \( \sin \beta \), used in formulas (8) and (9), were taken to be equiprobable over the interval of 0 – 1.0. Table 1 below presents the data on the average number of objects of different sizes - both remained in orbit and deorbited. In total, 1 797 954 fragments of different sizes were formed. 943 717 (52 %) of them have continued orbital motion, the remaining 48 % have deorbited. It is seen, that the maximum of the size distribution lies in the range of 0.025–0.05 cm. Table 2 below presents also the distribution of a number of objects of different sizes over the perigee altitude.
4. ACCOUNTING FOR COLLISIONS IN SPACE DEBRIS ENVIRONMENT MODELING
Various space objects (SO) were considered, whose perigee altitudes did not exceed 2000 km. We choose the perigee altitude (\( h_p \)) from the vector of SO orbital elements. It is supposed that among all variable SO parameters only the perigee altitude essentially influences the evolution of the altitude distribution of SO number. The other orbital elements will be designated by \( E \). We subdivide the whole set of objects with different elements \( E \) into some finite number of sub-sets (groups) with elements \( E_j, j=1,2,..., l_{\text{max}} \).
The technique for semi-analytical solution of equations (6) was developed for the SDPA model.
The use of statistical distributions of SOs vs altitude, ballistic factors and velocity allows us to determine the averaged consequences of one collision of SOs of different sizes (36 versions) beyond the solution of a forecasting problem. Though the calculations of these consequences are rather time consuming, they are executed only once - at a preparatory step to the forecasting procedure. Further on, during the integration of equations (6), the matrix of probabilities of collision of SOs of different sizes is calculated at each time step. In this symmetrical matrix \( P_{Dd} \) (8 x 8) 36 values are meaningful. Their multiplication by a priori calculated characteristics of collision consequences allows us to determine the component of sum \( N_j \), which relates to collision consequences, as well as to some other sources.
The space debris environment was modeled on a preceding time interval: from the year 1960 to 2000. The forecasts were made with and without mutual collisions of SOs sizing larger than 0.1 cm. Besides, the version of “partial collisions” was considered, in which the collisions of all SOs except catalogued ones were taken into account. For these versions the data on a number of SOs of different sizes in 2000 are presented in the upper two lines of the Table 3. Naturally, in case the collisions were taken into account, the number of small-sized space debris particles happened to be greater than that obtained in forecasts disregarding collisions (the third line of Table 3). The considerable changes were observed only for particles sizing larger than 0.1–0.50 cm. Accounting for collisions the estimated number of particles was 18 – 22 % greater, than without collisions. In the case of “partial collisions” the estimates have had intermediate values. The data of Table 3 testify, that the consequences of collisions of SOs of different sizes on a preceding time interval resulted in 11-12% increase of the number of particles sizing 0.1 – 0.5 cm. The influence of this source on the population of large-sized space debris is insignificant. The estimation of the contribution into the level of contamination by particles sizing smaller than 0.1 cm requires additional analysis.
Figure 1 gives the comparison of altitude distributions of a number of SOs in the 100-km altitude layer in 2000, obtained using the model with and without collisions of SOs of different sizes, as well as in the intermediate case (without collisions of objects sizing larger than 20 cm). These data indicate that the maximum contribution of collision consequences is achieved in the altitude range of 800 – 1000 km with allowance for all mutual collisions and is equal now to 33 % of the total level of the altitude layer contamination with particles of the regarded size. The growth accounts 16% as compared to the intermediate case. This shows that the contribution of mutual collisions of catalogued objects is slightly greater, than the contribution of all other collisions under consideration. Nevertheless, the contribution of collisions of smaller SOs between each other and with large-sized objects is rather significant – it is equal to 14 %.
Analysis of the probabilities of collisions of fragments on the preceding time interval (Table 4) shows that the total (accumulated) expected number of collisions by nowadays is the greatest for the particles sizing 0.1 - 0.25 cm colliding with the catalogued Sos (5490). The accumulated number of collisions for the catalogued SOs between each other is relatively low – it is equal to 0.96.
The estimates of the total number of fragments generated in collisions for all possible collisions of SOs sizing larger than 0.1 cm by the year 2000 and sizing 0.1-0.25, 0.25-0.5, 0.5-1.0 and 1.0-2.5 cm (including deorbited objects) show that the total mass of fragments is equal to 432 kg. About a half of those fragments (43 % in mass) was deorbited at the time of collision. The other set of fragments (47 % in mass) relates to small-sized particles sizing smaller than 0.1 cm. And only a small part of mass (9 %) relates to particles sizing larger than 0.1 cm.
The total number of collision fragments sizing 0.1-0.5 cm makes 45-55 % in relation to the current number of fragments of this size estimated disregarding collisions. Thus, the contribution of collisions to a current population of particles sizing 0.1 - 0.5 cm, in our opinion, is essential.
CONCLUSIONS
The estimations of the mean contribution of SO collisions into catalogued SD environment are made. The objects sizing larger than 0.1 cm at altitudes up to 2000 km are considered. It is found that the maximal contribution of collisions is reached in the altitude range of 800 - 1000 km with account of all mutual collisions and is equal now to 33 % of the general contamination level of this high-altitude layer by particles sizing 0.25-0.5 sm.
Small sized particles generated in collisions are strongly influenced by the upper atmosphere thus contributing to the self-cleaning of LEO. Taking into account this effect the role of collisions in the cascade effect of Space Debris growth in LEO should be thoroughly reconsidered.
ACKNOWLEDGEMENTS
Russian Foundation for Basic Research (grants 00-15-99060; 00-01-00245) and Program “Fundamental Research of High School. Universities of Russia.” (Project No 992153) are acknowledged for financial support.
REFERENCES
1. N. Smirnov et. al. Space debris evolution mathematical modeling. *Proc. 1st European Conf. on Space Debris*. ESA-SD-01. Darmstadt, 1993, pp. 309-316.
2. A. Nazarenko. A Model of Distribution Changes of the Space Debris. *The Technogeneous Space Debris Problem*. Moscow, COSMOSINFORM, 1993.
3. A. Nazarenko. Aerodynamic Analogy for Interactions between Spacecraft of Different Shapes and Space Debris. Cosmic Research, Vol.34, No3, 1996.
4. A. Nazarenko. The Development of the Statistical Theory of a Satellite Ensemble Motion and its Application to Space Debris Modeling. Second European Conference on Space Debris, ESOC, Darmstadt, Germany 17-19 March 1997.
5. A. Kiselev. The Model of Fragmentation of Space Debris Particles under High Velocity Impact. *Moscow Univ. Mechanics Bulletin*, 2001, No3.
6. N. Smirnov, V. Nikitine, A. Kiselev. Peculiarities of Space Debris Production in Different Types of Orbital Break-ups. *Proc. 2nd European Conf. on Space Debris*. Darmstadt, 1997, pp. 465-471.
7. D. Kessler and B. Cour-Palais. Collision Frequency of Artificial Satellites: the Creation of Debris Belt. Journal of geophysical research, Vol. 83. A6, June 1978.
| Par-tic-les | .0025 | .005 | .010 | .025 | .050 | .100 | .25 | .50 | 1.0 |
|-------------|-------|------|------|------|------|------|-----|-----|-----|
| ja=1 | 5 | 486 | 28401| 43053| 1256 | 121 | 12 | 1 | 0 |
| ja=2 | 4427 | 39976| 217271| 547138| 7387 | 3716 | 452 | 16 | 1 |
Remained on orbit:
| Par-tic-les | .0025 | .005 | .010 | .025 | .050 | .100 | .25 | .50 | 1.0 |
|-------------|-------|------|------|------|------|------|-----|-----|-----|
| ja=1 | 5 | 444 | 25884| 38870| 1069 | 96 | 9 | 1 | 0 |
| ja=2 | 4033 | 36416| 197674| 495929| 50402| 3086 | 346 | 10 | 1 |
Deorbited:
### Table 2
| Altitude, km | .0025 | .005 | .010 | .025 | .050 | .100 | 0.25 | 0.5 | 1.0 |
|-------------|-------|------|------|------|------|------|------|-----|-----|
| 450 | 36 | 328 | 2010 | 5036 | 652 | 60 | 10 | 1 | 0 |
| 550 | 36 | 328 | 2010 | 5036 | 652 | 60 | 10 | 1 | 0 |
| 650 | 36 | 328 | 2010 | 5036 | 652 | 60 | 10 | 1 | 0 |
| 750 | 36 | 328 | 2010 | 5036 | 652 | 60 | 10 | 1 | 0 |
| 850 | 36 | 328 | 2010 | 5036 | 652 | 60 | 10 | 1 | 0 |
| 950 | 4253 | 38825| 235620| 565013| 55383| 3539 | 414 | 14 | 1 |
| Sum | 4433 | 40465| 245670| 590193| 58643| 3839 | 464 | 19 | 1 |
Number of particles of different sizes in 2000
### Table 3
| Version | Size of particles, cm | 0.1-0.25 | 0.25-0.5 | 0.5-1.0 | 1.0-2.5 | 2.5-5.0 | 5.0-10 | 10-20 | >20 |
|-------------|------------------------|----------|----------|---------|---------|---------|--------|-------|-----|
| All collis. | | 77.7E+6 | 7.57E+6 | 1.58E+6 | 203000 | 81850 | 32500 | 16780 | 7699|
| Partial col.| | 66.2E+6 | 6.75E+6 | 1.56E+6 | 201000 | 81730 | 32480 | 16780 | 7700|
| No collis. | | 65.7E+6 | 6.21E+6 | 1.55E+6 | 200000 | 81710 | 32480 | 16780 | 7700|
Matrix of accumulated probabilities (the average number) of collisions of SOs of different sizes
### Table 4
| jd=1 | jd=2 | jd=3 | jd=4 | jd=5 | jd=6 | jd=7 | jd=8 |
|-------------|------|------|------|------|------|------|------|
| jd=1 | 41.0 | 18.3 | 12.5 | 4.90 | 7.9 | 11.4 | 20.60|
| jd=2 | | 1.5 | 1.6 | 0.50 | 0.73 | 1.00 | 1.78 |
| jd=3 | | | 0.32 | 0.16 | 0.20 | 0.25 | 0.42 |
| jd=4 | | | | 0.01 | 0.026| 0.026| 0.041|
| jd=5 | | | | | 0.009| 0.015| 0.019|
| jd=6 | | | | | | 0.004| 0.009|
| jd=7 | | | | | | | 0.003|
| jd=8 | | | | | | | 0.96 |
Figure 1. Comparison of the altitude distribution of SO number for different prediction strategies |
A Tale of Two Rivers: Implications of Water Management Practices for Mussel Biodiversity Outcomes During Droughts
Daniel C. Allen, Heather S. Galbraith, Caryn C. Vaughn, Daniel E. Spooner
Received: 12 February 2013 / Revised: 1 May 2013 / Accepted: 11 June 2013 / Published online: 5 July 2013
Abstract Droughts often pose situations where stream water levels are lowest while human demand for water is highest. Here we present results of an observational study documenting changes in freshwater mussel communities in two southern US rivers during a multi-year drought. During a 13-year period water releases into the Kiamichi River from an impoundment were halted during droughts, while minimum releases from an impoundment were maintained in the Little River. The Kiamichi observed nearly twice as many low-flow events known to cause mussel mortality than the Little, and regression tree analyses suggest that this difference was influenced by reduced releases. During this period mussel communities in the Kiamichi declined in species richness and abundance, changes that were not observed in the Little. These results suggest that reduced releases during droughts likely led to mussel declines in one river, while maintaining reservoir releases may have sustained mussel populations in another.
Keywords Drought · Minimum flows · Hydrologic alteration · Environmental flows · Unionoida · Freshwater mussel · Indicator species
INTRODUCTION
Water sustainability is a widespread issue in North America and across the globe as humans are using freshwater more rapidly than it can be replenished (Baron et al. 2002; Richter et al. 2003). In the United States, sustainable water use is not only a concern in the arid southwest (Sabo et al. 2010) but even in humid areas such as the southeast (Pederson et al. 2012). Freshwater is vital for human life, but biologically complex and intact freshwater ecosystems provide key ecosystem services that also benefit society (Baron et al. 2002). With increasing human water demand coupled with climate change induced alterations of drought frequency (IPCC 2007) and stream flows (Milly et al. 2005), the trade-offs between water security for human needs and environmental conservation will be only more challenging in the future.
Freshwater mussels (Bivalvia: Unionidae, hereafter “mussels”) are one of the most imperiled faunas due to species extinctions and declines of once common species (Strayer 2008; Haag 2012). The influence of stream flows on mussels is pervasive, making them a model study system to investigate the environmental effects of hydrological alterations. Mussels rely on predictable stream flows for reproduction (Galbraith and Vaughn 2011), the maintenance of tolerable temperatures (Gagnon et al. 2004; Spooner and Vaughn 2008; Gough et al. 2012) and stable habitats (Allen and Vaughn 2010), as well as the abundance of host fish required for juvenile mussel recruitment (Roy et al. 2005; Vaughn 2012). Changes in hydrology due to dam construction and river channelization is considered to be the primary cause of mussel declines in the US (Vaughn and Taylor 1999; Strayer et al. 2004), and effects of climate change and water withdrawals are predicted to accelerate mussel declines in the future (Spooner et al. 2011).
Mussels are patchily distributed in streams, and typically occur in multi-species, aggregated assemblages known as “mussel beds.” Mussel species within these beds vary in behavior and physiology, including thermal tolerance (Vaughn 2010). Spooner and Vaughn (2008) investigated the effects of naturally occurring temperatures (5–35 °C) on the physiological condition of eight common mussel species in the southern US, and found that species are either thermally sensitive or tolerant based on their response to warm temperatures (35 °C). While all mussel
species are susceptible to mortality and stranding during droughts, thermally sensitive species are more likely to perish during high temperature and low-flow conditions (Galbraith et al. 2010).
Here we present results of an observational study examining water management practices and changes in mussel communities in two rivers during a multi-year drought. The Kiamichi and Little Rivers, located in the southern plains of the US, are similar in size and mussel species composition but were managed differently during a recent, multi-year drought (1998–2005; Galbraith et al. 2010); in the Kiamichi River water releases into the river from a tributary impoundment decreased as the drought progressed, while in the Little River water releases into the river were maintained during the drought. We use long-term data from each river to compare mussel species richness and community structure before and after the drought and discuss how these results likely relate to water management practices.
MATERIALS AND METHODS
Study Area
We collected pre (1991–1994) and post (2003–2006) drought mussel data from two adjacent rivers in southeastern Oklahoma, US, the Kiamichi and Little Rivers (Fig. 1). Table 1 summarizes the mussel species in these rivers presently and historically. Mussel data from Isely (1924) were collected in 1910–1911 prior to dam construction on these rivers, though only a few sites were sampled: 3 in the Kiamichi and 1 in the Little. Present-day sampling efforts have been much more extensive, as we present data from 7 sites in the Kiamichi River (Galbraith et al. 2010) and 8 sites in the Little River. In total, 35 mussel species have been reported in these rivers, 31 from the Kiamichi River, and 33 from the Little River with 29 species common to both rivers (Table 1). Therefore, the mussel communities in these rivers, while not identical, are
strikingly similar. Both rivers originate in the Ouachita Uplands then flow south through the Gulf Coastal Plain and are known for their high aquatic biodiversity (Matthews et al. 2005; Galbraith et al. 2008). The climate in this region is characterized by cyclical droughts (Matthews et al. 2005) and rivers here are considered especially vulnerable to climate warming (Mulholland et al. 1997; Matthews et al. 2005).
Rivers in southeast Oklahoma are targeted by nearby metropolitan areas (Oklahoma City, OK, and Dallas-Fort Worth, TX) as water sources to meet future water needs (OWRB 2012). Stream flows at our sampling sites on the Little River are affected by releases from a mainstem impoundment, Pine Creek Lake, while stream flows at the Kiamichi River sampling sites are affected by a tributary impoundment, Sardis Lake, which impounds Jackfork Creek (~30% of the Kiamichi River watershed). However, water management practices of these two reservoirs differ. Releases from Sardis Lake (Kiamichi River) are managed to maintain lake levels for human consumption and recreation, so no water is released during droughts. Although releases from Pine Creek Lake (Little River) vary throughout the year to maintain lake levels and prevent floods, they are maintained at a minimum of at least 0.51 m$^3$ s$^{-1}$ as a “water quality release” to dilute effluent from a paper mill downstream in Valliant, OK (Dave Martinez, United States Fish and Wildlife Service, personal communication).
**Mussel Sampling**
Long-term mussel monitoring sites were established on the Kiamichi River in 1991 by Vaughn and Pyron (1995). These sites were resampled in 2003–2005 at the end of the drought, and Galbraith et al. (2010) documented declines in both mussel species richness and abundance. Sampling methods for the Kiamichi River are described in detail in Galbraith et al. (2010), but consisted of excavating 15 quadrats per site at each time period during the summer. The Little River was surveyed for mussels in the summer of 1992–1994 (Vaughn and Taylor 1999), and we resurveyed 8 of the same sites during the summer of 2005–2006. The selected sites were located between Pine Creek Lake and the confluence with the Mountain Fork River (Fig. 1), since mussel beds in this stretch of the river were found to have the highest mussel abundances and species richness (Vaughn and Taylor 1999).
For both sampling periods in the Little River, mussels were sampled semi-quantitatively (timed searches) at all 8 sites, and quantitatively sampled (0.25 m$^2$ quadрат excavation) at 4 of these sites (Fig. 1). Timed searches varied in total duration among sites and years but were always between 1 and 2 h. From these samples, we calculated mussel species richness and abundance (mean density from quadrats and catch-per-unit-effort from timed searches). The number of excavated quadrats was 15 for all sites in the 1990s, but in the 2000s we sampled 24 quadrats for
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**Table 1** Mussel species collected from Kiamichi and Little Rivers. Data from 1910 to 1911 was collected by Isely (1924) from 3 sites on the Kiamichi and 1 site before the construction of the Sardis and Pine Creek dams. Data from the Kiamichi River collected in 2003–2005 is presented in Galbraith et al. (2010), and data from the Little River collected in 2006 is presented in this paper
| Species | Kiamichi River | Little River |
|--------------------------|----------------|--------------|
| | 1910–1911 | 2003–2005 | 1910–1911 | 2006 |
| *Actinonaias ligamentina*| X | X | X | X |
| *Amblema plicata* | X | X | X | X |
| *Arkansas wheeleri* | X | X | X | X |
| *Elliptaria lineolata* | X | X | X | X |
| *Elliptio dilatata* | X | | | X |
| *Fusconaia flava* | X | X | | X |
| *Lampsilis cardium* | X | X | | X |
| *Lampsilis siliquoidea* | X | X | X | X |
| *Lampsilis teres* | X | X | X | X |
| *Lasmigona costata* | X | | | X |
| *Leptodea leptodon* | X | | | X |
| *Leptodea fragilis* | X | X | | X |
| *Megalobranchia nervosa* | X | X | | X |
| *Obliquaria reflexa* | X | X | X | X |
| *Obovaria jacksonia* | X | X | X | X |
| *Pleurobema rubrum* | X | | | X |
| *Pleurobema sintoxia* | X | X | | X |
| *Plectomerus dombeyanus* | | | | X |
| *Potamilus purpuratus* | X | X | X | X |
| *Potamilus capax* | X | | | X |
| *Pychobranchus occidentalis* | X | X | X | X |
| *Pyganodon grandis* | X | X | | X |
| *Quadrula cylindrica* | X | X | | X |
| *Quadrula fragosa* | | | | X |
| *Quadrula quadrula* | X | X | X | X |
| *Quadrula pustulosa* | X | X | X | X |
| *Quadrula verrucosa* | X | X | X | X |
| *Strophitus undulatus* | X | X | | X |
| *Truncilla donaciformis* | X | | | X |
| *Truncilla truncata* | X | X | X | X |
| *Toxolasma parvus* | X | X | | X |
| *Toxolasma texanensis* | | | | X |
| *Utterbackia imbecillis* | X | X | | X |
| *Villosa arkanasensis* | | | | X |
| *Villosa leinosa* | X | | | X |
| **Total** | **29** | **26** | **17** | **32**|
three of the four sites, and 15 for the fourth. Variation in sampling effort (number of quadrats or time searched) between sites or sampling periods has the potential to affect species-richness data of each site, as increased sampling increases the chances of collecting a rare or uncommon species. To correct for effects of varied sampling effort on species richness data, we generated rarefaction curves using EcoSim (version 7.72; Acquired Intelligence, Inc.). To calculate rarefied species richness for the three sites with 24 quadrats, we simulated 1000 resamples to generate a rarefaction curve to estimate species richness for 15 quadrat samples. For timed search data, we calculated rarefied species richness for whichever of the two samples (1990s or 2000s) had the larger total number of mussels collected, simulating 1000 resamples with the number of individuals from the smaller sample. Following Galbraith et al. (2010), we calculated the relative abundance of mussel species contributing to the two thermal guilds based on their response to warm temperatures (35 °C; thermally sensitive: *Actinonaias ligamentina*, *Lampsilis cardium*, *Quadula pustulosa*, *Truncilla truncata*; thermally tolerant: *Amblema plicata*, *Fusconaia flava*, *Megalonaias nervosa*, *Obliquaria reflexa*; Spooner and Vaughn 2008).
**Hydrological and Climate Data**
Daily discharge data for the Little River were obtained from USGS gauging station 0733850 near Broken Bow, OK ([waterdata.usgs.gov/ok](http://waterdata.usgs.gov/ok)), the closest gauging station to our sampling sites (Fig. 1). Data were obtained from the construction of Pine Creek Lake (1970) through our mussel sampling (2006). Because we wanted to compare our Little River results to those documented in the Kiamichi River (Galbraith et al. 2010), we also obtained daily discharge data from USGS gauging station 07336200 in the Kiamichi River near Antlers (Fig. 1), spanning the construction of Sardis Lake (1982) through the mussel sampling (2005, Galbraith et al. 2010). The Kiamichi River and Little River are similar in size at these two gauges (2947 and 3175 km$^2$, respectively). We defined a low-flow threshold as the 5th-quantile of discharges (Kiamichi River, 0.08 m$^3$ s$^{-1}$; Little River, 0.96 m$^3$ s$^{-1}$), following Galbraith et al. (2010). This discharge corresponds to dates where we observed exposed portions of mussel beds, dead stranded mussels, non-flowing river sections, and isolated pools while sampling the Little River in 2005 and 2006. Moreover, an in situ experiment conducted in the Kiamichi River showed high rates of mussel mortality in isolated pools at these discharges (Galbraith et al. 2010). This low-flow threshold simply represents a discharge that is known to cause mussel mortality in these rivers, and is not meant to indicate a minimum flow requirement to sustain freshwater mussels in these rivers (which would require more study).
Data on water flowing into (inflows) and released from Pine Creek Lake (Little River) and Sardis Lake (Kiamichi River) were obtained from the Army Corp of Engineers ([www.swt-wc.usace.army.mil/PINEcharts.html](http://www.swt-wc.usace.army.mil/PINEcharts.html) and [www.swt-wc.usace.army.mil/SARDcharts.html](http://www.swt-wc.usace.army.mil/SARDcharts.html), respectively). Data on inflows and releases were not available before 1995, so we examined data from 1995 through our sampling period (2006). Using these data, we calculated the release/inflow ratio, where a value of one indicates that the reservoir released the same volume of water that flowed into it and a value greater or less than one indicates the reservoir released relatively more or less water than flowed into it, respectively.
We obtained air temperature and precipitation data from the Oklahoma Mesonet ([www.mesonet.org](http://www.mesonet.org)), a system of continuous-recording weather stations. Using data from 9 stations across four counties that span the Little River and Kiamichi River watersheds, Galbraith et al. (2010) reported that this region experienced a multi-year drought from 1998 to 2005 when compared to the historical temperature and precipitation record. In our analysis, we used data collected from 4 stations in the Kiamichi River watershed (located in Antlers, Clayton, Hugo, and Talihina) and 4 stations in the Little River watershed (located in Broken Bow, Cloudy, Idabel, and Mt. Herman). We calculated monthly average high air temperatures using daily high air temperature data, and used monthly total precipitation data, which was only available beginning in March of 1997.
**Statistical Analyses**
To test for changes in mussel communities between the 1990s and 2000s, we used paired $t$ tests on mussel data (running separate tests for each river): mussel species richness (rarefied when necessary to account for varying sampling effort), mussel abundance (density for quadrat data [individuals per m$^2$] and catch-per-unit effort for timed search data [individuals per hour]), and the relative abundance of thermally sensitive species (an additional test for thermally tolerant species was not conducted as it would have been redundant). Abundance data were square root transformed and relative abundance data were arcsine-square root transformed prior to analysis. To test for differences between the frequency of low-flow days between the Kiamichi and Little Rivers, we used Fisher’s exact test on a contingency table with the cumulative number of low-flow days and non-low-flow days that occurred between 1994 and 2006. Finally, to investigate how climate and water management influenced the occurrence of low-flow days on the Kiamichi and Little Rivers, we used regression tree models. Regression tree models are non-parametric, distribution-free, robust to outliers, do not require a priori hypotheses, and can model threshold responses and
complex interactions (De’ath and Fabricius 2000). Regression trees model a continuous response variable by repeatedly splitting the data into groups, defined by simple decision rules based on a single explanatory variable. We used monthly data for our regression tree models, with number of low-flow days per month as the response variable (March 1997–December 2006). For candidate explanatory variables we used: average high air temperature (°C), total precipitation in the current month (cm), the total precipitation in the previous month (cm), and the release/inflow ratio (described above). We generated regression trees for each river individually to examine differences between the two rivers. Regression trees were generated using the “tree” package for R software (Ver. 2.13.1, R Development Core Team). Categorical and regression tree analyses are generally conducted by growing a very large tree, and then pruning it into a smaller, more parsimonious tree. We selected the smallest tree size within one standard error of the tree with the smallest average estimated error rate from 50 cross-validation runs (1-SE rule, De’ath and Fabricius 2000). This approach prunes trees by removing branches that do not explain a significant amount of error.
RESULTS
Mussel Data
Mussel communities in the Little River were diverse and abundant during both sampling periods (Fig. 2a, b), and paired t tests indicated no significant differences in abundance (quadrat: $t = 1.67$, df = 3, $p = 0.20$; timed: $t = 0.46$, df = 7, $p = 0.66$) or species richness (quadrat: $t = 2.66$, df = 3, $p = 0.08$; timed: $t = 0.40$, df = 7, $p = 0.70$). However, during the same time span in the Kiamichi River mussel abundance and species richness showed significant declines (abundance: $t = -4.60$, df = 6, $p = 0.004$; richness: $t = -3.36$, df = 6, $p = 0.015$; Fig. 2a, b). Mussel communities in these rivers also showed different trends in the composition of thermally sensitive species. Data from the Little River indicate that mussel species more sensitive...
to warm temperatures increased in abundance relative to thermally tolerant species (Fig. 2c, d), but this relationship was only significant for quadrat data and not timed search data (quadrat: $t = 10.93$, df = 3, $p = 0.002$; timed: $t = 1.7006$, df = 7, $p = 0.13$) in spite of the greater sample size of the timed search data ($n = 8$ vs. $n = 4$). Because of this, we refrain from interpreting the results of the significant test on quadrat data when it is insignificant with timed search data, and interpret these tests together as indicating that there was no significant change in the relative abundance of thermally tolerant species in the Little River. In contrast, mussel communities in the Kiamichi River showed the opposite relationship where mussel species more sensitive to warm temperatures decreased in abundance relative to thermally tolerant species, but this trend was not significant ($t = -0.95$, df = 6, $t = 0.38$, Fig. 2c, d).
**Climate and Hydrologic Data**
Both the Kiamichi River and Little River experienced a similar climate, with the late summer months (July, August, and September) characterized by the hottest and driest times of year (Fig. 3a). However, reservoir water management practices differed between the rivers, especially between July and November (Fig. 3b). In the Little River, Pine Creek Lake maintained a constant release, with a release/inflow ratio always >1 in these months. Over 12 years, less than half of months observed a release/inflow ratio <1 (71 of 144). Release/inflow ratios <1 were typically observed in March and April (10 of 12 years) and in June (9 of 12 years). In fact, the highest release/inflow ratios for Pine Creek Lake coincided with the driest part of the year (July to November, Fig. 3a, b). In the Kiamichi
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**Fig. 3** Summary of climate and hydrological data during the mussel sampling periods for the Little River (1994–2006) and Kiamichi River (1993–2005). a Mean daily high air temperature (°C) and total precipitation (cm) by month (data from Oklahoma Mesonet), points are means and whiskers are SEs; b release/inflow ratios for reservoirs influencing streamflows at mussel sampling sites on the Little River (Pine Creek Lake) and the Kiamichi River (Sardis Lake) by month; data from US Army Corp of Engineers), points are means and whiskers are SEs (note log-scale on y-axis). The dashed line indicates a release/inflow ratio of one, indicating equal amounts of water flowing into and released from the lake; c total number of low-flow days for the Little and Kiamichi Rivers for each year (using the 5th-quantile of historical post-dam discharges as the low-flow threshold; data from US Geological Survey)
River, Sardis Lake typically released much less water than it received via inflow. Over 12 years, 85% of all months observed a release/inflow ratio <1 (123 of 144). Moreover, 40% (57 of 144) of all months had no water released from the lake at all. Furthermore, these zero-release months most frequently occurred in the hottest and driest part of the year (August, 10 of 12 years; July and September, 8 of 12 years). Finally, these two rivers also significantly differed in the number of low-flow days observed during the study period (Fisher’s exact test, $p < 0.001$, Fig. 3c). From 1994 to 2006 there were nearly twice as many low-flow days in the Kiamichi River compared to the Little River (511 compared to 268), and these low-flow days occurred more frequently in the Kiamichi River than in the Little River (11 of 14 years for the Kiamichi River, and 6 of 14 years for the Little River). Additionally, the number of low-flow days in the Kiamichi River outnumbered those in the Little River in every year they occurred.
Regression tree models were successful in using climate and reservoir management data to explain the occurrence of low-flow days. However, the regression tree models for the Little River and Kiamichi Rivers were strikingly different (Fig. 4). The regression tree model for the Little River explained less error than the Kiamichi River model ($R^2$ 0.45 and 0.66, respectively). Furthermore, the Little River tree model was much simpler than the Kiamichi River tree model, with only a single branching point and two terminal leaves. For the Little River, low-flow days were more likely to occur when the release/inflow ratio was >5.5, and the model used no climate variables (Fig. 4a). However, the Kiamichi River tree showed an interaction between climate and reservoir management variables in a more complex tree (Fig. 4b). Of the six terminal leaves in this tree, three had many low-flow days per month (25.4, 23.8, and 10.5) and three had relatively few (0.18, 0.80, and 0.83). All three terminal leaves with many low-flow days required a low amount of precipitation in the previous month (<5.5 cm) and a release/inflow ratio <0.2. These three leaves were further separated by excessively low precipitation in the previous month (<1.4 cm), low precipitation in the current month (<3.2 cm), or an average high temperature >20.4 °C (Fig. 4b).
**DISCUSSION**
Here we show that freshwater mussel declines occurred in the Kiamichi River during a multi-year drought, where flows from an upstream impoundment were withheld and
increased the frequency of low water levels known to cause mussel mortality. Because the Little River was managed differently with a minimum release from an upstream impoundment, the occurrence of low-flow days was nearly halved during the multi-year drought. Mussel declines were not observed in the Little River, suggesting that water management practices increased the occurrence of mussel mortality due extreme low-flow conditions and likely lead to the mussel biodiversity declines in the Kiamichi River. While Galbraith et al. (2010) attributed changes in Kiamichi River mussel communities to a combination of drought and management practices, our data presented here suggest that water management practices may have had a stronger role in influencing mussel community changes observed in the Kiamichi River.
Both rivers were sampled for mussels in the 1990s and 2000s, but only the Kiamichi River experienced significant declines in mussel abundance and species richness. In the Kiamichi River we observed a statistically insignificant shift in relative abundance toward thermally tolerant mussel species, but this effect might have been obscured due to a lack of power. Galbraith et al. (2010) found this shift to be statistically significant, but they included more sampling sites than we did in this analysis. Conversely, mussel communities in the Little River experienced little change, over the same 15-year period despite experiencing the same drought, and any trend that was observed was in the opposite direction when compared to the Kiamichi (i.e., shifts in thermally sensitive/tolerant species, Fig. 2c, d).
Our analysis suggests that reservoir management practices can amplify drought conditions in rivers, increasing the occurrence of low-flow days when water levels are already low. Regression tree models showed very different relationships between climate and reservoir management variables for the Little River and Kiamichi River. For the Little River climate variables were not important in predicting the occurrence of low-flow days. This is likely because the driest periods of the year (late summer–early fall) coincide with the highest release/inflow ratios from Pine Creek Lake. Thus, by releasing more water than would naturally be flowing through Pine Creek Lake, the releases decrease the number of low-flow days and maintain mussel habitat. The Little River regression tree model supports this argument: although low-flow days were predicted when the release/inflow ratio was very high (>5.5), a closer look at the data reveals that these months coincided with the lowest inflows to Pine Creek Lake and contributes to the high release/inflow ratio even though the discharge during these months was very low (in these months, inflows were negatively correlated with release/inflow ratio, \( r = -0.75 \)). Therefore, the Little River was already exceptionally dry and experiencing low-flow days despite reservoir releases, not due to a lack thereof.
For the Kiamichi River, many low-flow days per month were only predicted to occur when low precipitation occurred in the previous month, and the release/inflow ratio of Sardis Lake was especially low (<0.2). The three terminal leaves were further separated by exceptionally low precipitation in the previous month, exceptionally low precipitation in the current month, or higher daily maximum air temperatures. Conversely, low-flow days did not occur when precipitation was normal or greater or when the release/inflow ratio was higher than 0.2. Therefore, reduced reservoir releases during dry weather produced low-flow days on the Kiamichi River.
Although the Kiamichi and Little Rivers are similar in climate and in mussel assemblages, our results should be interpreted within some caveats. First, by necessity this was an observational study and not a direct manipulation. Thus, there may be other factors correlated with low-flows that might also have contributed to mussel declines in the Kiamichi River (e.g., corresponding declines in fish host assemblages). Second, the location of dams within each watershed is different. The Sardis Lake dam impounds a tributary of the Kiamichi River, while the Pine Creek Lake dam impounds the mainstem Little River directly (Fig. 1). Although Sardis Lake impounds 30% of the Kiamichi River watershed, it has a smaller influence on Kiamichi River flows than the Pine Creek Lake dam has on Little River flows. Finally, there are some physical differences between these rivers. Although both rivers originate in and drain the Ouachita uplands and are similar in size and land use (Mathews et al. 2005), our sites on the Kiamichi River are higher in elevation than our sites on the Little River. Thus, there may be some unmeasured geomorphological differences between these rivers at our sampling sites which could influence how mussel communities might be able tolerate droughts (e.g., differences in substrate size that could influence burrowing ability).
**Conservation Implications**
Conserving mussel biodiversity is important. Freshwater mussels (Unionoidae) are already the world’s most imperiled faunal group, with nearly 75% of species listed as threatened or endangered at the state or federal level in the United States. Thirty-five mussel species occur in the Little River and Kiamichi River, including three federally endangered species (*Arkansas wheeleri*, *Leptodea leptodon*, and *Quadraula fragosa*; Galbraith et al. 2008). Mussels provide important ecosystem services such as biofiltration, nutrient recycling, and physical habitat modification (Vaughn 2010). Importantly, studies conducted in these two rivers have shown that mussel biodiversity increases the performance of these ecosystem services by mussel communities (Vaughn et al. 2007; Spooner and Vaughn
Thus, mussel biodiversity declines may impact ecosystem functioning.
Although minimum flows have been discussed for decades (Gore 1978), large-scale natural or manipulative flow experiments generally manipulate flood occurrence and/or frequency rather than increasing minimum flows (Konrad et al. 2011). Increasing minimum flows has been shown to increase the ecological integrity of benthic aquatic insect and fish communities (Connor and Pflug 2004; Bednarek and Hart 2005; Decker et al. 2008; Bradford et al. 2011), but these studies often restore flows with the purpose of rewetting previously dry reaches instead of increasing existing flows (but see Travaisshek et al. 1995). However, in a long-term study Maynard and Lane (2012) found that increased minimum flows led to an increase in macroinvertebrate diversity. Nevertheless, studies investigating the relationship between minimum flows and freshwater mussel diversity are rare in spite of their more imperiled conservation status.
Like other stream organisms, mussels have evolved under and adapted to natural flow regimes (Lytle and Poff 2004). Natural flow regimes have been restored for riparian forests (Rood et al. 2005), and shows promise for promoting native fish existence in competition with non-natives (Gido and Propst 2012). Restoring natural flow regimes to sustain mussels and other stream life is highly desirable because mussel life histories and population success are tightly coupled with hydrology (Rypel et al. 2009; Peterson et al. 2011). However, restoring historic natural flow regimes may not be achievable in many southern rivers due to severely depleted aquifers, human demand, and future climate change. During droughts, both ground and surface water are in high demand, stream flows are already at their lowest levels, and are most susceptible to being reduced to biologically harmful levels by human alteration. Furthermore, climate change models predict increased drought frequency and duration, along with higher summer temperatures for the US southern plains (including the Kiamichi River and Little River basins, Mulholland et al. 1997; IPCC 2007). Nevertheless, for most impounded rivers, we should be able to provide flows that sustain mussels and other aquatic life during droughts, while still meeting basic human needs, and both ecological and policy research should be directed in this area (Richter 2010). Such releases need to be planned carefully based on the dynamics of specific rivers and species life history and habitat needs. For example, hypolimnetic water releases that lead to higher water levels and cooler temperatures during summer months can affect mussel gamete development, parasitism rates, and body condition (Galbraith and Vaughn 2009; Galbraith and Vaughn 2011), and even inhibit mussel reproduction (Layzer et al. 1993; Peterson et al. 2011).
The large-scale impoundment of rivers in North America is largely responsible for mussel declines over the past century, particularly through fragmentation and changes in hydrology (Haag 2012). These impoundments are ubiquitous on the landscape (Poff et al. 2007). While over 800 dams have been removed in the United States (Doyle et al. 2003), more are being constructed in the Southeast, Southwest, and Mountain/Prairie regions (USACE 2010). In these areas, water desired by agriculture and growing urban areas often exceeds supply (OWRB 2012), a situation that will likely be magnified with impending climate change (IPCC 2007; Liu et al. 2012). Our results indicate that we can manage these impoundments to maintain biotic integrity of aquatic ecosystems, in this case the biodiversity of an imperiled fauna. While we cannot control the occurrence, timing, or duration of droughts, we do have the ability to manage our freshwater resources in a responsible way so that drought conditions are not exacerbated.
Acknowledgments Funding for this project was provided by the Oklahoma Department of Wildlife Conservation (Projects E-12, E-59, T-10, and T-38) and the National Science Foundation (DEB-0211010, DEB-9306887, DEB-9870092, and DBI-1103500). We thank many people who contributed in the field, particularly M. Craig, K. Eberhard, J. Hilliard, D. Partridge, M. Pyron, C. Taylor, and M. Winston in the 1990s; and W. Allen, S. Dengler, D. Fenolio, K. Hobson, D. Morris, and K. Reagan in the 2000s. R. McPherson of the Oklahoma Climatological Survey provided Mesonet data. We thank the Little River Wildlife Refuge for cooperation in establishing sampling sites on managed lands, and private landowners for access to other sampling sites. This is a contribution to the program of the Oklahoma Biological Survey.
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**AUTHOR BIOGRAPHIES**
**Daniel C. Allen** (5%) is a postdoctoral research fellow at the University of Michigan. His research interests include community ecology, hydrology, and geomorphology.
*Address:* Oklahoma Biological Survey and Department of Biology, University of Oklahoma, Norman, OK 73019, USA.
*Present Address:* School of Natural Resources and Environment, University of Michigan, Ann Arbor, MI 48109, USA.
*e-mail:* email@example.com
**Heather S. Galbraith** is a research fishery biologist with the United States Geological Survey. Her research interests include stream ecology and conservation biology.
*Address:* Oklahoma Biological Survey and Department of Biology, University of Oklahoma, Norman, OK 73019, USA.
*Present Address:* United States Geological Survey, Northern Appalachian Research Laboratory, Leetown Science Center, 176 Straight Run Road, Wellsboro, PA 16901, USA.
*e-mail:* firstname.lastname@example.org
**Caryn C. Vaughn** is a Presidential Professor of Biology at the University of Oklahoma. Her research interests include freshwater ecology and conservation biology.
*Address:* Oklahoma Biological Survey and Department of Biology, University of Oklahoma, Norman, OK 73019, USA.
*e-mail:* email@example.com
**Daniel E. Spooner** is a postdoctoral biologist with the United States Geological Survey. His research interests include community ecology and ecophysiology.
*Address:* Oklahoma Biological Survey and Department of Biology, University of Oklahoma, Norman, OK 73019, USA.
*Present Address:* United States Geological Survey, Northern Appalachian Research Laboratory, Leetown Science Center, 176 Straight Run Road, Wellsboro, PA 16901, USA.
*e-mail:* firstname.lastname@example.org |
Lead2Gold: Towards exploiting the full potential of noisy transcriptions for speech recognition
Adrien Dufraux, Emmanuel Vincent, Awni Hannun, Armelle Brun, Matthijs Douze
To cite this version:
Adrien Dufraux, Emmanuel Vincent, Awni Hannun, Armelle Brun, Matthijs Douze. Lead2Gold: Towards exploiting the full potential of noisy transcriptions for speech recognition. ASRU 2019 - IEEE Automatic Speech Recognition and Understanding Workshop, Dec 2019, Singapour, Singapore. hal-02316572
LEAD2GOLD: TOWARDS EXPLOITING THE FULL POTENTIAL OF NOISY TRANSCRIPTIONS FOR SPEECH RECOGNITION
Adrien Dufraux\textsuperscript{1,2}, Emmanuel Vincent\textsuperscript{2}, Awni Hannun\textsuperscript{1}, Armelle Brun\textsuperscript{2}, Matthijs Douze\textsuperscript{1}
\textsuperscript{1}Facebook AI Research, \textsuperscript{2}Université de Lorraine, CNRS, Inria, LORIA, F-54000 Nancy, France
ABSTRACT
The transcriptions used to train an Automatic Speech Recognition (ASR) system may contain errors. Usually, either a quality control stage discards transcriptions with too many errors, or the noisy transcriptions are used as is. We introduce Lead2Gold, a method to train an ASR system that exploits the full potential of noisy transcriptions. Based on a noise model of transcription errors, Lead2Gold searches for better transcriptions of the training data with a beam search that takes this noise model into account. The beam search is differentiable and does not require a forced alignment step, thus the whole system is trained end-to-end. Lead2Gold can be viewed as a new loss function that can be used on top of any sequence-to-sequence deep neural network. We conduct proof-of-concept experiments on noisy transcriptions generated from letter corruptions with different noise levels. We show that Lead2Gold obtains a better ASR accuracy than a competitive baseline which does not account for the (artificially-introduced) transcription noise.
Index Terms— ASR, label noise, beam search, noise model, weakly supervised learning
1. INTRODUCTION
Automatic Speech Recognition (ASR) systems are typically trained in a fully supervised fashion using paired data, i.e., speech utterances with the corresponding transcriptions. The speech utterances can be either prepared or spontaneous. Prepared speech involves well-constructed sentences that could be found in a written document or a prepared talk, whereas spontaneous speech is unprepared and results from people talking freely. Prepared speech datasets typically consist of read speech, such as the LibriSpeech [1] or the Wall Street Journal (WSJ) [2] datasets. In this case, the ground truth transcriptions are directly available from the book or the newspaper that the speaker is reading. Spontaneous speech is typically found in conversational speech datasets, such as the Fisher [3] or the Switchboard [4] datasets. In this case, the speech signal must be manually transcribed.
One the one hand, large read speech datasets can easily be collected for a small cost but they are not representative of the real test conditions encountered in commercial applications. As a result, models trained on these datasets achieve limited performance in real conditions. On the other hand, spontaneous speech datasets better match real test conditions but they are much more costly to acquire because of the manual transcription process. The transcriptions commonly used contain errors, which lead to performance degradation. The transcribers may provide higher quality transcriptions but at a much higher cost.
A few studies have sought to reduce the transcription cost. One approach is to perform semi-supervised learning on both transcribed and untranscribed data [5, 6]. Another approach is to use active learning to selectively transcribe some utterances [7]. The two approaches can be combined [8, 9]. Several studies have also considered transfer learning from related languages [10]. These approaches help reducing the cost, but the amount of knowledge that can be inferred from untranscribed data is intrinsically lower.
In this paper, we explore the middle ground where the training data are neither accurately transcribed nor untranscribed but a not-so-expensive “noisy” transcription is available instead. We propose a new method called \textit{Lead2Gold} that learns an end-to-end ASR model given a noise model and a single noisy transcription per utterance. We exploit all available information as opposed to discarding overly noisy transcriptions. To do so, we adapt the \textit{Auto Segmentation Criterion} (ASG) loss [11] to account for several possible transcriptions. The probability of every possible alignment for a given transcription is obtained from the current ASR model and from a noise model which quantifies how likely it has been mistranscribed into the provided noisy transcription. Because the computation of this loss is intractable, we use a differentiable beam search algorithm that samples only the best alignments of the best transcriptions.
Noise models have been used in the field of image classification. They can either be learned in advance [12] or jointly with the rest of the model with an extra layer [13–16]. Prior work has also used a noise model conditioned on the input features [17, 18]. However, these models cannot be directly applied to ASR as they do not handle sequential inputs and arbitrary-length outputs. Fewer studies have considered noise models for ASR. In [19], a spelling correction model was used for the distinct goal of correcting the output of an already trained end-to-end ASR system. In [20], the phonetic
sequence corresponding to each training utterance was inferred from several noisy transcriptions made by non-native transcribers using a misperception model, and subsequently used to train a conventional ASR model. Lead2Gold stands apart as it considers a sequence-level loss, it jointly learns the ASR model and the transcription graph (hence resulting in better transcriptions of the training data than using the noise model alone), and it requires a single noisy transcription per utterance.
This paper is a proof-of-concept for the proposed sequence-level noise model and training algorithm. As such, we adopt a controlled experimental protocol where we choose the noise model and generate noisy datasets accordingly. We present the algorithm in Section 2, then the experimental protocol and the experimental results in Sections 3 and 4, respectively. We conclude in Section 5.
2. SEARCHING FOR AND LEARNING FROM BETTER TRANSCRIPTIONS
Let us consider an utterance consisting of a feature sequence $X = [X_1, ..., X_T]$ over $T$ frames and the corresponding provided transcription $Y = [y_1, ..., y_L]$ which is a sequence of $L$ tokens. An alignment of a transcription over the $T$ frames is denoted as $\pi = [\pi_1, ..., \pi_T]$, where $\pi_t$ is the token in frame $t$. Given an utterance $X$, the acoustic model outputs token scores $f_{\pi_t}(X)$ for each frame $t$.
Our method relies on the sequence-discriminative ASG loss [11], that is an alternative to the Connectionist Temporal Classification (CTC) loss [21] often used to train end-to-end systems. ASG incorporates bigram frame-level transitions, does not contain an optional null output, and is globally normalized. As such, it is similar to the lattice-free Maximum Mutual Information (LF-MMI) loss also commonly used in ASR [22].
With this approach, a forced alignment step is not needed before training since all possible alignments of the provided transcription are taken into account. The score of every individual alignment is defined as
$$s(\pi | X) = \sum_{t=1}^{T} (f_{\pi_t}(X) + g(\pi_t|\pi_{t-1}))$$ \hspace{1cm} (1)
where $g(i|j)$ are the transition scores learned jointly with the acoustic model. The ASG loss to be minimized is defined as
$$\text{ASG}(Y) = - \log p(Y | X)$$ \hspace{1cm} (2)
$$= - \logadd_{\pi \in G_{ASG}(Y)} s(\pi | X) + \logadd_{\pi \in G_{full}} s(\pi | X)$$ \hspace{1cm} (3)
$$= - S_{ASG}(Y) + Z$$ \hspace{1cm} (4)
where the logadd operation is defined as $\logadd(a + b) = \log(e^a + e^b)$. $G_{ASG}(Y)$ is the graph comprising all possible alignments of the transcription $Y$ over $T$ frames. Contrary to [11], we use only one additional token to model the repetition of the previous letter and do not model the repetition of 3 consecutive letters. The graph $G_{full}$ contains all possible alignments of all possible transcriptions. The first term $S_{ASG}(Y)$ promotes all the paths in $G_{ASG}(Y)$, while the second term $Z$ is a normalization term. Both terms are efficiently computed with a dynamic programming algorithm.
2.1. Noise model
In this work, we consider the case when the provided transcriptions are corrupted. For each utterance, we denote by $\hat{Y} = [\hat{y}_1, ..., \hat{y}_{L_n}]$ the provided noisy transcription, and by $Y^* = [y^*_1, ..., y^*_{L_n}]$ the unknown correct (a.k.a. clean) transcription. We consider a noise model $p(\hat{Y}|Y^*)$ which provides the likelihood of a noisy transcription given the clean one. Note that the noise model conditions on the clean transcription only and does not depend on the utterance $X$.
In the following, as a proof-of-concept, we consider a simple noise model comprising token-level corruptions only. Clean transcriptions can be transformed into noisy transcriptions by substituting tokens, deleting clean tokens, or inserting new tokens into the resulting noisy transcription. For simplicity, we do not allow the deletion or insertion of two consecutive tokens. We also assume that insertions, deletions and substitutions are independent of each other.
To model this behavior we add a void token $\emptyset$. The probability of deleting a clean token $y^*_i$ is given by $p(\emptyset|y^*_i)$ and $p(\hat{y}_i|\emptyset)$ is the probability of inserting a noisy token $\hat{y}_i$. We interleave $\emptyset$ between all the tokens in $\hat{Y}$ and $Y^*$ so that $\hat{Y}$ becomes $[\emptyset, \hat{y}_1, \emptyset, ..., \emptyset, \hat{y}_{L_n}, \emptyset]$ and $Y^*$ becomes $[\emptyset, y^*_1, \emptyset, ..., \emptyset, y^*_{L_n}, \emptyset]$. A valid alignment between $\hat{Y}$ and $Y^*$ is denoted by $a = (a^*, \hat{a})$ where $a^*$ and $\hat{a}$ contain $L_n$ tokens. We denote by $A^{\hat{Y}}_{Y^*}$ the set of all possible alignments between $\hat{Y}$ and $Y^*$.
The noise model can now be computed as follows:
$$\log p(\hat{Y}|Y^*) = \log \sum_{a \in A^{\hat{Y}}_{Y^*}} p(\hat{Y}|Y^*, a)$$ \hspace{1cm} (5)
$$= \log \sum_{a \in A^{\hat{Y}}_{Y^*}} \prod_{i=1}^{L_n} p(\hat{a}_i|a^*_i)$$ \hspace{1cm} (6)
$$= \logadd_{a \in A^{\hat{Y}}_{Y^*}} \sum_{i=1}^{L_n} \log p(\hat{a}_i|a^*_i).$$ \hspace{1cm} (7)
We denote by $\mathcal{Y}_{\hat{Y}}$ the set of all clean transcriptions $Y^*$ that can lead to $\hat{Y}$ under this noise model:
$$\mathcal{Y}_{\hat{Y}} = \{Y^* \mid p(\hat{Y}|Y^*) > 0\}$$ \hspace{1cm} (8)
**Substitutions only:** We also consider the simplified case where only substitutions are allowed. In this case, only one alignment $a$ is possible between $\hat{Y}$ and $Y^*$, the length of the
alignment is the same as the clean and noisy transcriptions \((L_\alpha = L_1 = L_2)\), and expression (7) reduces to
\[
\log p(\tilde{Y} | Y^*) = \sum_{i=1}^{L_\alpha} \log p(\tilde{y}_i | y_i^*). \tag{9}
\]
### 2.2. Noise-aware ASG loss
We now reformulate the ASG loss to incorporate our model of transcription noise. The resulting noise-aware ASG loss can be computed as follows:
\[
\text{ASG}(\tilde{Y}) = - \log p(\tilde{Y} | X) \tag{10}
\]
\[
= - \log \sum_{Y^* \in \mathcal{Y}} p(\tilde{Y} | Y^*) p(Y^* | X) \tag{11}
\]
\[
= - \logadd_{Y^* \in \mathcal{Y}} \left[ \log p(\tilde{Y} | Y^*) + \log p(Y^* | X) \right] \tag{12}
\]
\[
= - \logadd_{Y^* \in \mathcal{Y}} \left[ \log p(\tilde{Y} | Y^*) - \text{ASG}(Y^*) \right] \tag{13}
\]
\[
= - \logadd_{Y^*} \left[ \log p(\tilde{Y} | Y^*) + \logadd_{\pi^* \in G_{ASG}(Y^*)} s(\pi^* | X) - Z \right] \tag{14}
\]
\[
= - \logadd_{Y^*} \left[ \log p(\tilde{Y} | Y^*) + \logadd_{\pi^*} s(\pi^* | X) \right] + Z \tag{15}
\]
\[
= - \logadd_{Y^*, \pi^*} \left[ s(\pi^* | X) + \log p(\tilde{Y} | Y^*) \right] + Z \tag{16}
\]
\[
= - S_{L2G}(\tilde{Y}) + Z. \tag{17}
\]
The normalization term \(Z\) is straightforward to compute with dynamic programming as it is unchanged with respect to the conventional ASG loss.
Including the noise model from Section 2.1 in \(S_{L2G}(\tilde{Y})\), we obtain:
\[
S_{L2G}(\tilde{Y}) = \logadd_{Y^*, \pi^*} \left[ s(\pi^* | X) + \logadd_{a \in A^*_\pi, i=1}^{L_\alpha} \log p(\tilde{a}_i | a_i^*) \right] \tag{18}
\]
\[
= \logadd_{Y^*, \pi^*, a} \left[ s(\pi^* | X) + \sum_{i=1}^{L_\alpha} \log p(\tilde{a}_i | a_i^*) \right] \tag{19}
\]
\[
= \logadd_{(Y^*, \pi^*, a) \in G_{L2G}(\tilde{Y})} s(Y^*, \pi^*, a | X) \tag{20}
\]
where \(G_{L2G}(\tilde{Y})\) is the graph comprising all the alignments \(\pi^*\) over \(T\) frames of all possible clean transcriptions \(Y^*\) corresponding to the provided noisy transcription \(\tilde{Y}\). Given the combinatorially large number of paths in \(G_{L2G}(\tilde{Y})\), \(S_{L2G}(\tilde{Y})\) cannot be computed exactly.
### 2.3. Approximation of the loss
To obtain an approximation of \(S_{L2G}(\tilde{Y})\) we take into account only a subset of all possible paths in \(G_{L2G}(\tilde{Y})\), that we obtain with a beam search algorithm. The algorithm is inspired from [23], except that the way we choose the paths differs drastically. \(s(Y^*, \pi^*, a | X)\) can be computed as a sum over the \(T\) frames and Algorithm 1 describes how we expand the hypotheses with a corresponding score at each frame. The noise score is added once an entire letter is emitted. The function \textit{AddHyp} prevents from adding an invalid hypothesis, i.e., the considered hypothesis must lead to a \(Y^*\) that belongs to \(\mathcal{Y}\). After each processed frame, we merge the hypotheses that have the same cursor on the noisy transcription and that are processing the same token. Then we keep only the \(N\) best hypotheses where \(N\) denotes the beamsize. For a large enough \(N\), we are able to compute a good approximation of \(G_{L2G}(\tilde{Y})\). We denote by \(L2G(\tilde{Y})\) the loss obtained with this approximation.
To train a model with this loss, it has to be differentiable. Once we choose the hypotheses in the forward pass, the backward pass doesn’t change from [23].
**Algorithm 1:** Forward pass for the differentiable beam search.
```
AddHyp (hyp, \pi, \tilde{y}, s):
Create a new hyp which adds \pi to hyp with cursor to \tilde{y} and a score \(s\), only if it leads to a valid path.
Declare an empty hyp with cursor at \tilde{y}_1 and score to 0
for every frame \(t\) do
for every hyp being expanded do
hyp has the cursor \(\tilde{y}_i\) and a score \(s_{prev}\)
for every token \(\pi_t^*\) do
\(s = s_{prev} + f_{\pi_t^*}(X) + g(\pi_t^* | \pi_{t-1}^*)\)
if \(\pi_t^* = \pi_{t-1}^*\) then
AddHyp (hyp, \pi_t^*, \tilde{y}_i, s)
else
Deletion of \(\pi_{t-1}^*\):
\(s_t = s + \alpha \log p(0 | \pi_{t-1}^*)\)
AddHyp (hyp, \pi_t^*, \tilde{y}_i, s_t)
Substitution of \(\pi_{t-1}^*\) to \(\tilde{y}_i\):
\(s_t = s + \alpha \log p(\tilde{y}_i | \pi_{t-1}^*)\)
AddHyp (hyp, \pi_t^*, \tilde{y}_{i+1}, s_t)
Insertion of \(\tilde{y}_i\) and
Substitution of \(\pi_{t-1}^*\) to \(\tilde{y}_{i+1}\):
\(s_t = s + \alpha \log p(\tilde{y}_i | 0) p(\tilde{y}_{i+1} | \pi_{t-1}^*)\)
AddHyp (hyp, \pi_t^*, \tilde{y}_{i+2}, s_t)
end
end
end
Merge hypotheses with same cursor and same \(\pi_t^*\).
Keep the \(N\) best hypotheses.
end
Add noise score for the last token, logadd all score hypotheses and return the resulting score.
```
During the forward pass, we add the acoustic scores with the log-probabilities of the noise model. To make our beam search work, we have to balance the contribution of these two terms with a noise model weight $\alpha$ akin to the language model weight in conventional ASR decoding. This parameter is tuned manually on a validation set.
2.4. Performing the transcription
To perform ASR on the test set, we apply the standard transcription procedure, as if there was no corruption at training time. The acoustic model was trained to model $p(y^*|X)$ so given an utterance X, the model will output clean token probabilities for each frame. We can either decode a transcription with a Viterbi algorithm or use a standard beam search with a LM.
3. EXPERIMENTAL SETUP AND PRELIMINARY OBSERVATIONS
3.1. Getting a noise model
In this work, we do not create a new ASR dataset with noisy transcriptions. While it would be more realistic, it would also be costly to annotate and more difficult to evaluate and reproduce. Instead, we chose to corrupt an existing paired text and audio dataset with near-perfect transcriptions. To generate realistic transcription noise, we study the incorrect predictions of a weak ASR model, which we assume resembles the errors made by human transcribers.
We use a grapheme-based ASR model. The output set includes the alphabet plus the apostrophe, the space, and one repetition token to model the repetition of 2 letters.
**Weak ASR Model:** To generate meaningful corruptions, we train a weak ASR model on the si284 subset of the WSJ dataset [2] (82 hours). This model has the same architecture and follows the same recipe as the one used to evaluate our method (see Section 4.1). We call it a weak model because we do not allow it to converge completely. We stop training at three different stages, namely when the Letter Error Rate (LER) on the nov93dev subset reaches 30, 20, or 10%. We denote these models as M30, M20, and M10, respectively.
**Letter substitution probabilities:** We evaluate the weak ASR model on the nov93dev and nov92 subsets (836 utterances) and compare the greedy decoded transcriptions with the ground truth at the token level. To do so, we minimize the letter edit distance between them and compute the frequency-based, empirical probabilities, $p(\hat{y}|y)$, for substitutions, insertions ($\hat{y}^* = \emptyset$), and deletions ($\hat{y} = \emptyset$).
**Generating corruptions:** To generate more variations, we reduce or amplify the number of substitutions, insertions, and deletions by applying a multiplicative factor $f \in \{0.5, 1, 2\}$. We call the resulting noise models “M* f*” in the general case or “S M* f*” in the substitution-only case (ignoring insertions and deletions). For example, in “S M10 f2”, the letter substitution probabilities are from a WSJ model which reaches an LER of 10% on nov93dev, with only substitutions, and the probabilities are calculated with a multiplicative factor of 2. We consider 18 such models.
Table 1 shows an example of the “M10 f2” noise model. Interesting confusions are s/z, presumably because of the existence of both British and US spellings, or k/c because they often produce the same hard ‘k’ sound. In this setting, insertion of letters in the noisy transcription is unlikely. This is because the model from which we get the errors tends to output shorter transcriptions than the ground truth.
3.2. Generating noisy transcriptions
We test our approach on the LibriSpeech corpus [1]. For training we use the train-clean-100 subset which contains 100 hours of clean speech along with their ground truth transcriptions. We use the smaller 100 hour subset because our approach is computationally intensive. However, we find that 100 hours is sufficient to train a non-trivial, end-to-end speech system and perform meaningful experiments.
We apply the noise model trained on WSJ to the ground truth transcriptions in train-clean-100 in order to generate 18 noisy training datasets. We will refer to each noisy dataset with the same name as the noise model used to generate it. When Lead2Gold is used on a dataset, we use the corresponding noise model in equation (20).
3.3. Evaluation
To develop and test Lead2Gold we use the dev-clean and test-clean subsets of the LibriSpeech corpus. We report the Word Error Rate (WER) between the decoded transcriptions produced by the ASR model and the ground truth transcriptions (without label noise) on these datasets. The WER on test-clean is reported both without and with language model (LM) rescoring.
For the LM, we use a 4-gram trained on the LibriSpeech text training data with a 200 k word lexicon. The hyperparameters of the decoder are tuned once on dev-clean with a model trained on the train-clean-100 subset with the ASG loss. We use a beam size of 2,500, a beam threshold of 50, an LM weight of 2.66, a word insertion penalty of 1.33 and a space insertion penalty of -1.33.
The baseline is a model trained on the noisy dataset with the ASG loss. We also train an oracle model on train-clean-100 without label noise using the ASG loss.
3.4. Typical beam search results
A typical beam search result is shown in Table 2. The Weight column represents the contribution of a proposed transcrip
| ASR training dataset | dev-clean ASG | L2G | test-clean ASG | L2G | test-clean+LM ASG | L2G |
|----------------------|--------------|-----|----------------|-----|------------------|-----|
| S M10 f0.5 | 17.5 | 17.1| 17.7 | 17.3| 12.1 | 10.2|
| S M10 f1 | 17.9 | 17.1| 18.1 | 17.2| 23.4 | 10.3|
| S M10 f2 | 18.8 | 17.4| 18.8 | 18.6| 21.4 | 10.4|
| S M20 f0.5 | 18.1 | 17.1| 18.3 | 17.5| 15.0 | 10.4|
| S M20 f1 | 19.0 | 17.5| 19.2 | 18.1| 22.3 | 10.7|
| S M20 f2 | 20.6 | 18.2| 20.9 | 18.6| 49.1 | 11.2|
| S M30 f0.5 | 18.3 | 17.3| 18.8 | 17.6| 19.9 | 10.6|
| S M30 f1 | 20.2 | 18.2| 20.4 | 18.3| 41.1 | 11.0|
| S M30 f2 | 24.8 | 19.6| 25.1 | 20.0| 80.1 | 12.7|
| clean-100h | 16.9 | - | 17.3 | - | 10.0 | - |
Table 3. WER (%) achieved by ASR models trained on noisy data including substitutions only.
During the pre-training phase we use 8 GPUs which gives an epoch time of approximately 30 seconds. When training with the L2G loss, the number of GPUs used is not important since the computation of the loss, which occurs on the CPU, represents the bulk of the training time. We set the beam size of L2G to 300 for all the experiments. We find that increasing it further has little impact on the results.
The noise model weight $\alpha$ must be tuned. Lead2Gold only converges with $\alpha$ below 0.7 in our experiments. In general, as the amount of noise in the data the data grows, $\alpha$ must be shrunked in order to achieve convergence. We reduce $\alpha$ until we obtain a WER convergence on dev-clean.
One epoch of L2G epoch lasts between 7 and 15 minutes. In future work, we could reduce the complexity of Lead2Gold by using sub-word units or entire words as tokens. This would allow us to use a smaller beam size and further reduce the frame rate of the encoded utterance.
### 4.2. Results
Table 3 shows the results achieved by ASR models trained on noisy data including substitutions only. We keep the learning rate to 8 and we set $\alpha$ to 0.5 except for the “S M30 f2” case where it is set to 0.3. Lead2Gold outperforms the ASG loss in every case. We almost reach the oracle WER when the noise level is low, but the relative gain achieved by L2G is larger on noisier datasets. For the model trained on the “S M30 f2” dataset, we achieve a WER reduction of 5.1% absolute when using the L2G loss. We note that in some cases adding an external LM makes the WER worse when models are trained with the ASG loss on noisy data. One possible explanation is that we did not re-tune the decoding parameters for each setting.
Table 4 shows the results achieved by ASR models trained on noisy data including substitutions, insertions, and deletions. The learning rate is set to 1 and $\alpha$ to 0.1 for all of these experiments. While L2G does not improve over the baseline ASG trained model in every case, we still see a gain in performance in some cases, particularly at higher noise levels. In the general case, we see more frequent convergence issues. In some cases, the WER on the training data initially improves but then starts to deteriorate over time. We report the results when the best WER is reached on dev-clean during the single epoch we perform. We found that if we continue to train, the predicted transcriptions tend to grow shorter and shorter. One possible solution could be to use a different scale for each of the insertions, deletion and substitution probabilities.
### 5. CONCLUSION
We propose Lead2Gold, a novel sequence-level loss function which incorporates a noise model and is able to better learn from noisy transcriptions. While the L2G objective is intractable and cannot be computed directly, we use a differentiable beam search to approximate it. We show that when contrived yet non-trivial noise is introduced into the labels used to train the acoustic model, L2G can dramatically outperform a noise-unaware criterion such as ASG.
The main limitation of Lead2Gold is the high computational cost. In future work we plan to mitigate this problem in part by using sub-word units as tokens. This would reduce the transcription length and thus make it possible to reduce the frame-rate of the encoded input utterance. We also intend to further investigate scaling to many more CPUs and alternative SIMD style parallel implementations of the L2G loss-function. Another avenue for improvement with L2G is using a more complex noise model. The noise model can condition on the utterance or on some meta-data about the transcriber.
The L2G loss function has the potential to better leverage noisy data. Learning more accurately from noisy data can dramatically decrease the cost of generating transcriptions for acoustic training sets – currently one of the biggest costs in developing a new speech recognition system.
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2013 ninja
Click photos to enlarge. Our big, clean bike pics make great desktop wallpaper. The brilliant combination adds up to all-around performance that will have you grinning inside your helmet for miles. This is one impressive motorcycle, a bike that is equally at home carving through a twisty backroad with the best of the sportbikes, or stretching its legs on the freeway or during a long commute. The Ninja is blessed with ample rideability as an incredible blend of ability on the street and extreme ease of operation. And for those who want the ultimate in braking technology and performance, Kawasaki offers an ABS version. This system offers confidence-inspiring braking action on all types of surfaces. Power comes by way of a highly advanced inline-four at cc DOHC liquid-cooled, valve engine featuring a long-stroke design for instantaneous power, a smooth-shifting six-speed gearbox with ideal ratios, and no-fuss electronic fuel injection for absolutely seamless throttle response at warm or cold. The four 38mm Keihin downdraft throttle bodies inject a perfect mix of fuel and air into each combustion chamber with help from an advanced ECU, oval sub-throttles and a cool air intake system that routes fresh air to the airbox via ducts at the front of the bike. A balance shaft driven off the crankshaft keeps the solidly mounted engine operating smoothly, while a beautifully styled 4-into1-to-2 catalyzer-equipped exhaust system offers a pleasing growl without being overly loud. The lightweight assembly curves over the engine, cradling it from above and bolting solidly to it in three places, with a rubber-backed fourth mount provided for added vibration isolation and torsional rigidity. The main frame and swingarm pivot pieces are cast as a single unit, with welds eliminated wherever possible for seamless aesthetics. The wheels, brakes and suspension bits that allow the Ninja to move so gracefully and swiftly are truly state-of-the-art. Suspension is handled by a fully adjustable 41mm inverted fork up front and a preload- and rebound-adjustable single-shock system in back, the ideal scenario for dialing in the perfect settings for your weight and riding style. The single-shock system features a damper mounted nearly horizontally above the swingarm for optimal mass centralization and heat resistance. Stopping power is provided by race-spec brakes at mm petal-type rotors up front squeezed by ultra-rigid radially mounted calipers fed hydraulic pressure by an equally race-spec radial pump master cylinder. In back is another tech-savvy disc. Braking power and feel at both ends is amazing, giving rookies, pros and everyone in between a feeling of supreme confidence. The Ninja is also available with an optional anti-lock brake system ABS for additional rider confidence when riding in slippery situations. The wheels working with those brakes at lightweight six-spoke supersport-style units at are also the latest in lightweight production technology. They not only reduce unsprung weight, which allows the suspension to function optimally, but carry the latest in radial tire technology. The result is superb grip, precise handling and reasonably long tread life. But easily the most stunning aspect of the Ninja is its sleek, wraparound bodywork. Despite the edgy, rakish look, the bodywork carves a surprisingly large hole in the atmosphere, giving riders a quiet cocoon in which to work. A manually adjustable, 3-position windscreen helps, allowing riders to pick just the right setting for their height and riding style. Paired-in front turn signals, a ZX6R-spec front fender, a stylish tail-section and a full-featured instrument panel right off the Ninja ZX-RR with custom graphics, of course complete the look. And despite its radical look, the Ninja offers surprisingly comfortable ergonomics. The handlebars are mounted higher than on race-oriented machines, the pegs a touch lower, all of which makes the Ninja a capable short-haul tourer, and certainly a sportbike you can spend the day aboard without undue strain. To sweeten the day-or weekend-tracking deal even more, Kawasaki offers a line of optional touring-oriented accessories, including hard-case saddlebags and top trunk, heated grips and more. But the Ninja is a different beast at one with wide-ranging talent in sport, sport-touring and commuting roles. Whether looking to move on from a supersport or super-naked ride, or step up from a mid-size sport model, the Ninja ABS offers the performance and versatility for a fuller bike life than ever experienced. The aggressive design gives the Ninja ABS its own distinct appearance, yet is instantly recognisable as a Kawasaki. Supersport-style full-fairing Supersport-style full-fairing bodywork gives the Ninja ABS a distinct, head-turning look of its own. The sleek styling also offers a good measure of wind protection, facilitating short touring runs. The leading edges of the fairings feature a slot-style design that directs the wind around the bike, enabling the fairings to be slimmer in the middle. Sporty Instrument panel Sporty Instrument panel features a large analogue tachometer and multi-function LCD screen. The design is based on that of the Ninja ZX-RR, but features original font and colouring. Functions include: speedometer, tachometer, fuel gauge, odometer, clock, dual trip meters, and warning lamps. Original-design front turn signals Original-design front turn signals mount directly to the fairings. Turn signal units are attached to the inside of the fairing using rubber mounts to minimise fairing damage should the bike fall over. Riding impact comes from the sensations the rider feels. Twisting the throttle results in a strong response from all rpm, the engine pulling
strongly right to redline. Superb throttle response, power delivery with a mid-range hit make accelerating an exhilarating experience. High-Torque Engine Tuned to deliver abundant low-and mid-range torque, with a distinctive power kick around 7, rpm. A low crankshaft and five-degree downward engine tilt help the engine to maintain its compact size and a secondary engine balancer is gear-driven off the crankshaft and helps reduce engine vibration, which allows a stiffer chassis for improved handling. To decrease engine weight and improve heat transfer, the cylinders have finless, chrome composite-plated aluminium bores. Cool Air System The airbox nestled between the frame beams. Intake air can be affected by engine heat. The Cool Air system routes cool air to the airbox from ducts at the front of the side fairings, minimising performance loss due to heated intake air. This should not be confused with Ram Air, where force-fed air becomes pressurised in the airbox. A resonator inside the airbox reduces noise at low rpm, and enhances intake sound at high rpm. Exhaust System The exhaust system features a 4-intro-chamber-into-2 layout. Silencer end-caps create a quad-style image. Thanks to the under-engine pre-chamber, silencer volume could be kept to 3 litres each and silencer weight to g each, greatly contributing to mass centralisation and a lower centre of gravity. A highly rigid aluminium frame with high mass centralisation balances sharp turning and firm handling. Supersport-style front brakes add to the high level of control. Aluminium Twin-tube Frame Aluminium twin-tube frame design features frame beams that go over engine, allowing a narrow construction that is easy to grip with the knees. Lightweight and highly rigid, the frame uses the engine as a stressed member. The frame contributes to handling, offering a firm, planted feeling, good stability and light, nimble turning. Horizontal Back-link Rear Suspension Rear suspension positions the shock unit and linkage above the swingarm. This arrangement contributes to mass centralisation. The suspension is located far enough from the exhaust that operation is not affected by heat. Visible from the outside, the Horizontal Back-link rear suspension contributes to the appearance of the Ninja The rear shock features rebound and preload adjustability. A cam-style preload adjuster facilitates making adjustments to suit 2-up riding or luggage. This makes the caliper more rigid, which improves brake feel over a wider range of operation. For added braking reassurance, ABS brakes are fitted standard and the radial pump (front brake master cylinder) improves brake performance and feel at the lever. Relaxed Riding Position Relatively upright position offers both control and comfort. The rider triangle is essentially the same as that of the Z, with grips moved about 10 mm inward. Separate, raised handlebars contribute to the sporty, comfortable riding position. The handlebar stays are mounted to the fork tube tops, which extend above the upper triple clamp. Adjustable Windscreen Windscreen has three available positions spanning approximately 260 and ranging from sporty to maximum wind protection. Adjustment can be done by hand no tools required by depressing the release button below the instrument panel. Windscreen adjustment should be done with the bike stopped. Large-volume Fuel Tank 19 litre fuel tank offers a substantial touring range. Dynamic fuel tank design with tall upper surface features supersport-style flared edges with a trim shape at the rear, a shape that is easy to grip with the knees. Steel construction facilitates the use of a magnetic tank bag. The use of a slim-type fuel pump features a utilised fuel gauge and the fuel tank design and slim-type fuel pump minimise dead volume inside the tank. Overall Width mm Overall Height mm Wheelbase mm Ground Clearance mm S. Seat Height mm Fuel Capacity 19 litres 4. You must be logged in to post a comment. News Ticker. Seat Height Curb Weight Overall length Overall width Overall height About Michael Le Parc Articles: Owner and Founder of Total Motorcycle Supporting over Motorcyclists and Motorcycling for 21 great years. Total Motorcycle is my pride and joy and being able to reach out million people has been incredible but I could not have done it without the support of my visitors, readers and members, thank you so much! You are making a difference to millions of riders worldwide. Thank you. Previous KTM Duke. Be the first to comment Leave a Reply Cancel reply You must be logged in to post a comment. Kate started riding bikes a couple years ago, only to take a forced absence for a while due to injury and the subsequent lack of confidence it caused. What better bike to get her back into riding than the Kawasaki Ninja ? And who better to review a small, confidence-inspiring bike than someone who was looking for exactly that? Underneath the aggressive new plastic, the biggest mechanical change between the old around since and this an increase in stroke from Oh, and fuel-injection, for reliable running in all conditions. The slipper clutch may sound less exciting and possibly a bizarre inclusion on such a small, basic motorcycle, but it should be a safety aid too, particularly given that many Ninja s find themselves being used on city streets and in a variety of weather conditions. Imagine the benefits for ham-fisted new riders trying to gain confidence while riding in less than ideal conditions. That clutch also gains an assist function, dropping clutch effort by 25 percent, again a boon for new and urban riders. The frame has been revised for increased rigidity, combining with the wider, section rear tire for a claimed increase
In rigidity. Other than that stroked motor, new clutch, the Ninja is largely identical to the bike it replaces, except on the outside, where its looks now emulate the ZXR and ZX-6R. When I bought my first bike a couple years back, I did so on bad advice to get something with at least cc. I was living in Manhattan at the time, with very little knowledge of motorcycles and limited funds. So I ended up with a old, borderline basket case. It was awful, but I was hooked. My colones to noddle ratio was a bit off of whack, so I soon moved up to a liter bike, before deciding to try motocross. A freak accident on an MX track caused some serious injuries and kept me from riding for a year. Learning to walk again was difficult enough, riding took longer. Plus, the sexy new bodywork just looks great. It looks fast. Riding around with my man, who has a much meaner, more powerful streetfighter, our non-rider friends always think my bike looks faster. And the truth is, it is faster than most other bikes like it, including the Honda CBR9 and the old Ninja it replaces. There, I live on a mountain surrounded by good, twisty roads. Even my ride to the grocery store feels like a mini TT. In corners, the light, lbs curb weight combines with the narrow tires to make it more flick-able than most larger sport bikes. The brakes are another story though. Having grown accustomed to the powerful dual discs of big sport bikes, I keep longing for their stopping power and feel while riding the little Ninja. On the plus side, the need to allow for longer braking distances has made my riding smoother. Something aided by the slipper clutch. A feature not normally seen on smaller bikes, it makes my hamfisted downshifts fairly seamless and prevents the rear tire from locking up. A desirable, fun, affordable little sportsbike. Sep 12, at pm ET By: Kate Erwin. In this Kawasaki Ninja review you'll learn why this is a great sport bike for first time riders. Commenting Guidelines. Kawasaki Ninja ABS. Sign In or Sign Up. Kawasaki Ninja Kawasaki Ninja specifications, pictures, reviews and ratings. Kawasaki Ninja Picture credits: Kawasaki. Submit more pictures. Discuss this bike Rate this motorbike This bike's rating Write a review Sell this motorcycle Such bikes for sale Insurance quotes Finance options Tip a friend List related bikes. Pictures, trademarks and logos of third parties are the exclusive property of the respective owners. Technical specifications are subject to change without notice. This web uses cookies. About Bikez. Advertise products. Contact Bikez. Privacy policy. Motorcycle catalogue and Motorcycle classifieds. Kawasaki Ninja Kawasaki Ninja specifications, pictures, reviews and ratings. More pictures Compare with any other bike. Displacement : Compression : Bore x stroke : Front suspension : Rear suspension : Wheelbase : Compare US insurance quotes from the nation's top providers. Compare US motorcycle loan quotes from the nation's top providers. Ships to most countries. Also check out our overview of motorcycle webshops at Bikez. Join the 13 Kawasaki Ninja discussion group or the general Kawasaki discussion group. List related bikes for comparison of specs. Rate motorcycles you know. Rate motorcycles you know and help your fellow riders to find the bike that is right for them. Bikez has the most users and the most extensive motorcycle rating on the net. It includes reliability, design, engine performance, accident risk, repair cost, onroad capabilities, racing track capabilities and touring capabilities. The ratings are also used to rank the most popular MC models each year since The lists are adjusted weekly as new ratings are added. You can check out the rating of the Kawasaki Ninja and compare it to other bikes here. Rating sample for this Kawasaki bike. Value for money for the Kawasaki Ninja You can also compare bikes. Click photos to enlarge. Our big, clean bike pics make great desktop wallpaper. Make no mistake, it still outperformed the challengers by a significant margin on the open road, but why simply outperform them, when you can totally dominate? The new Ninja thoroughly dominates its lightweight sportbike competition on the performance front, and it also significantly ups the ante for refinement, ease of use and overall practicality. Thanks to a new digital fuel injection system, and a new F, in addition to its new long-stroke cc displacement, other engine upgrades include new intake ports that taper from 1mm wider at the throttle body to. The underside of the pistons was also revised to more efficiently route cooling oil across their surface. It also has new thicker crankshaft balancer webs to offset the new longer crank throws, new crank journal bearings made from a stronger alloy for increased durability, new crank cases that feature improved oil passages, a new large-volume L. Topping-off the changes, a new easy-to access cartridge type spin-on oil filter helps simplify maintenance. This efficient engine and transmission help the Ninja provide plenty of enjoyment from the initial learning curve, all the way through advanced sport riding, track days, and club racing. Operating that transmission is now easier than ever thanks to a new F. Its mm front and mm rear brake rotors are gripped by powerful two-piston hydraulic calipers. Like all Kawasaki Ninjas, the new is equipped with high-quality components and was tuned using feedback from professional riders at Atopolis raceway, to help ensure class-leading performance and an entertaining ride for even the most advanced riders. The Ninja was always known as one of the best handling sportbikes on the market. Revised tube shapes and additional gusseting also help provide better longitudinal stiffness for better feel during extreme sport riding. From' and rear suspension
tuning has been adjusted to compliment the new, more-rigid frame. Softer spring rates provide a more comfortable ride on rough city streets, without compromising sport handling characteristics. The new instrument panel also features indicator lights, while the digital screen incorporates a handy economical riding indicator ECO that illuminates to alert riders when they are operating the Ninja in a manner that will maximize fuel economy. A natural riding position and comfortable ergonomics combine with lightweight handling and nimble response to deliver pure pleasure everywhere from city streets and highways, to twisty backroads and even racetracks. Contributing to this great handling package are the new full-size inch spoke wheels. Lightweight and agile, the Ninja delivers low ownership costs coupled with effortless class-leading performance! An extensive range of Genuine Kawasaki Accessories are available through authorized Kawasaki dealers. Our newest Ninja offers the style, performance and technology to overshadow all bikes in its class. Race inspired clutch technology plus genuine big bike looks and handling are underpinned by a powerful and hard pulling cc fuel-injected engine. Make your move and make it on a Ninja Designed to overshadow all other bikes in its class, the new Ninja offers increased performance and riding excitement stunning new styling, and ride quality and comfort that eclipse the class. The all-new, most-powerful-in-class, Ninja packs the style and personality of a litre-class superbike into a learner-friendly package that is amazingly easy to ride. It is THE perfect entry level bike, delivering incredible fuel economy, Class-leading safety features and a low seat height for added confidence. In the case of the all-new Ninja, it means a larger-displacement cm³ engine with the power and torque to eclipse everything in its class, race-track-level chassis stability, and race-derived clutch technology offering a supersport-style back-torque limiter and increased ride feel. Reduced vibration and new heat management technology result in the high-quality ride feel and comfort level one would expect from a much larger machine. With its large-volume bodywork, the Ninja can easily be mistaken for a larger machine at an image reinforced by numerous styling cues from our flagship Ninja models. From its aggressive new dual headlights to its sharp, minimalist tail cowl, every surface of new Ninja was painstakingly sculpted to ensure a high level of fit and finish, impressive silhouettes and undeniable Ninja presence. Designed to outshine all other bikes in its class, the new Ninja delivers increased performance and riding excitement stunning new styling, and ride quality and comfort that exceed that of the class. It also offers wide selection of ratios to match varied riding conditions and its positive neutral finder makes it much easier to find neutral when stopped at Kawasaki Air Management System KAMS uses a special deflector to channel hot air from the back of the radiator, so that it exits the bottom of the motorcycle, instead of being blown onto the rider at Low New cc Engine at Compact parallel-twin design offers good mass centralization for nimble handling at Tuned to deliver smooth, step-free power with excellent mid-range and high-rpm power for effective highway performance at New intake ports taper from 1mm wider at the throttle body to Liquid Cooling with KAMS at Kawasaki Air Management System KAMS uses a special deflector to redirect hot air from the radiator fan, so it exits the bottom of the motorcycle instead of being blown onto the rider at Lightweight Denso radiator offers effective engine cooling with minimal space and weight at Fan design uses a quiet-running motor that also saves space at Fins on the lower side of the crankcase provide additional engine cooling. Six-speed Transmission with New F. Assist Clutch at New F. Design also makes clutch easier to modulate and helps reduce the effect of back-torque to reduce wheel hop when downshifting at Revised six-speed transmission features a new roller-type shift drum for smoother actuation and stronger gears for maximum durability. It also offers wide selection of ratios to match varied riding conditions and its positive neutral finder makes it much easier to find neutral when stopped at Involute splines reduce friction and backlash between gears and shafts for easier gear meshing and smooth shifting under power. Petal-type Disc Brakes at Large-diameter mm front petal disc and a balanced action two-piston caliper offer excellent braking performance and a natural, direct feeling at the lever at Two-piston caliper grips the rear mm petal disc. New High-Tech Instrumentation at Large easy-to-read analog tachometer at Multifunction digital display features an easy-to-read speedometer, odometer, dual trip meters, fuel gauge, digital clock and warning lights at Economical riding indicator ECO illuminates to let the rider know when they are operating the Ninja in a manner that will maximize fuel economy. New Aerodynamic Bodywork at All-New bodywork features styling inspired by the Ninja ZXR superbike at New floating windscreen design helps reduce turbulence and rider fatigue at Aggressive dual-lamp headlight design, minimalist tail section and separate seats further enhance the aggressive visual impact at Two helmet holders conveniently located under the rear seat at New two-stage under-seat storage compartment can hold a U-lock or similar device and is hinged for easy access to the tool kit located beneath the storage tray at Two hooks under the tail, plus two behind the rear passenger pegs provide anchor points for securing items to the rear of the
bike. Features an optically correct 3-D curvature. New Fuel Tank Pad features matching graphics and helps protect the paint on the fuel tank. A touch of personalization to enhance its sportbike styling. New Engine Guards factory designed for easy installation helps reduce the possibility of bodywork damage in case of tip over. This promotion is time limited and certain conditions will apply. See your dealer for complete details. Offer not available on financed purchases and cannot be combined with any other special offers. The final price is at the discretion of the dealer. Prices and Specifications are subject to change without prior notice. The specifications mentioned here apply to and have been achieved by production models under standard operating conditions. We intend only to give a fair description of the vehicle and its performance capabilities but these specifications may not apply to every machine supplied for sale. Kawasaki Heavy Industries, Ltd. Equipment illustrated and specifications may vary to meet individual markets. Available colours may vary by market. Lubrication Forced lubrication, wet sump Transmission. Final Drive Sealed chain Primary reduction ratio 3. Brakes, front Single mm petal disc Single balanced actuation dual-piston. Brakes, rear Single mm petal disc Caliper: Dual-piston Dimensions. You must be logged In to post a comment. News Ticker. Youth movement Our newest Ninja offers the style, performance and technology to overshadow all bikes in its class. Overall width Overall height Seat height Curb weight Fuel capacity 4. About Michael Le Parc Articles. Owner and Founder of Total Motorcycle. Supporting over Motorcyclists and Motorcycling for 21 great years. Total Motorcycle is my pride and joy and being able to reach out million people has been incredible but I could not have done it without the support of my visitors, readers and members. Thank you so much! You are making a difference to millions of riders worldwide. Thank you. Previous KTM Duke. Be the first to comment Leave a Reply Cancel reply You must be logged In to post a comment. Click photos to enlarge. Our big, clean bike pics make great desktop wallpaper. Make no mistake, it still outperformed the challengers by a significant margin on the open road, but why simply outperform them, when you can totally dominate? The new Ninja thoroughly dominates its lightweight sportbike competition on the performance front, and it also significantly ups the ante for refinement, ease of use and overall practicality. Thanks to a new digital fuel injection system, a new F. In addition to its new long-stroke cc displacement, other engine upgrades include: new intake ports that taper from 1mm wider at the throttle body to. The underside of the pistons was also revised to more efficiently route cooling oil across their surface. It also has new thicker crankshaft balance webs to offset the new longer crank throws, new crank journal bearings made from a stronger alloy for increased durability, new crank cases that feature improved oil passages, a new large-volume 2. Topping off the changes, a new easy-to-access cartridge type spin-on oil filter helps simplify maintenance. This efficient engine and transmission help the Ninja provide plenty of enjoyment from the initial learning curve, all the way through advanced sport riding, track days, and club racing. Operating that transmission is now easier than ever, thanks to a new F. This new system uses the smallest ABS unit of any production motorcycle in the world! Its mm front and mm petal-type rear brake rotors are gripped by powerful two-piston hydraulic calipers. Like all Kawasaki Ninjas, the new is equipped with high quality components and was tuned using feedback from professional riders at Afopolis raceway to help ensure class-leading performance and an entertaining ride for even the most advanced riders. The Ninja was always known as one of the best handling sportbikes on the market. Revised tube shapes and additional gusseting also help provide better longitudinal stiffness for better feel during extreme sport riding. Front and rear suspension tuning has been adjusted to compliment the new, more-rigid frame. Softer spring rates provide a more comfortable ride on rough city streets, without compromising sport handling characteristics. New bodywork inspired by the Ninja ZXR superbike, provides cutting-edge styling, as well as effective heat management and superb aerodynamics. The new instrument panel also features indicator lights, while the digital screen incorporates a handy economical riding indicator ECO that illuminates to alert riders when they are operating the Ninja in a manner that will maximize fuel economy. A natural riding position and comfortable ergonomics combine with lightweight handling and nimble response to deliver pure pleasure everywhere from city streets and highways, to twisty backroads and even racetracks. Contributing to this great handling package are the new full-size inch, spoke wheels. Lightweight and agile, the Ninja delivers low ownership costs coupled with effortless class-leading performance! An extensive range of Genuine Kawasaki Accessories are available through authorized Kawasaki dealers. Our newest Ninja offers the style, performance and technology to overshadow all bikes in its class. Race inspired clutch technology plus genuine big bike looks and handling are underpinned by a powerful and hard pulling cc fuel-injected engine. Make your move and make it on a Ninja ABS. Designed to overshadow all other bikes in its class, the new Ninja ABS offers increased performance and riding excitement, stunning new styling, and ride quality and
comfort that eclipse the class. The all-new, most-powerful-in-class, Ninja ABS packs the style and personality of a litre-class superbike into a learner-legal package that is amazingly easy to ride. It is THE perfect entry level bike, delivering incredible fuel economy. Class-leading safety features and a low seat height for added confidence. In the case of the all-new Ninja , it means a larger-displacement cm3 engine with the power and torque to eclipse everything in its class, racetrack-level chassis stability, and race-derived clutch technology offering a supersport-style back-torque limiter and increased ride feel. Reduced vibration and new heat management technology result in the high-quality ride feel and comfort level one would expect from a much larger machine. With its large-volume bodywork, the Ninja can easily be mistaken for a larger machine at an image reinforced by numerous styling cues from our flagship Ninja models. From its aggressive new dual headlights to its sharp, minimalist fair cowl, every surface of new Ninja was painstakingly sculpted to ensure a high level of fit and finish, impressive silhouette and undeniable Ninja presence. Designed to outshine all other bikes in its class, the new Ninja delivers increased performance and riding excitement, stunning new styling, and ride quality and comfort that exceed that of the class. It also offers wide selection of ratios to match varied riding conditions and its positive neutral finder makes it much easier to find neutral when stopped at Kawasaki Air Management System KAMS uses a special deflector to channel hot air from the back of the radiator, so that it exits the bottom of the motorcycle, instead of being blown onto the rider at low New cc Engine Compact parallel-twin design offers good mass centralization for nimble handling at tuned to deliver smooth, step-free power with excellent mid-range and high-rpm power for effective highway performance at New intake ports taper from 1mm wider at the throttle body to Liquid Cooling with KAMS at Kawasaki Air Management System KAMS uses a special deflector to redirect hot air from the radiator fan, so it exits the bottom of the motorcycle instead of being blown onto the rider at Lightweight Denso radiator offers effective engine cooling with minimal space and weight at Fan design uses a quiet-running motor that also saves space at Fins on the lower side of the crankcase provide additional engine cooling. Six-speed Transmission with New F Assist Clutch at New F Design also makes clutch easier to modulate and helps reduce the effect of back-torque to reduce wheel hop when downshifting at Revised six-speed transmission features a new roller-type shift drum for smoother actuation and stronger gears for maximum durability. It also offers wide selection of ratios to match varied riding conditions and its positive neutral finder makes it much easier to find neutral when stopped at Involute splines reduce friction and backlash between gears and shafts for easier gear meshing and smooth shifting under power. Made by Nissin, the entire antilock system adds less than 4. New High-Tech Instrumentation at Large easy-to-read analog tachometer at Multifunction digital display features an easy-to-read speedometer, odometer, dual trip meters, fuel gauge, digital clock and warning lights at Economical riding indicator ECO illuminates to let the rider know when they are operating the Ninja in a manner that will maximize fuel economy. Features an optically correct 3-D curvature at New Fuel Tank Pad features matching graphics and helps protect the paint on the fuel tank. A touch of personalization to enhance its sportbike styling at New Engine Guards factory designed for easy installation helps reduce the possibility of bodywork damage in case of tip over. Overall width: Overall height: Seat height: Curb weight: Fuel capacity: 3. The final price is at the discretion of the dealer. Prices and Specifications are subject to change without prior notice. This promotion is time limited and certain conditions will apply. See your dealer for complete details. Offer not available on financed purchases and cannot be combined with any other special offers. The specifications mentioned here apply to and have been achieved by production models under standard operating conditions. We intend only to give a fair description of the vehicle and its performance capabilities but these specifications may not apply to every machine supplied for sale. Kawasaki Heavy Industries, Ltd. Equipment illustrated and specifications may vary to meet individual markets. Available colours may vary by market. Transmission Clutch Wet multi-disc, manual Primary reduction ratio 3. Suspension Suspension, front 37 mm telescopic fork Suspension, rear Bottom-link Uni-Trak with gas-charged shock and 5-way adjustable preload Brakes Brakes, front Single mm petal disc Single balanced actuation dual-piston Brakes, rear Single mm petal disc Caliper Dual-piston. Performance Maximum power It is with great pleasure that Kawasaki pulls the covers off the new Kawasaki Ninja ABS, the model that Kawasaki is confident of reclaiming the 1 position with. Featuring a larger displacement cc engine with the power and torque to eclipse everything in its class, fuel injection, racetrack level chassis stability, the option of ABS and a host of other upgrades, the new Kawasaki Ninja ABS looks set to take Australia and the world by storm. SRP will be announced upon release. Uncontested performance! Circuit-bred chassis performance at High level of chassis stability from new frame at Wider mm rear tyre. High-quality ride feel at Excellent chassis stability at Low vibration at Excellent heat management. Reduced heat at
Changes for improved heat management mean less heat reaches the rider. Large openings in fairing. Radiator fan cover. Available with latest-spec compact ABS unit. Specifications on par with units used on our top-of-the-line supersport models. Advanced racing-derived technology. Modern Instrumentation. Analogue-style tachometer. Multi-function LCD features include fuel gauge, dual trip meters, clock. Economical Riding Indicator. You must be logged in to post a comment. News Tickets. Youth movement. ABS standard. Key features: Uncontested performance! Reduced heat. Changes for improved heat management mean less heat reaches the rider. Large openings in fairing. Radiator fan cover. Available with latest-spec compact ABS unit. Specifications on par with units used on our top-of-the-line supersport models. Advanced racing-derived technology. About Michael La Paro Articles. Owner and Founder of Total Motorcycle. Supporting over Motorcyclists and Motorcycling for 21 great years. Total Motorcycle is my pride and joy and being able to reach out million people has been incredible but I could not have done it without the support of my visitors, readers and members, thank you so much! You are making a difference to millions of riders worldwide. Thank you. Previous Kawasaki Ninja Next Kymco Compagno T. Be the first to comment Leave a Reply Cancel reply You must be logged in to post a comment. Click photos to enlarge. Our big, clean bike pics make great desktop wallpaper. The brilliant combination adds up to all-around performance that will have you grinning inside your helmet for miles. This is one impressive motorcycle, a bike that is equally at home carving through a twisty backroad with the best of the sportbikes, or stretching its legs on the freeway or during a long commute. The Ninja is blessed with ample rideability as an incredible blend of ability on the street and extreme ease of operation. And for those who want the ultimate in braking technology and performance, Kawasaki offers an ABS version. This system offers confidence-inspiring braking action on all types of surfaces. Power comes by way of a highly advanced inline-four cc, L-tcc DOHC, liquid-cooled, valve engine featuring a long-stroke design for instantaneous power, a smooth-shifting six-speed gearbox with ideal ratios, and no-fuss electronic fuel injection for absolutely seamless throttle response at warm or cold. The four 38mm Keihin downdraft throttle bodies inject a perfect mix of fuel and air into each combustion chamber with help from an advanced ECU, oval sub-throttles and a cool air intake system that routes fresh air to the airbox via ducts at the front of the bike. A balance shaft driven off the crankshaft keeps the solidly mounted engine operating smoothly, while a beautifully styled 4-Into-2 catalyzer-equipped exhaust system offers a pleasing growl without being overly loud. The lightweight assembly curves over the engine, cradling it from above and bolting solidly to it in three places, with a rubber-backed fourth mount provided for added vibration isolation and torsional rigidity. The main frame and swingarm pivot pieces are cast as a single unit, with welds eliminated wherever possible for seamless aesthetics. The wheels, brakes and suspension bits that allow the Ninja to move so gracefully and swiftly are truly state-of-the-art. Suspension is handled by a fully adjustable 41mm inverted fork up front and a preload- and rebound-adjustable single-shock system in back, the ideal scenario for dialing in the perfect settings for your weight and riding style. The single-shock system features a damper mounted nearly horizontally above the swingarm for optimal mass centralization and heat resistance. Stopping power is provided by race-spec brakes mm petal-type rotors up front squeezed by ultra-rigid radially mounted calipers fed hydraulic pressure by an equally race-spec radial pump master cylinder. In back is another tech-savvy disc. Braking power and feel at both ends is amazing, giving rookies, pros and everyone in between a feeling of supreme confidence. The Ninja is also available with an optional anti-lock brake system ABS for additional rider confidence when riding in slippery situations. The wheels working with those brakes lightweight six-spoke supersport-style units are also the latest in lightweight production technology. They not only reduce unsprung weight, which allows the suspension to function optimally, but carry the latest in radial tire technology. The result is superb grip, precise handling and reasonably long road life. But easily the most stunning aspect of the Ninja is its sleek, wraparound bodywork. Despite the edgy, rakish look, the bodywork carves a surprisingly large hole in the atmosphere, giving riders a quiet cocoon in which to work. A manually adjustable 3-position windscreen helps allowing riders to pick just the right setting for their height and riding style. Faired-in front turn signals, a ZX-RR-spec front fender, a stylish tail-section and a full-featured instrument panel right off the Ninja ZX-RR with custom graphics, of course complete the look. And despite its radical look, the Ninja offers surprisingly comfortable ergonomics. The handlebars are mounted higher than on race-oriented machines, the pegs a touch lower, all of which makes the Ninja a capable short-haul tourer, and certainly a sportbike you can spend the day aboard without undue strain. To sweeten the day-or weekend-trekking deal even more, Kawasaki offers a line of optional touring-oriented accessories, including hard-case saddlebags and top trunk, heated grips and more. But the
Ninja is a different beast – one with wide-ranging talent in sport, sport-touring and commuting roles. Whether looking to move on from a supersport or super-naked ride, or step up from a mid-size sport model, the Ninja offers the performance and versatility for a fuller bike life than ever experienced. The aggressive design gives the Ninja its own distinct appearance, yet is instantly recognisable as a Kawasaki. Supersport-style full-fairing Supersport-style full-fairing bodywork gives the Ninja a distinctly head-turning look of its own. The sleek styling also offers a good measure of wind protection, facilitating short touring runs. The leading edges of the fairings feature a flat-style design that directs the wind around the bike, enabling the fairings to be slimmer in the middle. Sporty instrument panel Sporty instrument panel features a large analogue tachometer and multi-function LCD screen. The design is based on that of the Ninja ZX-6R, but features original font and colouring. Functions include: speedometer, tachometer, fuel gauge, odometer, clock, dual trip meters, and warning lamps. Original-design front turn signals Original-design front turn signals mount directly to the fairings. Turn signal units are attached to the inside of the fairing using rubber mounts to minimise fairing damage should the bike fall over. Riding impact comes from the sensations the rider feels. Twisting the throttle results in a strong response from all rpm, the engine pulling strongly right to redline. Superb throttle response, power delivery with a mid-range hit make accelerating an exhilarating experience. High-Torque Engine Tuned to deliver abundant low-and mid-range torque, with a distinctive power kick around 7, rpm. A low crankshaft, and five-degree downward engine tilt help the engine to maintain its compact size and a secondary engine balancer is gear-driven off the crankshaft and helps reduce engine vibration, which allows a stiffer chassis for improved handling. To decrease engine weight and improve heat transfer, the cylinders have linerless, chrome composite plated aluminium bores. Cool Air System With the airbox nestled between the frame beams, intake air can be affected by engine heat. The Cool Air system routes cool air to the airbox from ducts at the front of the side fairings, minimising performance loss due to heated intake air. This should not be confused with Ram Air, where force-fed air becomes pressurised in the airbox. A resonator inside the airbox reduces noise at low rpm, and enhances intake sound at high rpm. Exhaust System The exhaust system features a 4-intake–chamber into 2-exhaust Silencer end-caps create a quad-style image. Thanks to the under-engine pre-chamber, silencer volumes could be kept to 3 litres each and silencer weight to g each, greatly contributing to mass centralisation and a lower centre of gravity. A highly rigid aluminium frame with high mass centralisation balances sharp turning and firm handling. Supersport-style front brakes add to the high level of control. Aluminium Twin-tube Frame Aluminium twin-tube frame design features frame beams that go over engine, allowing a narrow construction that is easy to grip with the knees. Lightweight and highly rigid, the frame uses the engine as a stressed member. The frame contributes to handling, offering a firm, planted feeling, good stability and tight, nimble turning. Horizontal back-link Rear Suspension Rear suspension positions the shock unit and linkage above the swingarm; this arrangement contributes to mass centralisation. The suspension is located far enough from the exhaust that operation is not affected by heat. Visible from the outside, the Horizontal Back-link rear suspension contributes to the appearance of the Ninja. The rear shock features rebound and preload adjustability. A cam-style preload adjuster facilitates making adjustments to suit 2-up riding or luggage. This makes the caliper more rigid, which improves brake feel over a wider range of operation. For added braking reassurance, ABS brakes are fitted standard and the radial pump from brake master cylinder improves brake performance and feel at the lever. Relaxed Riding Position Relatively upright position offers both control and comfort. The rider triangle is essentially the same as that of the Z, with grips moved about 10 mm inward. Separate, raised handlebars contribute to the sporty, comfortable riding position. The handlebar stays are mounted to the fork tube tops, which extend above the upper triple clamp. Adjustable Windscreen Windscreen has three available positions spanning approximately 20o and ranging from sporty to maximum wind protection. Adjustment can be done by hand no tools required by depressing the release button below the instrument panel. Windscreen adjustment should be done with the bike stopped. Large-volume Fuel Tank 19 litre fuel tank offers a substantial touring range. Dynamic fuel tank design with tall upper surface features supersport-style flared edges with a trim shape at the rear, a shape that is easy to grip with the knees. Steel construction facilitates the use of a magnetic tank bag. The use of a slim-type fuel pump features a utilised fuel gauge and the fuel tank design and slim-type fuel pump minimise dead volume inside the tank. Seat Height Curb Weight Overall length Overall width Overall height You must be logged in to post a comment. News Ticker About Michael Le Parc Articles. Owner and Founder of Total Motorcycle. Supporting over Motorcyclists and Motorcycling for 21 great years. Total Motorcycle is my pride and joy and being able to reach out million people has been incredible but I could not have done it without the support of my visitors, readers and members,
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A Plant Recognition Approach Using Shape and Color Features in Leaf Images
Ali Caglayan, Oguzhan Guclu, and Ahmet Burak Can
Department of Computer Engineering,
Hacettepe University, Ankara/Turkey
{alicaglayan, oguzhanguclu, email@example.com
Abstract. Recognizing plants is a vital problem especially for biologists, chemists, and environmentalists. Plant recognition can be performed by human experts manually but it is a time consuming and low-efficiency process. Automation of plant recognition is an important process for the fields working with plants. This paper presents an approach for plant recognition using leaf images. Shape and color features extracted from leaf images are used with k-Nearest Neighbor, Support Vector Machines, Naive Bayes, and Random Forest classification algorithms to recognize plant types. The presented approach is tested on 1897 leaf images and 32 kinds of leaves. The results demonstrated that success rate of plant recognition can be improved up to 96% with Random Forest method when both shape and color features are used.
Keywords: Leaf recognition, shape features, color features.
1 Introduction
Plants have many uses in industry, medicine, and foodstuff production. Recognizing plant species is an important process to obtain necessary raw materials from correct plants. Plant recognition is also important in environmental protection to correctly observe changes in plant species and population. However, recognizing plants is a difficult task and is generally done by human expert biologists. Designing automatic recognition systems for plants is useful, since it can facilitate fast classification of plants, and have applications in many scientific and industrial fields [10]. For instance, discovery of new species, plant resource surveys, population studies, and plant database management are demanding applications in biology, foodstuff, medicine, and agriculture. Automatic plant recognition may increase efficiency and speed in these fields, save time of human experts, and decrease cost of production stages.
A computer-based plant classification system can use various characteristics of plants such as leaves, flowers, fruits, branching styles, and outlooks. An easier and accurate way is using leaves to identify plants. Since leaves are considered as important features to characterize plant species, many studies on leaf image retrieval based on shape, venation, color, and texture information have been conducted in computer-aided plant identification systems.
The aim of this work is to develop an approach to classify plants according to leaf features. The classification based on leaf images has an advantage such that sampling leaves (getting photos) is low-cost and convenient. Performance of a leaf recognition system depends on good feature selection and efficient recognition algorithm. In this work, we extended the method in [22] and studied new features and classification algorithms. In addition to shape features, we used color features of leaf images. A collection of machine learning techniques, k-Nearest Neighbor, Support Vector Machines, Naive Bayes, and Random Forest, are used to classify both shape and color features. Our results have shown that color features can improve the recognition performance. With Random Forest method, we obtained 96.32% classification accuracy rate in 32 plant species. To the best of our knowledge, the results are state of the art for such a large number of plant types.
Outline of the paper is as follows. Section 2 summarizes previous works on plant recognition systems. In section 3, we give an overview of commonly used features in previous works and explain new features of this work. Section 4 covers the experimental methods and results. Conclusions are summarized in section 5.
2 Related Work
Automated leaf recognition systems have been addressed by many researchers. Du et al. [10] proposed an automatic plant recognition method based on digital morphological features of leaf images, which generally include geometrical and invariable moment features. They also used Move Median Centers (MMC) hypersphere classifier as the classification method. Wu et al. [22] proposed a leaf recognition algorithm using Probabilistic Neural Networks (PNN). They define five basic geometric features: diameter, physiological length, physiological width, leaf area, and leaf perimeter. Then, they derive twelve digital morphological features from these basic geometric features. They finally use a PNN learner with two layers to classify these features. In [19], the authors used 7 morphological features in the literature and in addition to these features they introduced 3 new morphological features using half leaf images. PNNs were used as classification method. Gu et al. [12] used Wavelet Transform and Gaussian interpolation combination to extract the characteristics of leaf skeleton and veins. They used kNN classifier and radial basis PNN method for recognition. Chaki and Parekh [7] analyzed plant leaf images of three plant types using two different shape modeling techniques. The first is based on moments-invariant model and the second is based on the centroid-radii model. They used neural networks as classifier for discrimination. In [2], complex veins and contours of leaves are used as features. After collecting morphological features, mathematical models are constructed for classification of species. Valliammal and Geethalakshmi [20] proposed a new approach that combines a thresholding method and H-maxima transformation based method to extract leaf veins. In spite of the fact that they used a small data set for experimental evaluation, the results showed this hybrid approach is capable of extracting more accurate venation modality of the leaf for vein pattern classification. Lee et al. [15] presented a leaf recognition system for plant
classification by using geometric features, vein features, contour and centroid of leaves. They perform Fast Fourier Transform on distance values between centroid and contour points of leaves for acquiring frequency domain data.
There are some works which consider texture and color information. In [1], a volumetric fractal dimension approach is used and texture information of leaves was considered. 30 texture samples from each leaf were extracted and some of them which better describe the texture were chosen by the proposed algorithm. The authors of [5] proposed Gabor Wavelet Filters for texture analysis of leaves. They used a set of filters each of which has different scale and rotation parameters to extract texture features. Linear Discriminant Analysis (LDA) was used as classifier in both [1] and [5]. The authors of [17] proposed a semi automatic plant identification algorithm that combines color features, shape features, cell features and volume fraction. They used an unsupervised learning method based on a multistage comparison technique for classification.
Despite the above methods for general plant recognition, there are some works which are applicable to some certain species. Gouveia et al. [11] used a semi-automatic method for characterization of chestnut tree leaves. Some works are proposed to identify damaged leaves due to diseases [9], [14]. Degrees of damage on tomato leaves were measured in [9] and cucumber leaf diseases were detected in [14]. In both [9] and [14], Support Vector Machine (SVM) algorithm is used to recognize infected leaves.
Most of the studies ignore difficulties caused by natural background and use pictures with smooth and clean background. There are some approaches that work independent from the change in background. Wang et al. [21] proposed a framework for leaf images with complicated background. They first applied segmentation to distinguish leaves from background. Then, shape features were extracted and finally the Moving Center Hypersphere (MCH) approach was used for classification. Manh et al. [16] proposed a new method of weed leaf segmentation based on the use of deformable templates. This method has been used to segment one single specie and produce good results even with partial occlusions and overlaps. Cerutti et al. [6] presented a method designed to perform segmentation of a leaf in a natural scene. It’s based on the optimization of a polygonal leaf model, which is used as a shape prior for active contour segmentation. They classified nearly 50 tree species by using global shape descriptors. Instead of giving a certain classification result, this approach returns five possible types for each leaf image. With a high probability, the leaf image is from one of the possible types.
3 Feature Extraction
We used two groups of features from leaf images in this work. The first group of features is based on shapes of leaf images (SF-Shape Features) and the other group is based on color values of leaf images (CF-Color Features).
3.1 Shape Features
We used the morphological features in [22] as the shape features, which are common shape features used in the literature. There are five fundamental features: the longest distance between any two points on a leaf border ($L$), the length of main vein (lengthwise-$L_v$), the widest distance of a leaf (crosswise-$W$), the leaf area ($A$) and the leaf perimeter ($P$). Then, twelve features are constructed using these five fundamental features by some mathematical operations:
- smoothness of a leaf image
- aspect ratio ($L_v/W$)
- form factor, the difference between a leaf and a circle ($4\pi A/P^2$)
- rectangularity ($L_vW/A$)
- narrow factor ($L/L_v$)
- ratio of perimeter to longest distance ($P/L$)
- ratio of perimeter to the sum of main vein length and widest distance ($P/(L_v+W)$)
- and five structural features obtained by applying morphological opening on grayscale image.
3.2 Color Features
In our experiments, we realized that some leaf images in Flavia dataset [22] have very similar shapes. Thus classification accuracy is greatly affected by this similarity. However, even shapes are similar in some leaves, there are some differences in colors of leaves. Therefore, in addition to the shape features, we extracted color based features from leaf images. When calculating these features, we eliminated background color of leaf images.
We defined two sets of color features. In the first set, we used mean ($\mu$) and standard deviation ($\sigma$) of intensity values of red, green, blue channels and average of these channels. So that, the first set of color features contain eight features. Mean and standard deviation of each component are calculated as follows:
$$\mu = \frac{1}{MN} \sum_{x=1}^{M} \sum_{y=1}^{N} p_{xy}$$ \hspace{1cm} (1)
$$\sigma = \sqrt{\frac{1}{MN} \sum_{x=1}^{M} \sum_{y=1}^{N} (p_{xy} - \mu)^2}$$ \hspace{1cm} (2)
In (1) and (2), $M$ and $N$ are dimensions of an image and $p_{xy}$ is the intensity value of pixel at $(x,y)$ coordinate.
The second set of color features consists of color histograms in red, green, and blue channels. RGB histograms provide us an efficient representation of color distribution. Thus, we are able to effectively analyze color information in an image by using these histograms. After studying several bin sizes, we obtained the best results with 10 bins in each histogram. Since we are calculating three histograms for red, green and blue channels, there are thirty new features in the second set of color features.
4 Experiment
To test our feature set, we used the leaf images in Flavia Project data set [22].\footnote{The data set can be downloaded from \url{http://flavia.sourceforge.net}} The data set contains leaf images of 32 plant types, which are common plants in Yangtze Delta, China. Figure 1 lists sample pictures of each leaf type. In our experiments, we used 1897 leaf image samples in total. After extracting shape and color features from leaf images, we classified leaf images using four different classification algorithms: k-Nearest Neighbor, Support Vector Machines, Naive Bayes, and Random Forest.
– Support Vector Machines (SVM): In general, SVM is shown as a case in a two-dimensional space with linearly separable data points. However, it also handles a high dimensional space and data points that are not linearly separable. For a comprehensive information, we suggest looking at these references [8], [3].
– k-Nearest Neighbor (kNN): kNN is a non-parametric classification algorithm [18]. In this algorithm, unknown samples are classified according to their nearest neighbors. For classifying an unknown sample, $k$ closest training samples are determined. The most frequent class among these $k$ neighbors is chosen as the class of this sample. The $k$ value can be determined according to error rates and it should not be too big or too small. There is no training time in kNN. However, its testing time is long because all computations are made at that time.
– Naive Bayes: Bayesian classifiers [13] are statistical models and able to predict probability that an unknown sample belongs to a specific class. It is a practical learning approach and based on Bayes Theorem. A disadvantage of this learning algorithm is that conditional independence may decrease accuracy. It is a constraint over attributes because there may not be dependencies between them.
Table 1. Classification Accuracy of Four Classification Methods
(a) Using Only Shape Features
| Method | CV | RS |
|--------------|------|------|
| SVM | 0.7185 | 0.7289 |
| kNN | 0.8234 | 0.8158 |
| Naive Bayes | 0.7992 | 0.8026 |
| Random Forest| 0.8761 | 0.8605 |
(b) Using Shape Features and the First Set of Color Features
| Method | CV | RS |
|--------------|------|------|
| SVM | 0.8650 | 0.8474 |
| kNN | 0.9246 | 0.9158 |
| Naive Bayes | 0.8877 | 0.8842 |
| Random Forest| 0.9388 | 0.9395 |
– Random Forest: This approach is based on classification tree approach [4]. For a data set, predictions of multiple classification trees are aggregated. Each tree in the forest is grown using bootstrap samples. At prediction, classification results are taken from each tree and that means trees in the forest use their votes for the target class. The class which has most votes is selected by the forest. Random forests can be efficient on large data sets with high accuracy. However, it has some constraints on memory and computing time.
When testing with these classification algorithms, we used two sampling approaches. In the random sampling approach, we used 80% of images for training and the remaining 20% for testing. In the second approach, we used 10-fold cross validation method. In the 10-fold cross-validation, the dataset is partitioned into 10 equal sized subsamples. A single subsample is used for testing, and the remaining 9 subsamples are used as training data. This process is repeated 10 times and a different subsample is used in each run. The average of 10 runs is used as the final result.
In the experiments, we run each experiment 5 times and presented the average of experiments in the paper. However, due to randomness of classification algorithms, these results may have minor changes after every run.
4.1 Experimental Results
We performed three different experiments with various sets of features. In the first experiment, we made classification with the shape features. In the second experiment, we used the shape and the first set of color features together in classification. In the last experiment, we used all shape and color features (both first and second set of color features) together.
For the first experiment, the best classification accuracy results using only the shape features are shown in Table 1(a). In the table, cross validation and random sampling methods are abbreviated as CV and RS. The worst success rate was nearly 72% and obtained with SVM approach. The best result was approximately 88% with the Random Forest algorithm.
Table 2. Classification Accuracy of Four Classification Methods Using All Shape and Color Features (Including Both First and Second Set of Color Features)
| Method | CV | RS |
|-----------------|------|------|
| SVM | 0.9283 | 0.9289 |
| kNN | 0.9304 | 0.9421 |
| Naive Bayes | 0.8925 | 0.8895 |
| Random Forest | 0.9610 | **0.9632** |
Fig. 2. Sample leaves for 26. and 27. species and their color histograms for red, green, and blue channels.
For the second experiment, the results with shape features and the first set of color features are shown in Table 1(b). As it is clear from Table 1(a) and 1(b), using shape and color features together increases the classification accuracy significantly. The greatest increase was observed in SVM algorithm, in which the classification accuracy was improved about 15%. As in the first experiment, the best result of this experiment is obtained with the Random Forest algorithm, which is 93.95% classification accuracy.
Although we obtained 93.95% classification accuracy with the first set of color features, we tried to increase accuracy with more color features. In the last experiment, we used shape features with both first and second set of color features. Table 2 shows results of the last experiment. Adding color histograms in red, green, and blue channels improved the classification accuracy and produced the best results in our experiments. The best classification accuracy in our experiments is 96.32% when Random Forest algorithm is used with all shape and color features. In all experiments, both CV and RS methods produce close results.
4.2 Discussion
As it can be seen from Table 1(a), 1(b), and 2, using only shape features increases classification errors. The classification accuracies are increased significantly by adding color features. When only shape features are used, false classification rates increase for similar shaped leaves of some species. As an example from our data set, leaf samples of 26, and 27, species are given in Figure 2. These leaf species are often misclassified when only shape features are used. Although these leaves have similar shapes, color histograms of them are different. It is clear that using a combination of shape and color features increases the classification accuracy. Furthermore, in Flavia dataset, the leaf samples have different orientations (left-oriented or right-oriented) but the proposed approach handled this situation very well. In our experiments, for kNN and Random Forest algorithms, we studied various $k$ value and tree number parameters. For SVM classifier, we used a linear kernel function. Figure 3(a) shows the success ratio related to the neighbor number ($k$) for kNN method. The results belong to the last experiment (when both shape features and all color features are used). When $k$ number increases, the success ratio also increases up to $k = 10$. After this point, the success ratio decreases. In Figure 3(b), the success ratio with respect to the tree number in the Random Forest algorithm is shown. The results in this graph also belong to the last step of the experiment. The success rate improves until number of trees reaches 40 and then stabilizes. However, we obtained the best results with 50 trees and presented the results with 50 trees in the paper. Finally, we compared the performance of our proposed work to the other multi-species recognition methods in the literature. We consider only leaf-based plant recognition methods. We also ignore methods developed for only certain species. The comparison results are listed in Table 3. As it can be seen from these results, the proposed work produces the best results with a maximum number of different species. The referenced papers use various testing approaches and thus our results may not be directly compared with other papers. However, we tested our approach with two testing methods (cross validation and random sampling) and both methods produced more than 96% classification accuracy for the random forest algorithm. Therefore, the proposed approach can be considered as a robust approach to classify plant leaves.
Table 3. Comparison of the proposed method with the previous methods
| Refs | Accuracy Rate | Number of Species |
|-----------------------|---------------|-------------------|
| Backes et al. [1] | 89.1% | 10 |
| Casanova et al. [5] | 84% | 20 |
| Du et al. [10] | 93% | 20 |
| Gu et al. [12] | 93.2% | 20 |
| Wu et al. [22] | 90.3% | 32 |
| Uluturk et al. [19] | 92.5% | 32 |
| Lee et al. [15] | 95.4% | 32 |
| Proposed Method | 96.3% | 32 |
5 Conclusion
In this paper, we proposed an approach to recognize 32 plant species by using leaf images. Both shape and color features extracted from leaf images are used to classify plants. For classification, Support Vector Machines, k-Nearest Neighbor, Naive Bayes, and Random Forest algorithms are studied. The best results are obtained with the Random Forest algorithm. Experiments confirmed that using only shape features does not produce good results when classifying similar shaped leaves. Classification accuracy can be improved by using shape and color features together. However, seasonal changes of leaf color may reduce classification accuracy. Therefore, textural features may also be studied to classify plants as a future work. Data sets that provide leaf image samples from various seasons are needed to verify that textural features are helpful to recognize leaves independent from seasonal changes.
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A stochastic model for infectious salmon anemia (ISA) in Atlantic salmon farming
Ida Scheel\textsuperscript{1,*}, Magne Aldrin\textsuperscript{2}, Arnoldo Frigessi\textsuperscript{3} and Peder A. Jansen\textsuperscript{4}
\textsuperscript{1}Department of Mathematics and (sfi)\textsuperscript{2}– Statistics for Innovation, University of Oslo, PO Box 1053 Blindern, 0316 Oslo, Norway
\textsuperscript{2}Norwegian Computing Center and (sfi)\textsuperscript{2}– Statistics for Innovation, 0314 Oslo, Norway
\textsuperscript{3}(sfi)\textsuperscript{2}– Statistics for Innovation and Department of Biostatistics, University of Oslo, PO Box 1122 Blindern, 0317 Oslo, Norway
\textsuperscript{4}Section of Epidemiology, National Veterinary Institute, PO Box 8156 Departmental Division, 0033 Oslo, Norway
Infectious salmon anemia (ISA) is one of the main infectious diseases in Atlantic salmon farming with major economical implications. Despite the strong regulatory interventions, the ISA epidemic is not under control, worldwide. We study the data covering salmon farming in Norway from 2002 to 2005 and propose a stochastic space-time model for the transmission of the virus. We model seaway transmission between farm sites, transmission through shared management and infrastructure, biomass effects and other potential pathways within the farming industry. We find that biomass has an effect on infectiousness, the local contact network and seaway distance of 5 km represent similar risks, but a large component of risk originates from other sources, among which are possibly infected salmon smolt and boat traffic.
Keywords: biomathematics; infectious disease dynamics; spatio-temporal point processes; partial likelihood; infectious salmon anemia virus; Atlantic salmon farming
1. INTRODUCTION
World aquaculture has grown tremendously in recent decades and, along with this, a number of new diseases caused by pathogens of a wide taxonomical diversity have emerged (Murray & Peeler 2005). Infectious salmon anemia (ISA) is an infectious disease of farmed Atlantic salmon (\textit{Salmo salar}). Atlantic salmon farming has been a rapidly growing industry in Norway since the beginning of the 1970s, producing 582 000 tonnes of fish with a first hand value of $1.8$ billion in 2005 (Statistics-Norway 2006), making Norway a leading producer. Since the first outbreak of ISA in 1984, in Norway, the virus has caused large economic damage in the salmon farming industry in Europe and North America. Control strategies have not yet succeeded in eradicating ISA, except in Scotland (Stagg \textit{et al}. 2001), therefore, it is important to identify the factors affecting the transmission of the ISA virus (ISAV). In this paper, we present a stochastic space-time model for the spread of ISA in Norway during 2002–2005.
Stochastic modelling of human and veterinary infectious diseases is a field of increasing importance. Keeling \textit{et al}. (2001) modelled the foot-and-mouth epidemic in UK livestock suggesting that the most important factor in the dispersal was the distance between farms. The spread of disease in aquaculture systems is a developing field of research as witnessed by recent papers (Murray 2006; Sharkey \textit{et al}. 2006; Thrush \& Peeler 2006). Transmission pathways for ISAV and risk factors for ISA outbreaks are still unclear. We propose a stochastic model inspired by Keeling \textit{et al}. (2001) and Diggle (2006), which captures the relative importance of the main risk factors associated with different pathways of transmission. The model investigates the relative importance of proximity to an infectious farm site by seaway distance and local contact network on the rate of transmission, as well as the importance of farm site biomass on infectiousness and susceptibility. The model also compares the rate of transmission from infectious farm sites to the rate of transmission through other potential pathways within the Norwegian salmon farming industry. The model allows precise interpretations of the parameters. We have applied the model to a unique dataset, covering the whole ISA history in Norway over the years 2002–2005 and all farm sites with a recorded biomass at any time point during this period. The dataset contains location and biomass reports from 1035 farm sites and 41 ISA infection reports. The results reveal that the majority of the total risk is likely to originate from sources other than infectious farm sites. Furthermore, seaway distance and local contact networks explain the same amount of the total risk, although having an infectious farm site at a distance from 0 to 5 km implies more risk of being infected than being in the same local contact network with an infectious farm site. The results also show...
that the biomass seem to have an effect on infectiousness. Our findings challenge the efficiency of currently implemented monitoring and regulation strategies.
2. HISTORY AND EPIDEMIOLOGY OF ISA
The first recorded outbreak of ISA occurred in 1984 in Atlantic salmon parr in a hatchery on the southwest coast of Norway (Thorud & Djupvik 1988). The disease has since been reported in Atlantic Canada (1996; Mullins et al. 1998); Scotland (1998; Rodger et al. 1998); the Faroe Islands (1999; Lyngøy 2003); Chile (1999; Kibenge et al. 2001) and Maine, USA (2000; Bouchard et al. 2001). Except Chile, all these areas have experienced ISA epidemics of varying scales.
ISA is caused by a viral pathogen (ISAV) of the Orthomyxoviridae family (Krossøy et al. 1999). The disease is characterized by lethargy, anorexia, anaemia and varying degrees of mortality (Thorud 1991). In general, clinical ISA has been associated with seawater farmed Atlantic salmon. However, Kibenge et al. (2001) isolated ISAV from clinically sick farmed Coho salmon (*Oncorhynchus kisutch*) from Chile. The virus has also been shown to be capable of replication in brown trout (*Salmo trutta*) (Nylund et al. 1995) and rainbow trout (*Oncorhynchus mykiss*) (Snow et al. 2001). Wild Atlantic salmon and wild brown trout have been found to be infected with ISAV (Plarre et al. 2005).
In Norway, the number of seawater Atlantic salmon farm sites with verified ISA outbreaks increased steadily from the first occurrence in 1984 to a peak in 1990, when 80 ISA cases were verified. By 1992, ISA outbreaks occurred along most of the Norwegian coast (Jarp & Karlsen 1997). The number of ISA outbreaks reduced to only one in 1992 and two in 1993. This pronounced reduction has been attributed to the implementation of various preventive measures (Thorud & Hästein 2003). Later, the number of ISA outbreaks has increased moderately: between 6 and 23 cases annually from 1997 to 2004, widespread over the coast (Kvellestad et al. 2005). The current policy regarding minimum distance between seawater salmon farming sites is 2.5 km. Historically this has not always been followed, implying that sites may have been located closer to each other.
Thorud & Hästein (2003) describe the regulatory responses to ISA in Norway. In 1991, regulations on disinfection of effluents and secure treatment of offal from slaughtering houses and processing plants were implemented. In 1996, the authorities introduced official guidelines to deal with the outbreaks of ISA. Among others, the guidelines directed prompt destruction of fish in cages with confirmed ISA diagnosis and in other cages with clinically diseased fish, and then a full eradication out of the fish population within 80 working days followed by a fallowing period on the site. These practices have been the regulation throughout the study period 2002–2005.
Epidemiological studies conducted in Norway identified proximity to other farm sites with ISA outbreaks as a significant risk factor. These studies indicated that seawater constituted a major pathway for the transmission of ISAV and that the virus may disperse passively with the water current through normal discharge from ISAV-infected farm sites (Vågsholm et al. 1994; Jarp & Karlsen 1997). Proximity to infected farm sites has later been confirmed as a risk factor by epidemiological studies in Canada (Gustafson et al. 2005; McClure et al. 2005). Laboratory studies have also shown that the virus can disperse through seawater (Lovdal & Enger 2002). In Norway, different farm sites with common ownership may be operated by shared staff and boats, and often from a shared wharf. Hence, there is a local contact network between farm sites described by ownership. Epidemiological studies have identified a number of farm site management and husbandry-related risk factors for ISA outbreaks, e.g. shared staff between the farm sites, divers visiting the multiple farm sites, low frequency of the removal of dead fish and low rate of treatment against sea lice (Jarp & Karlsen 1997; Hammell & Dohoo 2005; McClure et al. 2005). Low density of fish in cages has been shown to reduce the susceptibility (Hammell & Dohoo 2005), but the impact of fish population size on site infectiousness and susceptibility is still unclear. Other pathways than farm-to-farm transmission have been suggested. These involve infected juvenile fish (smolt) (Nylund et al. 2007), shipment of live fish (Murray et al. 2002) and transmission facilitated by various harvesting methods (Munro et al. 2003). The importance of transmission of ISA from infectious farm sites relative to the transmission from other sources such as infected smolt and well boats is not known.
3. DATA
3.1. ISA-infected farm sites
The ISA-infected sites were identified at the National Veterinary Institute (NVI), Norway, which acts as a national and international reference laboratory for ISA diagnostics. ISA is classified as a B-category infectious disease in Norway and a list 1 disease in the EU under the Council Directive 91/67/EEC. Fish samples from all suspected outbreaks are analysed at NVI. Confirmation of a diseased population is based on a combination of clinical signs and diagnostic tests. For case sites in the present study, we used the date that fish samples were received and registered at NVI as the date of detection of ISA on the premises. There is one tie in the data, i.e. on one date there are two reported outbreaks at two different sites. The slaughtering time points were given with an approximation of three months.
3.2. Farm site biomass
The Atlantic salmon farming production cycle comprise a freshwater phase in which the fish are reared from eggs to the smolt stage, followed by a seawater phase in which smolt are moved to seawater farm sites and ongrown until slaughtering. All the outbreaks of clinical ISA have been associated with the seawater phase or the use of part seawater in freshwater hatcheries (Stagg et al. 2001). Our data include Norwegian fish farm sites (sites) in seawater with a standing stock of Atlantic salmon recorded at any point in time during the study period.
Figure 1. Total biomass (100 ton) of Atlantic salmon (left axis) and the number of active sites along the Norwegian coast (right axis) for the period 2000–2005. On 1 January 2002, there was a change in the license register identification system, making it impossible to use full data for the years 2000 and 2001.
Table 1. Summary of the distributions of quarterly reports on site-specific biomass, seaway distances and the sizes of the local contact networks for the years 2002–2005.
| variable | min. | first percentile | fifth percentile | first quartile | mean | median | third quartile | max. |
|---------------------------|------|-----------------|-----------------|---------------|--------|--------|----------------|------|
| biomass (100 ton) | 0.0 | 0.1 | 0.3 | 1.8 | 6.1 | 4.4 | 8.8 | 43.4 |
| seaway distance (km) | 0.2 | 18.8 | 61.5 | 100.0 | 96.0 | 100.0 | 100.0 | 100.0|
| size of local contact | 1 | 1 | 1 | 2 | 2.8 | 3 | 3 | 11 |
| networks | | | | | | | | |
Every operator of a site holding the salmonids is required to report key production statistics on a monthly basis to the Directorate for Fisheries (DFF). We have reports on biomass on all the active sites along the Norwegian coast on a quarterly basis starting from March 2000 to December 2005, and an additional report from January 2002. Figure 1 shows the number of farms and total biomass for the period. The level change in January 2002 is artificial due to a systematic change in the license register identification system and in the procedures followed for reporting. Before 2002, the operating companies sent joint reports comprising several sites, using a different identification system for each site. When merging the old system with the new one, we could not identify the location number between 13 and 26% of the sites each quarter (overall mean 20%, decreasing in time, which explains the increasing level from March 2000 to December 2001), despite that these had a standing stock of salmon in 2000–2001. In addition, there seems to have been substantial underreporting of biomass in 2000–2001. We therefore discarded the years 2000 and 2001 in our analysis. A summary on the distribution of quarterly reports on site-specific biomass for 2002–2005 can be seen in table 1.
3.3. Seaway distances between sites
The seaway distance (the shortest distance over seawater in kilometres) between farm sites within 100 km of each other was computed using the ArcView extension Spatial Analyst (ESRI, Redlands, CA, USA). The geographical coordinates of the sites were obtained from the aquaculture license register of DFF (www.fiskeridrift.no). Distances larger than 100 km are set to infinity. A summary of the distribution of the seaway distances between the sites can be seen in table 1.
3.4. Local contact networks
Operators of fish farming sites in Norway are predominantly companies that operate many sites. Locally, the same team of workers may operate different sites and often from a shared wharf. In addition, the sites operated by the same company may share equipment, boats, etc. This implies that sites appear in networks of contacts locally. To approximate such local contact networks, a variable was compiled from the aquaculture license register identifying sites with shared ownership within municipalities. Out of a total of 431 municipalities in Norway, sites were registered in 173 municipalities. We retrieved ownership from the license register only from one point in time (September 2004) and assumed that this reflects the ownership structure throughout the study period. The variable is an approximation to the effective local contact networks, which may lead to an underestimation of this effect. A summary of the distribution of the sizes of the contact networks can be seen in table 1. Table 2 shows the size of the local contact networks to which the ISA outbreak farms belong to.
4. A STOCHASTIC SPACE-TIME MODEL
4.1. Model specification
In this section, we describe a mathematical model for the probability that a susceptible site is infected at a time point $t$, as a function of several observable covariates: the biomass standing on the site at time $t$, the biomass of an infectious site from which the virus might potentially originate at time $t$, the distances between these two sites and the local networks they belong to. In addition, we allow for a further transmission pathway along routes which are not
Figure 2. Illustration of definitions 1–5 and of the indicator function $I_{e_k}(t)$ in equation (4.1). (a) The status is shown for two sites experiencing events ($f_k$ and $f_p$) and one site where there is no event ($f_q$). Site $f_k$ is susceptible from time $a_1$ until it becomes infected at event time $t_k$. The infection is detected at time $d_1$. Site $f_k$ is infectious from time $t_k$ until time $s_k$ when the stock is slaughtered and the site becomes inactive. Site $f_p$ is susceptible from time $a_2$ until it becomes infected at event time $t_p$. The infection is detected at time $d_2$. Site $f_p$ is infectious from time $t_p$ until time $s_p$ when the stock is slaughtered. Site $f_p$ is active from time $a_2$ until the stock is slaughtered at time $s_p$. Site $f_q$ is never infected. (b) $I_{e_k}(t) = 1$ for $t_1 \leq t \leq s_k$, since in this time period site $f_k$ could have infected site $f_p$. $I_{e_p}(t) = 0$ for $t_2 \leq t \leq s_p$, because in this time period site $f_p$ could in principle have infected site $f_k$, but site $f_k$ did not become infected. $I_{e_p}(t) = 1$ for $t_2 \leq t \leq s_p$, since in this time period site $f_p$ could in principle have infected site $f_p$, but site $f_q$ did not become infected. $I_{e_q}(t)$ and $I_{e_p}(t)$ are never 1, since $f_q$ is never infectious.
Table 2. Sizes of the local contact networks within municipalities that the farm sites active in 2002–2005 belong to. The percentages are given for all sites as well as separately for the ISA outbreak sites.
| size of local contact network | sites with local contact network of this size (%) | outbreak sites with local contact network of this size (%) |
|-------------------------------|--------------------------------------------------|----------------------------------------------------------|
| no local contact network (1) | 9 | 10 |
| small (2–3) | 46 | 41 |
| medium (4–6) | 34 | 39 |
| large (7–9) | 6 | 5 |
| extra large (10–11) | 5 | 5 |
monitored, for instance, the suppliers of smolt and the sharing of well boats.
The $m$ sites that farm salmon at least some time during the study period are denoted by $f_1, \ldots, f_m$. Let $n$ be the number of reported ISA infection events in this period. In our data $m = 1035$ and $n = 41$. The outbreak sites and their times of infection are $(f_{c_1}, t_1), \ldots, (f_{c_n}, t_n)$ such that $t_1 \leq t_2 \leq \ldots \leq t_n$, where $c_i \in \{1, \ldots, m\}$ and the time unit is day. The whole stock containing the ISA infected fish at site $f_c$ is slaughtered at time $s_c \geq t_c$ (after the infection is detected). The site $f_c$ has location $x_c$. The following definitions are illustrated in figure 2a.
Active site: A site is active at time $t$ if it farms salmon at time $t$.
Event: An event at a site means that fish at that site become infected and that the infection disperses within the fish population at that site in such a way that (at a later time) ISA becomes detectable.
Detection time delay $A$: $A$ is the detection time delay in months from an event until the infection is detected. In our study, it is fixed and deterministic, but two realistic values were compared.
ISA event time $t_c$: The time $t_c$ is the time of the $i$th event; the $i$th ISA infection is detected at time $t_i + A$.
Infectious: ISA infected site $f_c$ is infectious at time $t$ for $t_c < t \leq s_c$, where $s_c$ is the slaughtering time.
Susceptible: Site $f_c$ is susceptible at time $t$ if it is active and not infectious at time $t$.
The definitions of detection time delay $A$ and infectious are simplifications. $A$ comprise in fact two successive time periods; an unknown delay from event until the site becomes infectious and the period of infectiousness before the detection time. The pre-infectious period is presumably quite small compared to the latter, and is ignored here. Hence a site is infectious from the time point it becomes infected. Furthermore, $A$ varies between cases and can only approximately be assumed as a constant. ISA has a rather long and variable incubation period. Reluctance of site managers to report ISA suspicion and different traditions at the various veterinary districts may also contribute to the variability in $A$. However, we keep $A$ fixed, but experiment with two different values. Evidence from well boat movements of salmon smolts...
Table 3. An overview of the covariates.
| covariate | unit | description |
|-----------|------|-------------|
| $t_i$ | day | day when site $f_i$ became infected |
| $n_i(t)$ | 100 ton | biomass of fish at site $f_i$ at time $t$ |
| $d(x_j, x_i)$ | km | seaway distance between sites $f_j$ and $f_i$ |
| $k_{ji}$ | no unit | indicator which equals 1 when site $f_j$ and site $f_i$ are in the same local contact network, otherwise 0 |
| $I_p(t)$ | no unit | indicator which equals 1 if site $f_j$ is infectious and site $f_i$ is susceptible at time $t$, otherwise 0 |
| $J_i(t)$ | no unit | indicator which equals 1 if site $f_i$ is susceptible at time $t$, otherwise 0 |
Table 4. An overview of the parameters.
| parameter | unit | factors |
|-----------|------|---------|
| $\lambda_0(t)$ | no unit | a time-varying risk of infection constant in space, i.e. shared by all farm sites. It is the baseline hazard, the log rate of transmission from site $f_j$ to site $f_i$ in the hypothetical setting $n_i(t) = n_j(t) = d(x_j, x_i) = k_{ji} = 0$ |
| $\alpha$ | $(100 \text{ ton})^{-1}$ | the effect of increasing the biomass by 100 ton on a susceptible farm site on the log rate of transmission to a susceptible farm site |
| $\beta_1$ | $(100 \text{ ton})^{-1}$ | the effect of increasing the biomass by 100 ton at a susceptible farm site on the log rate of transmission from an infectious farm site |
| $\phi$ | km$^{-1}$ | the decrease in log rate of transmission from an infectious to a susceptible farm site caused by an increase of 1 km in the distance between them |
| $\gamma$ | no unit | the increase in log rate of transmission from an infectious farm site to a susceptible farm site when the two farm sites are in the same local contact network, compared to when they are not |
| $\theta$ | no unit | the log rate of transmission to a susceptible farm site from sources other than infectious farm sites in the hypothetical setting that $n_i = 0$ |
| $\beta_2$ | $(100 \text{ ton})^{-1}$ | the effect of increasing the biomass by 100 ton at a susceptible farm site on the log rate of transmission from sources other than infectious farm sites |
| $A$ | month | the detection time delay (not estimated) |
in Scotland in 1998 suggest that the minimum incubation time from introduction of ISAV to the manifestation of clinical disease and mortality is roughly three months in a site (Stagg et al. 2001). A second line of evidence comes from the time period that salmon have been reared in seawater prior to ISA outbreaks. Epidemiological data compiled for 26 outbreaks of ISA in Norway during 2003–2005 gave a minimum rearing period of 6 months and a median period of 13 months in seawater prior to outbreak verification (T. M. Lyngstad 2006, National Veterinary Institute, personal communication). Given that the events occurred early in the seawater rearing phase in at least some of the outbreak sites, these observations indicate that the detection time delay $A$ amounts to at least six months. We varied $A$ between six and nine months for different runs of the model.
Let $\lambda_{ji}(t)$ be the rate of transmission from site $f_j$ to site $f_i$ at time $t$. Let $n_i(t)$ be the biomass of fish in 100 ton (ton=metric ton) at site $f_i$ at time $t$, $d(x_j, x_i)$ is the seaway distance in kilometre between sites $f_j$ and $f_i$ and $k_{ji}$ is an indicator which equals 1 when sites $f_j$ and $f_i$ are in the same local contact network. Furthermore,
$$I_p(t) = \begin{cases}
1 & \text{if site } f_i \text{ is infectious and site } f_i \text{ is susceptible at time } t, \\
0 & \text{otherwise.}
\end{cases}$$
(4.1)
We show $I_p(t)$ for an illustrational example in figure 2b.
We model the rate of transmission from site $f_j$ to site $f_i$ at time $t$ as
$$\lambda_{ji}(t) = \lambda_0(t)\exp(\alpha n_i(t) + \beta_1 n_i(t)) \cdot \left[ \exp(-\phi d(x_j, x_i)) + k_{ji}\exp(\gamma) \right] I_p(t).$$
This model assumes an exponential variation of the risk with seaway distance. Table 3 shows an overview of all the covariates with a description and their respective units. Table 4 shows an overview of all the parameters with units and explanations of their respective roles in the model.
To account for transmission pathways originating from unknown sources, we introduce a further term in the model. Let the rate of transmission $\lambda_{0i}(t)$ from sources other than farm sites to site $f_i$ at time $t$ be
$$\lambda_{0i}(t) = \lambda_0(t)\exp(\theta + \beta_2 n_i(t)) J_i(t),$$
where $J_i(t)$ is an indicator which is 1 if site $f_i$ is susceptible at time $t$. For example, infected salmon smolt and well boat effects can be captured in the parameters $\theta$ and $\beta_2$.
Following Keeling et al. (2001) and Diggle (2006), the intensity for an event at site $f_i$ at time $t$ is
$$\hat{\lambda}_i(t) = \sum_{j=0}^{n} \hat{\lambda}_{ji}(t).$$
(4.2)
In model (4.2), we sum up all the sources from which site $f_i$ may have been infected, given the previous history; note that the ‘0’ source is also included.
4.2. Fitting the model
Diggle (2006) proposes to estimate the parameters in (4.2) by partial likelihood. If there are no ties, the estimates of the parameters in (4.2) are obtained by maximizing the partial likelihood
\[
\prod_{i=1}^{n} \frac{\lambda_{e_i}(t_i)}{\sum_{k \in R_i} \lambda_k(t_i)},
\]
(4.3)
where \(R_i\) is the at-risk-set (of sites) at time \(t\) such that \(k \in R_i\) if site \(f_k\) is susceptible at time \(t\). If ties occur, a modification of (4.3) is necessary. Let \(t_1^*, \ldots, t_D^*\) be the distinct event times \((t_1^* < t_2^* \cdots < t_D^*)\), \(d_i\) the number of events at time \(t_i^*\) and \(e_i^*\) the set of events happening at time \(t_i^*\). An approximation to the partial likelihood is (Efron 1977)
\[
\prod_{i=1}^{D} \prod_{l=1}^{d_i} \frac{\lambda_{e_i^*(l)}(t_i^*)}{\sum_{k \in R_i} \lambda_k(t_i^*) - \frac{1}{u_i} \sum_{h=1}^{q_i} \lambda_{e_i^*(h)}(t_i^*)}.
\]
We used the Nelder–Mead optimization algorithm (Nelder & Mead 1965) implemented in the function optim in the statistical software R to maximize the partial likelihood. Parameter uncertainties are based on the observed Fisher information matrix (see, for example, Pawitan 2001).
As long as the baseline hazard \(\lambda_k(t)\) is non-parametric, the partial likelihood is an equivalent version of the full likelihood with respect to the estimation of the parameters (Cox 1975). The efficiency gain by using a fully parametric baseline hazard and a full likelihood to give more precise results tends to be fairly small (Kalbfleisch & Prentice 2002).
5. RESULTS AND DISCUSSION
Estimated parameters for model (4.2) are given in table 5, together with estimated 95% confidence intervals. Two separate estimations were performed, one for the detection time delay \(A = 6\) months and another for \(A = 9\) months.
At a 5% confidence level, the distance parameter \(\phi\) is significantly positive for both values of \(A\). Hence, the risk of a susceptible site becoming infected by an infectious site decreases with increasing seaway distance between the sites. Of particular interest is the relative importance of the distance parameter \(\phi\) and the local contact network parameter, \(\gamma\). The smaller the \(\gamma\), the lesser the effect of local contact network. The risk implied by a distance of 0 km from an infectious farm is more than seven times the risk caused by being in the same local contact network as an infectious farm. Being in the same local contact network as a farm site with an ISA outbreak has the same effect as being at a seaway distance of \(-\gamma/\phi\) km from a site with an ISA outbreak and \(-\gamma/\phi = 5\) for both values of detection time delay parameter \(A\) (six and nine months). This means that having an infectious site at a seaway distance between 0 and 5 km implies more risk of being infected than being in the same local contact network as an infectious site. Our results are based on the exponential decay of the effect of distance on the rate of transmission \(\lambda_{p}(t)\), which is a natural assumption (starting with Cox 1975 and including Diggle 2006). The decay is necessarily sublinear, but other functions could be assumed, possibly leading to different results.
Before the study, we suspected that susceptibility would increase with increasing biomass at the susceptible farm, i.e. \(\beta_1\) and \(\beta_2\) would be positive. Hammell & Dohoo (2005) looked at fish density and found that a low fish density in cages reduces the ISA susceptibility. Although biomass is not the same as density, it may capture the same risk factor. Our results for \(\beta_1\) and \(\beta_2\) show no clear effects of biomass on susceptibility. These parameters are not significantly different from 0 for neither values of the detection time delay parameter \(A\) (six or nine months). We also suspected that infectiousness would increase with increasing biomass at the infectious site. The parameter \(\alpha\) is significantly positive for both \(A = 6\) and 9 months indicating that of two infectious farm sites, the site with the most biomass is the most infectious. The sign of \(\theta\) is not of particular interest, \(\exp(\theta)\) is the constant rate of transmission to a susceptible farm site from sources other than the infectious farm sites.
It is of interest to quantify the fraction of total risk explained by seaway distance to infectious farm sites, being in the same local contact network as infectious farm sites and sources other than infectious farm sites. For this purpose, we introduce the fraction of total risk explained by seaway distance
\[
r_{\text{distance}} = \frac{\lambda_1(t) \sum_{i=1}^{m} \sum_{e_i \in T} \sum_{j \in U_i} \exp(\alpha n_j(t) + \beta_1 n_i(t)) \exp(-\phi d(x_j, x_i)) I_{e_i}(t)}{\sum_{i=1}^{m} \sum_{e_i \in T} \sum_{j \in U_i} n_j(t)}
\]
the fraction of total risk explained by local contact network
\[
r_{\text{network}} = \frac{\lambda_1(t) \sum_{i=1}^{m} \sum_{e_i \in T} \sum_{j \in U_i} \exp(\alpha n_j(t) + \beta_1 n_i(t)) k_{ij} \exp(\gamma) I_{e_i}(t)}{\sum_{i=1}^{m} \sum_{e_i \in T} \sum_{j \in U_i} k_{ij} I_{e_i}(t)}
\]
and the fraction of total risk explained by other sources
\[
r_0 = \frac{\sum_{i=1}^{m} \sum_{e_i \in T} \lambda_0(t)}{\sum_{i=1}^{m} \sum_{e_i \in T} \sum_{j \in U_i} \lambda_{ij}(t)}.
\]
Here, \(m = 1035\) is the total number of sites, \(T_i\) is the set of days when site \(f_i\) is susceptible during the study period and \(U_i\) is the set of sites which are infectious at time \(t_i\) including the ‘0’ source.
The quantities \(r_{\text{distance}}\), \(r_{\text{network}}\) and \(r_0\) are estimated by plugging in the parameter estimates. The results can be seen in table 6. We see that \(r_0\) indicate that roughly...
Table 6. Estimated fractions of total risk explained by the seaway distance to infectious farm sites ($\tilde{r}_{\text{distance}}$), by being in the same local contact network as infectious farm sites ($\tilde{r}_{\text{network}}$) or by sources other than infectious farm sites ($\tilde{r}_0$).
| $A$ | 6 | 9 |
|-----|---|---|
| $\tilde{r}_{\text{distance}}$ | 0.135 | 0.141 |
| $\tilde{r}_{\text{network}}$ | 0.099 | 0.171 |
| $\tilde{r}_0$ | 0.766 | 0.687 |
70% of the total risk is explained by sources other than direct transmission from infectious farm sites. Seaway distance and local contact networks explain roughly the same fraction of the total risk.
Recall that common ownership within a municipality is used as the local contact network variable. This may not represent the local contact network accurately enough. In this sense, the local contact network effect may be underestimated. Similarly, the effect of seaway distance may be underestimated. The effective distance between two sites can be a rather complex function of seaway distance and local tidal hydrodynamics (Chang et al. 2005). Our simplified assumption might lead to a bias towards zero estimate of the distance parameter $\phi$.
The denominator in $r_{\text{distance}}$, $r_{\text{network}}$ and $r_0$ summarizes the total risk from all sources over all sites over the whole period, while the numerator summarizes the total risk explained by the seaway distance to infectious farm sites ($r_{\text{distance}}$), being in the same local contact network as infectious farm sites ($r_{\text{network}}$) or some other sources than infectious farm sites ($r_0$). They therefore include sites that are at infinite distance from infectious farm sites, where the only possible risk is from other sources.
We also analysed the dataset including the under-reported years 2000 and 2001. The results were quite similar to the results previously shown, but they were less conclusive. Inference on the detection time delay parameter $A$ from present data is hard, because it is nearly unidentifiable, confounding with several other parameters.
6. CONCLUSIONS
We have developed a stochastic model to quantify individual risk factors in the transmission of ISA in salmon farming. Seaway distance and local contact networks are found to be factors which affect the transmission between sites, and they explain roughly the same amount of the total risk. Although these factors can be underestimated, there is strong evidence that there is a large component of the total risk caused by some other sources than transmission of the virus from infectious sites. Being in the same local contact network as an ISA event site has the same effect as being at a seaway distance of 5 km from an ISA event site. This means that there is more risk involved in having an infectious site at a seaway distance from 0 to 5 km than being in the same local contact network as an infectious site. This supports a policy which requires a minimum distance between sites, but it also means that placing two sites considerably more than 5 km apart for the purpose of minimizing the risk of ISA dispersing from one to the other is of little value if the two sites are in the same local contact network. There is evidence that biomass influences infectiousness of farms. However, the model did not detect clear effects of biomass on susceptibility. The relatively small number of ISA cases in our dataset limits the precision in our results. Furthermore, the results show that more data is needed in order to identify the transmission risk factors incorporated into $z_0(t)$, that is transmission from sources other than infected farm sites. For example, data on well boat traffic and smolt suppliers would help to explain $z_0(t)$. Our study highlights the need to monitor pathways for ISAV infection to better control the spread of ISA, such as ISAV incidence and dispersal patterns for smolt from freshwater to seawater sites and well boat traffic. Our approach can be applied further to other diseases and processes, in order to detangle basic anthropogenic factors, such as ownership networks, from natural ones. In particular, if appropriate data were available, one could study emerging diseases that impose constraints on a vigorous development of aquaculture (Murray & Peeler 2005).
This work was partly funded by the Research Council of Norway, P.A.J. grant no 152029 and project 154079/420. We are grateful to Knut Johan Johnsen, the Directorate of Fisheries, Bergen, Norway, for providing the data on salmon biomass and to three anonymous referees.
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Thord, K. & Hastein, T. 2003 Experiences with regulatory responses to infectious salmon anaemia in Norway. In *International response to infectious salmon anaemia: prevention, control and eradication* (eds O. Miller & R. C. Cipriano), pp. 155–159. Washington, DC: US Department of Agriculture.
Thrush, M. & Peeler, E. J. 2006 Stochastic simulation of live salmonid movement in England and Wales to predict potential spread of exotic pathogens. *Dis. Aquat. Org.* **72**, 115–123.
Vågsholm, I., Djupvik, H. O., Willumsen, F. V., Tveit, A. M. & Tangen, K. 1994 Infectious salmon anaemia (ISA) epidemiology in Norway. *Prev. Vet. Med.* **19**, 277–290. (doi:10.1016/0167-887X(94)90095-7) |
HOUSTON BAPTIST COLLEGE
BULLETIN OF INFORMATION
1968-1969
VOLUME VI NUMBER 1
ADDRESS AND LOCATION
At the intersection of Southwest Freeway and Fondren Road, just across from the Sharpstown Shopping Center.
Visitors are always welcome.
MAILING ADDRESS FOR ALL OFFICES
7502 FONDREN ROAD
HOUSTON, TEXAS 77036
PHONE: PR 4-7661 AREA CODE: 713
Note: Houston Baptist College reserves the right to make changes in the arrangements and policies announced in this Bulletin as unusual circumstances, economic conditions, or efficiency in operation may require.
HOUSTON BAPTIST COLLEGE
BULLETIN OF INFORMATION
with announcements for
1968-1969
SIXTH YEAR
HOUSTON, TEXAS
JANUARY 1968
VOLUME VI, NUMBER 1
Houston Baptist College Bulletin is published by Houston Baptist College, 7502 Fondren Road, Houston, Texas 77036, four times a year, and entered as second class matter at the Post Office at Houston, Texas under the Act of August 24, 1912.
## Calendar 1968
| January | February | March | April |
|---------|----------|-------|-------|
| SMTWTF | SMTWTF | SMTWTF| SMTWTF|
| 123456 | 123 | 1 | 123456|
| 7891011 | 45678910 | 345678 | 7891011|
| 14151617| 11121314 | 10111213 | 14151617|
| 181920 | 15161718 | 14151617 | 181920|
| 212223 | 19202122 | 18192021 | 212223|
| 242526 | 22232425 | 22232425 | 242526|
| 272829 | 26272829 | 26272829 | 272829|
| 3031 | 2930 | 30 | 3031 |
| May | June | July | August |
|-----|------|------|--------|
| SMTWTF | SMTWTF | SMTWTF | SMTWTF |
| 1234 | 1 | 123456 | 123 |
| 5678910| 2345678 | 7891011 | 45678910 |
| 1112131415161718 | 9101112131415 | 1112131415161718 | 1112131415161718 |
| 19202122232425 | 16171819202122 | 19202122232425 | 19202122232425 |
| 262728293031 | 2324252627282930 | 28293031 | 25262728293031 |
| September | October | November | December |
|-----------|---------|----------|----------|
| SMTWTF | SMTWTF | SMTWTF | SMTWTF |
| 1234567 | 1 | 1234567 | 1234567 |
| 891011121314 | 2345678 | 891011121314 | 891011121314 |
| 15161718192021 | 9101112131415 | 15161718192021 | 15161718192021 |
| 22232425262728 | 16171819202122 | 22232425262728 | 22232425262728 |
| 2930 | 2324252627282930 | 293031 | 293031 |
## 1969
| January | February | March | April |
|---------|----------|-------|-------|
| SMTWTF | SMTWTF | SMTWTF| SMTWTF|
| 1234 | 1 | 1 | 123456|
| 5678910 | 2345678 | 2345678 | 6789101112 |
| 1112131415161718 | 9101112131415 | 9101112131415 | 13141516171819 |
| 19202122232425 | 16171819202122 | 16171819202122 | 17181920212223 |
| 262728293031 | 232425262728 | 232425262728 | 24252627282930 |
| | 2930 | 30 | 31 |
| May | June | July | August |
|-----|------|------|--------|
| SMTWTF | SMTWTF | SMTWTF | SMTWTF |
| 123 | 1 | 123456 | 123 |
| 45678910 | 2345678 | 6789101112 | 3456789 |
| 11121314151617 | 9101112131415 | 10111213141516 | 141516171819 |
| 18192021222324 | 16171819202122 | 17181920212223 | 24252627282930 |
| 25262728293031 | 2324252627282930 | 2728293031 | 24252627282930 |
| September | October | November | December |
|-----------|---------|----------|----------|
| SMTWTF | SMTWTF | SMTWTF | SMTWTF |
| 123456 | 1 | 1234567 | 1234567 |
| 7891011121314 | 2345678 | 7891011121314 | 7891011121314 |
| 14151617181920 | 9101112131415 | 14151617181920 | 14151617181920 |
| 21222324252627 | 19202122232425 | 21222324252627 | 21222324252627 |
| 282930 | 262728293031 | 28293031 | 28293031 |
COLLEGE CALENDAR
First Semester, 1968-69
September 4, Wednesday, Dormitories open, 5:00 p.m.
September 5, Thursday, Cafeteria open for service, 7:00 a.m.
September 5, Thursday, Registration for Upper-Class Students
September 5, Thursday, President’s Reception for Faculty,
7:00-9:00 p.m.
September 6, Friday, Registration for Freshmen
September 6, Friday, President’s Reception for Freshmen,
7:00-9:00 p.m.
September 6-7, Friday, Saturday, Make-up Freshman Orientation
September 9, Monday, Class Sessions begin at 8:00 a.m.
September 10, Tuesday, Opening Convocation, 10:50 a.m.
September 13, Friday, Class changes
September 18, Wednesday, Last date to register for this term
October 16, Wednesday, Last day to drop a course with a “W” mark
October 21-25, Monday through Friday, Religious Emphasis Week
November 6, Wednesday, Mid-Point of First Semester
November 14, Thursday, Founders’ Day celebrated
November 27, 12:00 noon Wednesday to 8:00 a.m. Monday, December 2,
Thanksgiving—Cafeteria, Dormitories, and Library closed
December 20, 5:00 p.m. Friday, to 8:00 a.m. Monday, January 6,
Christmas—Cafeteria, Dormitories, and Library closed.
January 16, 17, 20, 21, Thursday-Tuesday, Semester Examinations
January 22, Wednesday, Final Grades reported to Records Office
Second Semester, 1968-69
January 27, Monday, Registration
January 28, Tuesday, Class sessions begin
January 31, Friday, Class changes without penalty
February 7, Friday, Last date to register this term
March 7, Friday, Last date to drop a course with a “W” mark
March 10-14, Monday through Friday, Life Commitment Week
March 21, Friday, Mid-Point of Second Semester
April 3, 12:00 noon Thursday, to 8:00 a.m. Tuesday, April 8, Easter —
Cafeteria, Dormitories, and Library closed.
May 15, Thursday, Loyalty Day, awards presented
May 19-22, Monday through Thursday, Semester Examinations
May 23, Friday, Final Grades reported to Records Office
May 25, Sunday, Baccalaureate Service, 3:00 p.m.
May 26, Monday, Commencement, 10:00 a.m.
May 26, Monday, Cafeteria closes at 2:00 p.m.
May 26, Monday, Dormitories close at 5:00 p.m.
# TABLE OF CONTENTS
College Calendar ................................................................. 3
History and Purpose ......................................................... 5
The Liberal Arts Program .................................................... 7
Campus and Buildings ......................................................... 9
Student Organizations ....................................................... 10
Residence Life ................................................................. 11
Admissions ................................................................. 14
Financial ................................................................. 18
Student Aid ................................................................. 19
Academic Policies ......................................................... 21
Academic Program ......................................................... 29
Introduction ................................................................. 29
Curriculum Plan ......................................................... 31
Degree Requirements .................................................. 33
The Instructional Program .................................................. 35
Course Listings ................................................................. 35
Administration ................................................................. 96
Board of Trustees and Officers ........................................ 94
Administrators ................................................................. 96
Faculty Members ......................................................... 97
Staff Members ................................................................. 101
Index ................................................................. 103
The creation of Houston Baptist College by action of the Baptist General Convention of Texas on November 15, 1960, culminated many years of study, conference, reviews and prayerful guidance, especially by Baptists of Houston and Southeast Texas in support of a college of the highest quality and accreditation in Houston. Their aim was and is today a Christian college that stresses quality of life as well as quality of learning.
A committee was authorized by the Union Baptist Association in 1952, to study the possibility of locating a Baptist college in Houston. With professional assistance, plus the guidance and encouragement of the Education Commission, Baptist General Convention of Texas, a survey was conducted in 1955. Upon the basis of this information, and with the endorsement of the Education Commission, the Association approved the idea of establishing a college. In 1956, the Executive Board of the Baptist General Convention of Texas approved a recommendation that Houston Baptists be given assurance that the Convention would support such a college when the College Committee of the Union Association had succeeded in acquiring a satisfactory site for a campus, containing at least one hundred acres, and a minimum of three million dollars. Of this sum, one and one-half million would constitute a nucleus endowment fund, and one and one-half million would be designated for a physical plant. The Union Association accepted these conditions and endorsed the requirements set up by the State Convention.
In 1958 a 196-acre campus site was acquired in Southwest Houston, and in 1960 the initial required financial goal was reached, as a result of a campaign among the churches. Also, in 1960 the Baptist General Convention of Texas, in its annual session at Lubbock, Texas, elected the first Board of Trustees. This Board, in session at Houston, Texas on November 15, 1960, approved and signed the College Charter. The next day this charter was ratified and recorded with the Secretary of State in Austin. The way was then clear for immediate action to select administrative officers, develop a suitable physical plant, and provide an appropriate academic program.
The College opened in September, 1963, with a freshman class, new buildings, and a teaching staff of thirty members, of whom eighteen held earned doctoral degrees. Academic courses were offered in five divisions: Christianity, Fine Arts, Languages, Science and Mathematics, and Social Studies. In 1964 the Board of Trustees, following the recommendation of the faculty and administration, authorized the establishment of the Division of Education and Psychology. The following year, October, 1965, the Texas Education Agency approved the College in the training of certified teachers for the public elementary and secondary schools. The Division of Business and Economics was established in June, 1966. The addition of a baccalaureate degree program in nursing was approved by the State Board of Nurse Examiners in December 1967.
Since its first year, the College has cooperated with the Association of Texas Colleges. In 1966 the Commission on Colleges of the Southern Association of Colleges and Schools recognized Houston Baptist College as an official candidate for accreditation.
The 1966-67 academic year marked the achievement of the College's four-year program. By this time the full-time faculty had grown to fifty-four members, serving an enrollment of approximately 900. In addition, the Frank and Lucile Sharp Gymnasium and the Atwood Theology Building have been built. Concurrent with the graduation of the first senior class in May, 1967, ground was broken for construction of the Moody Library.
**PURPOSE**
The purpose of Houston Baptist College is to offer a program of academic and student life dedicated to providing a balance in moral and spiritual maturation, intellectual development characterized by breadth and depth, and preparation for courageous Christian living in a pragmatic and secular society. This program is designed to foster learning in an atmosphere of freedom and objectivity while emphasizing the Christian faith as the unifying basis.
The curriculum of studies presents a coordinated, innovative, and sequential approach to a thoroughly sound liberal arts program leading to the Bachelor of Arts degree. It is believed that the Bachelor of Arts degree, which includes a broad background in general education and with special emphasis on the foundations upon which our nation is built, provides a logical basis for programs in teacher education, preparation of students for graduate study, appropriate professional schools, and Christian-oriented leadership in the arts, business, industry, and the home.
The ultimate objective in presenting this educational process is the development of a cultured person, possessing intellectual honesty, social consciousness and Christian character, with a voluntary dedication to the task of rendering effective service in behalf of his fellowman, his state, his nation and, through the church of his choice, the Kingdom of God.
**NATURE**
The Preamble to the By-Laws as stated below prescribes the distinctive nature of the institution:
"The Houston Baptist College is a Christian liberal arts college dedicated to the development of moral character, the enrichment of spiritual lives, and the perpetuation of growth in Christian ideals. Founded under the providence of God and with the conviction that there is a need for a college in this community that will train the
minds, develop the moral character and enrich the spiritual lives of all people who may come within the ambit of its influence, HOUSTON BAPTIST COLLEGE shall stand as a witness for Jesus Christ expressed directly through its administration, faculty and students. To assure the perpetuation of these basic concepts of its founders it is resolved that all those who become associated with Houston Baptist College as a trustee, officer, member of the faculty or of the staff, must believe in the divine inspiration of the Bible, both the Old Testament and New Testament, that man was directly created by God, the virgin birth of Jesus Christ, our Lord and Saviour, as the Son of God, that He died for the sins of all men and thereafter arose from the grave, that by repentance and the acceptance of and belief in Him, by the grace of God, the individual is saved from eternal damnation and receives eternal life in the presence of God; and it is further resolved that the ultimate teachings in this college shall always be consistent with the above principles."
THE LIBERAL ARTS PROGRAM
The Christian liberal arts program has at its foundation the conviction that all worthy vocations are built on a basis of service to mankind. It is a program which seeks to liberate both faculty members and students from the limitations of opportunity and outlook, increase their awareness of self and environment, sharpen their capacity for critical and creative thought, and equip them to meet the demands of intelligent citizenship in a rapidly changing and complex society. It is a program designed to produce general resourcefulness, leadership, ability to solve problems in various situations, and a capacity for happy and successful living. Its elements embrace enduring values and its methods promote the continuation of independent study, to the end that one may enjoy a lifetime of intellectual adventure.
Although vocational preparation is not its primary objective the liberal arts program is intensely practical because the best job insurance in our rapidly changing society is not narrow training in specific skills but broad training in general abilities. There is an ever increasing demand for those with such training to fill executive and leadership positions in business and in the professions. Immediately following graduation many enter positions in teaching, business, recreation, public relations, publishing, applied arts, research, public administration and government.
A high per cent of liberal arts graduates continue in graduate and professional schools to pursue careers in law, medicine, psychiatry, scientific research, hospital administration, dentistry, theology, social work, journalism, college teaching, engineering, and many other professions. Such professional schools strongly endorse the liberal arts experience as the best possible foundation on which to build a successful career. Houston Baptist College is designed to provide this opportunity to capable students in its area of service.
THE CAMPUS PLAN
The campus of the Houston Baptist College consists of 196 acres in Southwest Houston at the intersection of the Southwest Freeway and Fondren Road. It is planned to reflect that unity of knowledge which is the essence of a liberal education. It is a tightly organized series of buildings surrounding a mall beginning at the east with the Theology building and ending at the west with the Physical Education Center and flanked by the Library, small auditorium, Student Center, administrative offices and classrooms for the various academic disciplines. Later a chapel, a large auditorium, science building, and a fine arts center will become a part of this complex of buildings. Concentrically related to this complex are the complementary facilities for residence, athletics and recreation. It is so organized as to cause the constant intermingling of teachers and students from the various fields thereby preventing the arid experience of isolation.
The approach to the college is on an axis from Fondren Road to the grand opening of the court between the Student Center and classroom buildings. This is also the gateway to the mall and to academic and social areas. A comprehensive traffic, parking and service system is included in this initial phase. The first phase is designed to handle all facilities for a four-year program for 1,000 students while it is projected that the Master Plan, when completed, can accommodate 15,000 students if such is desirable.
LEGEND:
1. Major Academic Quadrangle
M. D. Anderson Student Center
Laboratories
Fine Arts Dept.
Classrooms
Denham Hall
Administrative Offices
2. Chapel*
3. President's Home
4. Atwood Theology Building
5. Fine Arts Building*
6. Library
7. Residence Halls
8. Residence Halls*
9. Science Building*
10. Sharp Physical Education Building
11. Coliseum*
12. Library*
* Future Construction
CAMPUS LIFE
Student Center
The M. D. Anderson Student Center is the focal point of student life on the campus. It is here the student meets his friends, has his pep rallies, enjoys seasonal and traditional banquets and receptions, and entertains his guests.
A bookstore stocked with the necessary items for college work, as well as an abundance of goods which makes the life of a student more enjoyable, is an integral part of the Student Center.
A College Cafeteria is located opposite the Bookstore and offers a variety of well-prepared meals, carefully planned by professional dietitians for faculty, students and guests. In addition, convenient snack facilities are provided for on-the-run meals and after-hours appetites. There are monthly "specials" in the cafeteria: steak or shrimp nights and seasonal buffets. All food and bookstore prices are maintained at moderate levels for the maximum benefit of the Houston Baptist College student.
Student Government
The first student body wrote and adopted a "Constitution of the Student Association of Houston Baptist College." It was adopted October 18, 1963. The first student officers were elected in December, 1963. The Constitution of the Student Association of Houston Baptist College became fully operative in 1966-67 with all four undergraduate classes organized. Student government at Houston Baptist College is exercised through the Student Association. All full-time students (12 semester hours or more) become members of this Association upon registering. Each April officers of the Association are elected for the following year. The legislative body is the Student Senate which is composed of representative students from all divisions of the College. Student officers serve as the spokesmen for the student body and seek "to foster the recognition of privileges and responsibilities of the students of the College community." Houston Baptist College is a member of the Texas Intercollegiate Student Association.
Student Organizations
The following groups have now been recognized:
Alpha Sigma Epsilon (Honor Society)
Art Guild
Association of Women Students
Baptist Student Union
Cercle Francais (French Club)
Chapel Choir
Christian Service Fellowship
College Chorus
College Singers
Collegian Staff (Newspaper)
Concert Band
Coreons
Epsilon Delta Pi
Instrumental Music Ensembles
Koinothenia
Men's Honorary Leadership Society
Ornograh Staff (Yearbook)
Phi Kappa Epsilon
Pre-Med Club
Raft Staff (Student Literary Publication)
Sigma Alpha Sigma (Science Club)
Sigma Beta Lambda (Business Club)
Student Association
Student Education Association
Triceans
Women's Dormitory Council
Women's Recreational Association
Young Democrats
Young Republicans
Young Women's Auxiliary
The inauguration of local groups and of chapters of national societies and organizations in promotion of the arts and sciences will be assisted by the College as a valuable adjunct to academic instruction.
Residence Life
There is one dormitory for men, one dormitory for freshman and sophomore women, and college apartments adjacent to the campus for junior and senior women. These dormitories and apartments incorporate the finest in student accommodations. The dormitories are completely air-conditioned and each suite features wall to wall carpeting. In the dormitories there are suites of four rooms grouped around a comfortable common living room. Each pair of rooms has its own bath facility, and each room has its own lavatory. Other facilities include lobby, recreation, refreshment, and library areas. There is a campus telephone in each suite and residents may have a private telephone installed at their own expense. Each dormitory houses 128 students. The one and two bedroom apartments are also fully air-conditioned and feature wall-to-wall carpeting and kitchen appliances. All facilities are purposely designed to promote the educational process and the social life of the student. Costs for room
and board are $500.00 per semester. There are two students in each room. If a student requests a private room there will be a double charge. Linen service rental is available for the resident student for $10.00 per semester. The plan provides for a weekly supply of fresh linens. Payment for this service should be made prior to or during registration.
**Housing Regulations**
All unmarried students, except Houston residents living at home or with immediate relatives and those who receive permission to commute from their homes, are required to live in college housing as long as space is available. When college dormitory space is filled, students may be permitted to live in approved off-campus housing. Students living off campus with approval of parents and the Dean of Student Life accept the same obligations regarding college regulations and policies as students residing in college dormitories.
All living arrangements for students regardless of age, classification, marital status or home address, will be reviewed each semester. Final approval for housing will be made by the dean of Student Life or Associate Dean of Student Life. No registration will be initiated until housing has been approved.
**Student Conduct**
All Houston Baptist College students are familiar enough with the ordinary conventions of society governing the proper conduct of Christian ladies and gentlemen. Therefore, the College feels it need not delineate many definite disciplinary regulations, but reserves the right to dismiss a student at any time for cause deemed by the College Administration to justify suspension or expulsion. Disciplinary action procedures may involve the following:
*Dean of Student Life* — Students adjudged guilty of a breach of proper conduct may be placed on disciplinary probation by the Dean of Student Life or Associate Dean of Student Life. This probation becomes effective upon a written report of such conduct by college personnel to the Dean of Student Life or Associate Dean of Student Life. The student is immediately informed of the probation. He may request a review of this action by the Committee on Student Conduct.
*Student Court* — The Student Court has original jurisdiction in cases involving general student discipline and honor with a few exceptions. Appeals of any Student Court recommendations may be made to the Committee on Student Conduct by the student involved or by the Dean or Associate Dean of Student Life. The Student Court has appellate jurisdiction over any lesser student courts that it authorizes. Written reports of all Student Court recommendations are submitted to the Dean or Associate Dean of Student Life for referral to the Committee on Student Conduct.
Committee on Student Conduct — Students guilty of overt actions or repeated offenses meriting probation may be reported to the Committee on Student Conduct for disciplinary action. Committee action becomes a part of the student's permanent record. Normally the written report of conduct resulting in probation remains in the files of the Dean of Student Life. However, action by the Committee on Student Conduct may become a part of the student's permanent record in the Registrar's office. The Committee on Student Conduct may: (1) confirm the action of the Dean of Student Life or Associate Dean of Student Life in placing the student on probation, (2) confirm the recommendation of the Student Court for disciplinary action, (3) recommend to the President suspension of the student for a definite period, and (4) recommend to the President suspension of the student indefinitely.
Reinstatement — A student placed under disciplinary suspension must be reinstated by action of the Committee on Student Conduct. To be eligible to apply for readmission this action must be certified to the Committee on Admissions by the Dean of Student Life or Associate Dean of Student Life. During a period of disciplinary probation, a student is not eligible to represent the College.
Student Insurance
It is recommended that each student be insured under an accident and sickness insurance program. The College accident and insurance plan is administered by the Medical Assistance Plan of Texas. The policy covers a full 12 months, costs $30.00 per year, and contains liberal coverage for emergencies and hospitalization. Details of coverage are available at the College Business Office.
Athletic Program
The College is an Associate Member of the NAIA and participates in basketball, baseball, and golf in collegiate competition. Plans call for further development of programs in collegiate competition in tennis, track and field, and swimming.
A strong program in intramurals is offered and enjoyed by the total population of the College.
The beautiful and adequate Frank and Lucile Sharp Physical Education Building contains courts, offices and other facilities for the Physical Education Department.
Transportation
A city bus route is on Fondren Road, the east boundary of the campus. Student operated automobiles properly registered with the College are permitted and ample convenient parking areas are provided.
The relative positions of the several buildings were planned to provide convenient access in walking from building to building, from dormitory to classroom or to Student Center, and from the parking lots to any campus unit.
ADMISSIONS
Principles
Admission to Houston Baptist College involves more than the meeting of a list of specific requirements. The Committee on Admissions gives attention to the items listed under "Requirements" below in the evaluation of applicants. On the basis of these criteria and aided by a personal interview in many instances the Committee approves for enrollment those it believes to be best adjusted to and most likely to profit from a liberal arts education in the Christian environment maintained on this campus. Preference is given also to applicants who indicate an intention to complete a degree at Houston Baptist College.
Students of all creeds and faiths are heartily welcome. The ancient principle of academic freedom is zealously guarded. Students are encouraged by precept and example to attend the churches of their choice and to participate in the various religious activities on campus.
Early Decision — Students who have selected Houston Baptist College as their first choice college are invited to participate in the Early Decision Program based on high school record through the junior year. A candidate for early decision must submit his completed application prior to February of the senior year. Successful applicants will be tentatively approved promptly and immediately accepted after graduation from high school.
Requirements for Tentative Approval
1. ENTRANCE EXAMINATIONS — The Scholastic Aptitude Test of the College Entrance Examination Board is regarded by the Committee on Admissions as a basic measure of an applicant's preparation for college study, and as an excellent means of evaluating prospective students from various schools and from different areas. The applicant should consult his secondary school counselor regarding the most desirable time and place for him to take this examination. This test is usually given in December, January, and March. A "Bulletin of Information" may be obtained by writing the College Entrance Examination Board, Box 592, Princeton, New Jersey 08540. Please remember at the time you take the examination to request that your scores be sent to the Dean of Admissions, Houston Baptist College, whose C.E.E.B. Code Number is 6282. In lieu of SAT the ACT will be accepted. The Code Number for Houston Baptist College in the American College Testing Program (ACT) is 4101.
2. APPLICATION FOR ADMISSION — The Committee on Admissions will consider only those who have prepared and presented an "Application for Admission" including the related materials in paragraphs 1, 3 and 4, and the $15.00 non-refundable fee. Application form, health form, and recommendation forms are included in the back of this Bulletin. (See pages 105-108) Additional application forms, information,
and other papers needed may be obtained by writing to the Dean of Admissions, Houston Baptist College, 7502 Fondren Road, Houston, Texas 77036, and all materials and correspondence relating to admissions should be directed to this office.
3. SECONDARY SCHOOL RECORDS — An applicant must be completing (or have completed) a college preparatory course leading to graduation from a fully accredited secondary school, and his rank in his respective class should be high. It is the responsibility of the applicant to have his official high school record sent to the Dean of Admissions.
4. RECOMMENDATIONS — Two references should be mailed directly to the College. Freshman must have a reference from high school counselor. (See pages 107 and 108)
**Additional Materials Required for Final Acceptance**
1. HANDWRITING SAMPLE — The application must include an autobiographical statement of approximately 300 words by the applicant in his own handwriting including his reasons for selecting Houston Baptist College.
2. HEALTH RECORD — A “Student Health Record” properly filled in by a physician is required of students taking more than six hours. This form is to be found on page 106.
3. TUITION DEPOSIT — Applicant will be notified promptly of tentative approval. A $25.00 non-refundable deposit is required before acceptance. This should be submitted to the Dean of Admissions within two weeks of notification. This deposit will apply on the first semester’s tuition.
**Admission by Transfer**
A student who is in good standing at another recognized institution and desires to transfer to Houston Baptist College will be given individual attention by the Admissions Committee. Advanced credit is granted to applicants from accredited colleges, universities, and junior colleges who are in good standing at that institution. The following conditions govern admission:
1. A candidate must follow the admission procedures as outlined on the application. (See Application for Admission, page 105)
2. A candidate should come to Houston Baptist College for a personal interview if it is at all possible.
3. A candidate must submit an official transcript of record from each institution he has previously attended. Unless specifically requested by the Admissions Committee he will not be required to submit copies of his SAT or ACT scores.
No transcript will be evaluated or official estimate of advanced credit given until the candidate’s complete record for admission has been submitted and approved.
**Transient Students**
Transient students must file a complete application and furnish Houston Baptist College with a letter of good standing listing the number of hours completed from the last college attended. Hours earned by a transient student are transferred only to the sponsoring institution. If a transient student decides to continue at Houston Baptist College he must complete all of the transfer procedures.
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FINANCIAL AFFAIRS
Houston Baptist College is a non-profit educational institution and receives contributions from the Baptist General Convention of Texas and from Baptist churches, gifts from the local business community, and gifts from interested individuals and foundations. The tuition and fees paid by the students cover only fifty per cent of the instructional and operating cost of the College. Therefore, each student at Houston Baptist College has a grant-in-aid that is equal to approximately one half of the total actual costs.
Tuition and Fees
Students will pay tuition and fees as described in the Bulletin of Information of the year in which they matriculated, and for the five years immediately following this. After this period the then current rate will be charged.
Application Fee — non-refundable .......................... $15.00
Tuition deposit — non-refundable ............................ 25.00
Tuition — 12 hours or more per semester ..................... 500.00
Summer Session Tuition — per semester hour ............... 33.33
Change of schedule fee ........................................... 5.00
Late registration fee — after registration day .............. 5.00
Applied music fee — per semester:
One 30-minute lesson per week ............................. 50.00
Two 30-minute lessons per week ............................ 100.00
Practice room fee — per semester:
One hour per day ............................................. 6.00
Each additional hour ......................................... 4.00
Graduation fee .................................................... 25.00
Matriculation fee — annually ................................. $10.00
Dormitories
Dormitories are available for both men and women. Room and board is $500.00 per semester. A refundable deposit of $10.00 is required of dormitory students.
Estimate of Expenses Per Semester
| | Resident | Commuter |
|----------------------|----------|----------|
| Tuition | $500.00 | $500.00 |
| Room and Board | 500.00 | |
| | $1,000.00| $500.00 |
Payment of Accounts
Student accounts for tuition and fees are due and payable by the semester upon registration. Board and room charges may be paid on a monthly basis.
In enrolling as a student at Houston Baptist College, one indicates his agreement with the theory that private education is well worth the cost. Since all students are receiving an education for less than it costs, Houston Baptist College is forced to require cash payment at the beginning of each semester.
Realizing that many parents appreciate the convenience of a deferred payment plan, Houston Baptist College makes available the programs of The Tuition Plan, Inc., of Chicago, Illinois, and Education Funds, Inc., of Providence, R. I. Both have a complete program covering one through four years of college. In addition, all programs covering more than one year of college costs automatically include Parent Life Insurance. Information on these plans may be obtained from the Business Office. The Bulletin section on "Student Aid" describes other sources of financial aid for the student.
Arrangements for loans or other financial aid should be made prior to registration.
**Refund Policy**
The College plans its expenditure for the year based on the anticipated attendance of students who have been accepted for registration by the Committee on Admissions. Its instructional and operating costs are not reduced by the withdrawal of a student after a semester has begun. There may be a full refund of tuition and fees during the first week of school. Afterwards, there is no refund except that any student forced to withdraw by circumstances beyond his control may apply to the Controller for a partial refund.
**STUDENT AID**
The financial aid policy of the College is to meet the financial needs of all academically qualified students through the use of one or more of the programs listed below. Financial need is determined from the report of the College Scholarship Service.
Each applicant for aid should submit the confidential financial report of the College Scholarship Service to the address indicated. This form may be obtained from high school counselors or the Vice President for Financial Affairs, Houston Baptist College.
**Scholarships**
All scholarships awarded will be based on scholastic achievement. Those interested in making application should apply to the Vice President for Financial Affairs, Houston Baptist College, 7502 Fondren Road, Houston, Texas 77036.
**Grants-In-Aid**
These grants are made to students who do not academically qualify for scholarships but who can contribute special abilities or services in return for financial aid. Financial need is a prerequisite to granting of this aid. Applications for grants-in-aid should be made to the office of the Dean of Admissions.
National Defense Student Loans
National Defense Student Loans are available to qualified students. Application for these loans should be made well in advance of registration at the office of the Vice President for Financial Affairs.
Work-Study Program
Eligible students may participate in the Federal Work-Study Program. Campus jobs and related project jobs are available for a maximum of 15 hours per week.
Texas Opportunity Plan
Texas Opportunity Plan loans are available to qualified residents of Texas. Contact the Vice President for Financial Affairs for eligibility requirements and applications.
Educational Opportunity Grants
Educational Opportunity Grants from the Federal Government are available to aid academically qualified students who meet the financial need criteria specified by the Educational Opportunity Act.
Ministerial Aid
All ministerial students applying for aid on tuition must present a license or certificate of ordination and an application form (which may be obtained from the Dean of Admissions) signed by the student, by the pastor, and an officer of the Board of Deacons of the licensing or ordaining Southern Baptist church. Upon approval of the application undergraduate ministerial students will receive a voucher good for payment of tuition to the extent of $5.00 per semester hour. This is paid by the Baptist General Convention of Texas. In order to continue to receive this aid, the student must maintain a “C” (2.00) average or better.
ACADEMIC POLICIES
The College is scheduled to operate on a semester basis as indicated by the official calendar which appears at the front of this bulletin, and academic policies explained here conform to that pattern.
CLASSIFICATION OF STUDENTS
Freshman: Less than 32 semester hours of credit
Sophomore: At least 32 and not more than 63 semester hours
Junior: At least 64 semester hours
Senior: At least 96 semester hours and a 2.00 scholastic standing or above
Special: A student over 21 years of age, with demonstrated ability to do acceptable college work, but indicating by signed statement that he is not interested in following a degree program
Part-Time Student: One registered for less than 12 semester hours
COURSE NUMBERS
The courses of instruction are numbered in such a way as to reveal at a glance the intended level of the course and the number of semester hours to be earned by taking the course. The first digit indicates the level and the third digit the number of semester hours. The courses numbered 100 to 199 are intended for freshmen, those numbered 200 to 299 for sophomores, and those numbered from 300 to 499 for juniors and seniors. Courses listed on the same line and having the same description are sequence courses. If the numbers are separated by a hyphen (French 113-123, for example), both must be successfully completed before a student may receive credit in either. If the numbers are separated by a comma (History 213, 223, for example), it is strongly recommended but not required that both be completed in order to receive credit in either. Interdisciplinary Courses bear the same number for each semester, followed by an A or B, because they are unit courses extending through the academic term of both semesters.
THE GRADING SYSTEM AND QUALITY POINTS
To record the level of student achievement and stimulate quality work, the college system of grading is expressed in letters and quality points as indicated below:
A — for excellent work — 4 quality points per semester hour
B — for above average work — 3 quality points per semester hour
C — for average work — 2 quality points per semester hour
D — for below average work — 1 quality point per semester hour
F — for unsatisfactory work — 0 quality points and no credit
I — for work of passing quality but incomplete for reasons beyond the control of the student — 0 quality points and becomes F if not completed within one year
W — for withdrawal within first six weeks of the semester — after six weeks and through the twelfth week a WP or WF will be recorded to indicate student performance during the period enrolled, and hours attempted will be included in calculation of scholastic standing — withdrawal after the twelfth week can not be approved and a grade of “F” is automatically recorded.
SCHOLASTIC STANDING
A cumulative record of the quality point standing of each student will be maintained and those failing to achieve acceptable minimums will be placed on academic probation for one semester and their enrollment terminated at the end of the semester if satisfactory progress is not made. The grade point average on which this action is based is determined by dividing the total number of grade points earned by the total number of semester hours attempted, with repeated courses considered only once in the calculation. A student dropped from enrollment because of scholastic deficiencies may apply for readmission, to the Committee on Admissions, after the end of the suspension period.
To remain in good standing a student must attain the following cumulative scholastic levels:
- Freshman — end of first semester: 1.60
- Freshman — end of second semester: 1.80
- Sophomore — end of first semester: 1.90
- Sophomore — end of second semester: 2.00
- Junior and Senior: 2.00
A freshman failing to attain 1.60 at the end of the first semester will be warned by the Dean of Admissions and Records and notification of this action will be sent to his faculty adviser and parents or guardian with the grades for that term. Each other student failing to earn the standing designated above will be placed on scholastic probation and removed from the list of degree candidates until the appropriate cumulative standing is attained. No student may register as a senior or be considered as a candidate for a degree who does not have a 2.00 cumulative standing. A student must maintain the cumulative academic standing specified for his classification to be eligible to represent the College.
A student on academic probation must earn a 2.00 standing in the current semester with a load of 12 or more semester hours to be eligible to continue in enrollment beyond that semester. Each student failing to attain this standing will be suspended and may not apply for readmission until at least one full semester has passed. Removal from academic probation requires a 2.00 cumulative average. A student readmitted by the Admissions Committee after a period of academic suspension and not attaining a 2.00 on a current load of 12 or more semester hours will be suspended and not allowed to apply for readmission in less than one
calendar year from his last period of enrollment. Readmission must be approved by the Admissions Committee. A third academic suspension shall be permanent.
The official scholastic records are maintained by the Dean of Admissions and Records and reports will be issued from that office as soon as is possible after the close of each term. All reports on scholastic standing available while classes are in progress will be distributed to students by their respective faculty counselors. Those released when classes are not in session, will be sent by First Class Mail.
**DEGREES WITH DISTINCTION**
Honors at graduation are awarded to students who have completed a minimum of 64 semester hours in residence at Houston Baptist College and earned an appropriate number of quality points to be eligible for the honors indicated. An average standing of 3.5 entitles the student to graduate *cum laude*; 3.7 *magna cum laude*; 3.9 *summa cum laude*.
**ATTENDANCE REGULATIONS**
Regular and punctual attendance is essential to successful achievement. Each student is responsible for all work from the first day of class and must make satisfactory arrangements with his teacher regarding any absence. Faculty members will maintain a complete and accurate record on the attendance of each student, and report to the student and his counselor whenever irregular attendance is endangering the student's status in the class. If the irregularity persists the student may be dropped from the enrollment by the Dean, on recommendation from the instructor in the course and the student's counselor.
Absences due to college activities may be approved in advance for students in good standing only, by the Dean of Student Life on recommendation of the faculty sponsor accompanied by a list of those involved and including full information regarding the nature and extent of the activity. These approved lists will be circulated to faculty members and administrative officers in advance so that proper adjustments may be made and full advantage of the activity gained. The individual student is responsible for making up any work missed regardless of the reason for the absence.
In order to be eligible to receive credit in any course a student must be present for at least two thirds of the class sessions, discussion group meetings and other scheduled activities related to that course. This limitation applies regardless of the ability of the student and the quality of the work he has done.
All students, faculty members, and administrative officers are required to attend official convocations of the college and to participate regularly in chapel services and student assemblies.
**REGISTRATION**
Registration will be conducted as scheduled in the College Calendar at the beginning of each term. Students in good standing and those approved for admission (see Admissions) will be eligible to participate. Insofar as is possible, individual student schedules will have been predetermined through prior counseling and pre-registration, but all faculty members and administrative officers will be available to give additional guidance as needed. To become a member of any class and eligible for credit the registration procedure must be completed, including financial arrangements at the Business Office. Faculty members will receive their class lists from the Registrar after each name has been cleared by the Business Office. A late registration fee will be charged those failing to complete registration on the designated days. No student may register or enter a new class after the end of the second week in each semester.
A change in schedule after the day designated will involve the payment of a special fee and the approval of the change by the student’s adviser and the instructor of each class involved. A form for this purpose will be provided by the Registrar and a signed copy returned to that office, with copies for the adviser and the Business Office.
**WITHDRAWAL PROCEDURE**
A student who ceases to attend class should follow the prescribed withdrawal procedure to protect his status and leave himself in the best possible position with respect to future registration at this or another college. Failure to do so may result in a lower scholastic standing and a greater financial loss. Proper forms and instructions to follow may be obtained from the Registrar.
A “Field of Interest” course or an elective may be dropped within the first twelve weeks of the semester on signed approval by the instructor and the student’s counselor, so long as the total load for that student
remains 12 or more semester hours. No class may be dropped after the end of the twelfth week in the semester. To change to a load less than 12 semester hours, cease attendance altogether, or drop a required course, requires the additional approval of the Dean. Grades assigned on withdrawal are determined by the "Grading System," described elsewhere in this Bulletin. Refunds, if due, will be made by the Business Office in accord with policies outlined in the financial section.
**OFFICIAL SUMMONS**
A student who neglects or disregards an official request for a conference with a faculty member or an administrative officer will be subject to immediate suspension. Such requests may be delivered in person, by telephone, or by First Class Mail.
**COUNSELING AND GUIDANCE**
Guidance service for students at Houston Baptist College begins with the first contacts made with the prospective student. On the basis of the preparatory school grades, rank in class, scores on College Entrance Examination Board Tests (or ACT Tests), and information included in the Application for Admission, the student is first advised as to whether it appears he is suited to and likely to be happy in the program provided. For those approved for admission, this same information, supplemented by that gained from conferences, serves as a basis for preliminary classification and assignment. Additional tests will be administered as needed and adjustments in classification are expected as faculty counselors and students become better acquainted. The ratio of faculty and staff members to students will be such that much individual attention will be available for each student.
Prior to registration each new student will be assigned to a faculty adviser who will encourage a close relationship with the student in order to better aid him in planning an appropriate academic program, make satisfactory adjustments to college and life, and in the selection of a career. When the student's fields of interest are more definitely determined he will then be assigned to a faculty member in one of his major fields of interest, and together they become responsible for the planning and adjustment needed to successfully complete the degree program.
In addition to the regularly assigned advisers all other faculty and staff members and administrative officers including the President of the College, are available to assist students in any appropriate way possible.
**ACADEMIC LOAD**
The minimum number of semester hours required to complete a degree at Houston Baptist College (132) determines that a student must earn approximately 33 semester hours each academic year to make normal progress. In actual practice it is anticipated that a majority of those completing a degree will accumulate a number of hours beyond the minimum. This, then, precludes a load of 17 to 19 semester hours for
freshmen and sophomores and 18 to 20 hours for juniors and seniors, with an allowed maximum of 21 semester hours for a junior or senior whose grades indicate eligibility to graduate with honors. Students at the ability level of those admitted should have no difficulty in carrying these loads and completing a degree in the normal period of four academic years.
**MAJORS AND MINORS**
Since each graduate of Houston Baptist College will complete a major in each of two selected solid academic fields of interest, minors will not be recognized or indicated on student records. In general academic practice the completion of 18 semester hours in a standard discipline, including 6 semester hours in advanced courses, is regarded as a minor. Students will be encouraged to develop such related areas when such a procedure can be followed without detriment to the pursuit of the basic degree program. Not more than 36 semester hours in the same field may be counted as a part of a degree program.
**DEAN’S LIST AND HONOR ROLL**
In order to encourage excellence in scholarship and give recognition to superior achievement, a Dean’s List and Honor Roll will be released by the Dean of Admissions each semester. Full-time students maintaining a quality point average at a level, which if continued would make them eligible to graduate with honors (3.5 and above), will be included on the Dean’s List. Those completing a minimum of 12 semester hours with a standing of 3.25 through 3.499 will comprise the Honor Roll. Students registered for fewer than 12 semester hours and meeting any of the above standards will be included on an Honorable Mention List.
TRANSFER CREDIT
A student otherwise eligible to transfer to Houston Baptist College from another collegiate level institution may expect to receive as liberal an acceptance of his previous academic work as is consistent with regulations which must be observed among colleges, and with the maintenance of a high quality level on this campus. In general, an official transcript from an accredited college or university will be accepted and recorded as received, and the courses completed used to the fullest extent possible to apply toward a degree. A transcript from a non-accredited institution can be validated and used in the same way only after the student has demonstrated by at least a semester of full-time residence study on this campus, his ability to succeed in a program such as is offered here, and in advanced courses in his selected fields of interest.
Sixty-six semester hours is the maximum amount of credit from a junior college which may be applied toward a degree, and no work taken in a junior college after this number has been completed in a degree granting institution may be included in this total. No credit by correspondence or extension will be counted toward a degree. Credit earned by a transient student may be transferred only to the sponsoring institution.
ADVANCED STANDING
High school graduates with strong academic records who have completed college level work while in high school may receive course credit in appropriate fields of interest subjects at Houston Baptist College. To become eligible for this credit an applicant must make a satisfactory score on the College Board Advanced Placement Examination in the subject in which credit is desired. Prospective students should consult their high school counselors and arrange to take the Advanced Placement Examinations for which they are eligible in the spring prior to expected fall enrollment. These examinations are normally given once each year, usually in May. Complete information may be obtained by writing the College Entrance Examination Board, Box 592, Princeton, New Jersey 08540.
Credit obtained by Advanced Placement will not excuse a Houston Baptist College student from any of the Interdisciplinary Courses required for all students, but may be used to good advantage in satisfying a specific course requirement or as a part of a field of interest which may become a major.
MILITARY SERVICE CREDIT
The recommendations of the American Council on Education will be followed in allowing eligible ex-service men and women college credit for satisfactory completion of formally organized Service School programs. Courses taken through the United States Armed Forces Institute, and other recognized military educational programs, will be accepted when presented on official transcripts. All records of such training should be submitted as a part of the student's initial admission data, with a request for allowance of credit thought to be due, so that counselors can help avoid duplication of this work in residence courses which would
invalidate the service school credit. Before any such credit may be recorded as a part of the student's official record, however, the student must qualify as a resident student in good standing at this College. This may be done by completing a minimum of 15 semester hours of standard residence courses with a 2.0 ("C" average) scholastic standing or above. No credit will be allowed on the basis of the General Educational Development Tests (college level) and no credit in physical education for military service experience or training.
**APPLICATION FOR DEGREE**
Each student must pay his graduation fee and file a Degree Card with the Registrar at the time of his last registration for courses prior to the date on which he expects to graduate. This card will verify the name as it should appear on the diploma, the date the degree is expected, and the major fields of interest to be completed as a part of the degree requirements. The student will also be asked to confirm the fact that he expects to be present and participate in both the baccalaureate and the commencement exercises.
**TRANSCRIPTS**
Official scholastic records will be maintained in perpetuity for each student who registers for credit at Houston Baptist College. These records are really the joint property of the student and the college, and as such will be handled with customary care and confidence. Certified copies will be available to students and graduates. The first copy requested is furnished free of charge. Additional copies will be provided for a fee of $1.00 each. To obtain this service, the person whose record is involved completes and signs a Transcript Request Card and leaves it with the appropriate fee, if due, at the Records Office. Transcripts can not be released until satisfactory arrangements have been made regarding all financial obligations to the College. It is a pleasure, however, to continue to serve former students and graduates in this important way through the years.
THE ACADEMIC PROGRAM
The Academic Program of Houston Baptist College presents a new and highly coordinated sequential approach to a thoroughly sound liberal arts education. Required Interdisciplinary Courses at the sophomore and junior levels, taught by carefully selected and highly trained teams of faculty members, are designed to assure each graduate an opportunity to unite the wisdom of the ages in his attempt to face and solve in a creative way problems of his day. These are supplemented by a selected array of sound academic disciplines which afford areas of interest in which special competence may be attained. All instruction is presented in a framework that is consistent with the fullest meaning of the Christian commitment, and a required sequence of courses in Bible and Christianity guarantees that all graduates attain an acceptable level of Christian literacy.
The freshman year is devoted chiefly to a study of those courses generally required at this level in programs leading to the Bachelor of Arts degree. A thorough survey of both the Old Testament and the New Testament, of one semester duration each, is required for each student at this level. There are two semesters dealing with language and literature, each of which includes the writing of ten compositions. A laboratory science and a second language are required. Ample time is available for each student to begin work in solid academic fields of individual interest leading toward the two majors which must be a part of each degree program. Regular participation in student assembly, chapel, and physical education is required.
The required Interdisciplinary Course for sophomore students is "Culture and Human Experience," directed by a team of faculty members from the fine arts, humanities, and social sciences and designed to bring each student face to face with man's imposing cultural accomplishments and to encourage an appreciation of them. A parallel and closely related traditional course required for all sophomores is World Literature. A laboratory science, if not completed in the freshman year, and a second language, must be included. A broader list of individual interest fields is available for student selection. Regular participation in student assembly, chapel, and physical education is required.
The required Interdisciplinary Course for juniors, "Great Issues of the 20th Century," has as its goal for each student the development of a familiarity with the steps man has taken and is now taking to master his total environment. This also includes a study of the symbolic language in which this mastery can be expressed. Special attention is given to the major unsolved problems of the era and to the attempted and proposed solutions. To acquaint the student with the important place Christianity occupies in our American way of life and with the organization and work of leading denominational groups, a course dealing with Christian thought and denominational practices is required. Further development of individual interest fields toward the two majors required for graduation, and a possible choice of a free elective accounts for the remaining
available time. Regular participation in student assembly and chapel is required.
In the senior year, "Senior Seminars" claim a large block of the time and attention of each student. These seminars serve as capstone and climax courses in individual interest areas, and to integrate this work with that done in the previously completed Interdisciplinary Courses. Individual responsibility and independent study is emphasized. Thorough courses in American Government and in the American Economic System are required for those who have not included these as a part of one of their interest areas. Free electives are available for those who have time to take advantage of these additional opportunities. Regular participation in student assembly and chapel is required.
ACCREDITATION
Officials of both the Southern Association of Colleges and the Association of Texas Colleges have examined the curriculum, administrative organization, and the financial structure of Houston Baptist College. These accrediting agencies have sent visiting committees to the campus in each of the years classes have been offered. As a result of the reports from these visits the Commission on Colleges of the Southern Association of Colleges and Schools, at its 1966 Annual Meeting, recognized Houston Baptist College as an official candidate for accreditation. This action indicates that an institution is progressing steadily and properly toward accreditation. The Texas Education Agency has approved Houston Baptist College for the training of teachers for the public elementary and secondary schools. Membership in the Association of Texas Colleges was attained in the spring of 1968. In the same semester the College was accepted as an Associate Member of the American Association of Colleges for Teacher Education and as an Affiliate Member of the American Council on Education. Degrees completed at Houston Baptist College are certain to have a place of high respect in the educational world and to increase in value as graduates of this program demonstrate their competence in graduate and professional schools.
# CURRICULUM PLAN
## Bachelor of Arts Degree
| Subject | 1st | 2nd |
|----------------------------------|-----|-----|
| Christianity | 3 | 3 |
| English | 3 | 3 |
| Second Language | 3 | 3 |
| Laboratory Science | 4 | 4 |
| Fields of Interest | 3 | 3 |
| Art | | |
| Biology | | |
| Business | | |
| Chemistry | | |
| Drama | | |
| Language | | |
| Mathematics | | |
| Music | | |
| Physics | | |
| Psychology | | |
| Speech | | |
| Physical Education | 1 | 1 |
| | 17 | 17 |
## II. Culture and Human Experience
| Subject | 1st | 2nd |
|----------------------------------|-----|-----|
| World Literature | 3 | 3 |
| Second Language | 3 | 3 |
| Fields of Interest | 7 | 7 |
| Art | | |
| Biology | | |
| Business | | |
| Chemistry | | |
| Christianity | | |
| Drama | | |
| Economics | | |
| History | | |
| Language | | |
| Mathematics | | |
| Music | | |
| Physical Education | | |
| Physics | | |
| Political Science | | |
| Psychology | | |
| Sociology | | |
| Speech | | |
| Physical Education | 1 | 1 |
| | 17 | 17 |
## III. Great Issues of the 20th Century
| Subject | 1st | 2nd |
|----------------------------------|-----|-----|
| Christianity | 3 | 3 |
| Fields of Interest | 6 | 6 |
| (same selection as 2nd year) | | |
| Electives | 4 | 7 |
| | 16 | 16 |
## IV. Senior Seminars
| Subject | 1st | 2nd |
|----------------------------------|-----|-----|
| American Government | | 3 |
| The American Economic System | | 3 |
| Fields of Interest | 6 | 6 |
| Electives | 3 | 3 |
| | 16 | 16 |
Minimum Semester Hours Required: 132
DEGREE REQUIREMENTS
Houston Baptist College grants the Bachelor of Arts Degree and a program leading to a Bachelor of Science in nursing will be begun in September 1968. Degrees are conferred only once each year as scheduled in the College Calendar. Candidates for the Bachelor of Arts Degree must complete the following requirements:
1. A minimum of 132 semester hours, including not more than 4 semester hours in activity courses in physical education and not over 4 semester hours of other student activity type courses.
2. The minimum residence requirement is 32 semester hours including at least 10 semester hours of upper level courses with a “C” average in each major.
A student whose degree program includes 60 semester hours in residence at this college may be allowed to earn 6 of his last 30 hours in another approved senior college. No credit by correspondence or extension is counted toward the degree.
3. Regular attendance at all convocations, student assemblies, and chapel services is a graduation requirement.
4. A minimum cumulative scholastic standing of 2.00 (“C” average) must be attained.
5. Satisfactory completion of the required Interdisciplinary Courses, 12 semester hours.
6. Senior Seminars in each major field, and to be eligible to register for a Senior Seminar a student must have completed a total of 80 semester hours, 15 of which must be in the field to be studied, and have a 2.00 cumulative quality point standing.
7. Christianity: 9 semester hours
8. English: 12 semester hours
9. Second language: 12 semester hours
10. Laboratory science: 8 semester hours in the same science
11. American Government: 3 semester hours
12. American Economic System: 3 semester hours
13. Physical Education: 4 semester hours
14. Electives: 6 semester hours
15. Two academic majors: 48 semester hours (24 hours each) and neither major field may claim nor control more than 8 of the 15 additional hours available to the student in this block within the 132 required for a degree. Senior Seminars (8 semester hours) are included. Not over 36 semester hours in one field are counted toward a degree.
a. Fourteen semester hours of related work in mathematics is required by the faculty for each student who selects chemistry or physics as a Field of Interest.
b. Six semester hours of related work in mathematics at the level of 113, 123, is required by the faculty for each student who selects biology, economics, English, French, German, political science, psychology, sociology, or Spanish as a Field of Interest. A student may meet this requirement by passing an advanced placement test in Mathematics 113, 123, but no credit is given on the basis of these tests.
c. Students who select Fields of Interest from art, Christianity, drama, history, music, physical education, and speech are encouraged to include at least 6 semester hours of mathematics in their degree programs whenever it is possible to do so without exceeding the normal time required to complete a degree.
Faculty members will be available daily to advise students in arranging schedules and choosing courses but each student is personally responsible for a knowledge of regulations governing registration, withdrawal, degree plans, graduation requirements, and the clearance of all financial obligations.
In order to register as a junior and become a candidate for a degree a student must have on file with the Registrar an approved degree plan showing the exact program to be followed and the expected date of graduation. This may be done at any time during the sophomore year and may not be changed after registration for the first semester of the senior year is closed.
THE INSTRUCTIONAL PROGRAM
I. ARTS AND SCIENCES
Division of Fine Arts
Art
Drama
Music
Division of Languages
English
French
German
Spanish
Speech
Division of Mathematics and Science
Biology
Chemistry
Mathematics
Physics
II. PROFESSIONAL STUDIES
Division of Business and Economics
Accounting
Economics
Management
Division of Christianity
Christianity
Greek (New Testament)
Philosophy
Division of Education and Psychology
Education
Physical Education
Psychology
Division of Nursing
Professional Courses
Division of Social Studies
History
Political Science
Sociology
INTERDISCIPLINARY COURSES
(Required for all students)
203A-203B. Culture and Human Experience.
An integrated course in the fine arts, humanities, and social sciences designed to acquaint each student with man's cultural accomplishments and to encourage an appreciation of them.
303A-303B. Great Issues of the 20th Century.
A consideration of the steps man has taken and is now taking to master his total environment. Special attention is given to the major unsolved problems of the era and to the attempted and proposed solutions.
494A-494B. Senior Seminar. (Area to be indicated in parenthesis)
A capstone and climax course in each interest area designed to relate this interest to the larger world of knowledge, and involving individual responsibility and independent study. Prerequisite: See Item 6 on Page 33.
Note — A student may register in two fields as follows:
English 492A. Senior Seminar. (Milton)
History 492A. Senior Seminar. (Early European)
I. ARTS AND SCIENCES
DIVISION OF FINE ARTS
The fine arts have much to contribute to Houston Baptist College's purpose of guiding each student in the development of a deeper appreciation of man's cultural achievements and in participation in creative activities. The Division of Fine Arts is committed to a program which is designed to provide broad aesthetic experience in art, drama, and music for both the major and the general student. In addition to the course work which introduces the student to the arts, and to the theories which underlie them, many means are afforded for actual involvement in creativity. Regular performances by the Houston Baptist College Chorus, Band, and Orchestra; the performance of dramatic works by the Gallery Theater; faculty recitals, music festival activities, visiting art displays in the Student Center Gallery, vocal and instrumental ensembles, and the annual Fine Arts Festival, all bring opportunity for participation and enjoyment. The location of Houston Baptist College near the cultural center of the city of Houston is an added advantage. Students at the College can enjoy noted artists and lecturers, outstanding theater, facilities of major art museums, and performances of the Houston Symphony and the Houston Grand Opera Association.
The Division of Fine Arts offers majors in the fields of art, drama, and music. The various curricula of these departments may serve as preparation for specialized graduate study, as background training for a career in the arts, or when coordinated with supporting courses in education, as preparation for teaching. Christian liberal arts colleges play an indispensable part in the renewal of our culture, as they bring understanding and sympathy to our mechanized and distracted world.
ART
The art program is designed to help the student develop a personal, critical attitude to his life situation through creative involvements. The beginner is offered a variety of courses which provide technical training, historical background and professional competence while not destroying the dignity of individual opinion and direction. Freedom of expression through liberation of the mind and spirit is a fundamental idea in the program.
History and fundamentals of art are offered as a basis for and as a part of the studio courses. These studies are planned to help generate understanding concerning the world's artistic heritage, which comes in part through an analysis of the creative works of bygone ages. Pictorial composition and painting are studios in which work will be done in various painting and drawing media and techniques with a stress on personal awareness. Design techniques are taught on a basis that seeks to develop understanding and sympathy for the life situation. The life drawing courses are basic drawing exercises with stress on the human figure. Attention is given to expression of personality, anatomical rendering, contour
and value drawing, as well as to the development of a personal approach to drawing. Printmaking is a course planned to acquaint the student with the procedures used in woodblock, intaglio, lithography, serigraphy and experimental forms. These areas will be introduced to give the student a broad understanding of the possibilities of the media. In sculpture and ceramics emphasis is placed on understanding and exploring many three dimensional design problems. Art in the Elementary School and Art in the Secondary School offer the future teacher a broad understanding of the philosophy and technique of instructing children in art. Individual instruction methods help the student develop skill and taste by working with a wide variety of materials. The art studio courses are designated by decimals following the course number: Ceramics 232.1 through 442.1; Life Drawing 232.2 through 442.2; Painting 232.3 through 442.3; Printmaking 232.4 through 442.3; Sculpture 232.5 through 442.5. The Senior Seminars provide an opportunity for the student's area of specialization to be the central theme in a final project. Participants seek a personal approach to creating a form language that can adequately express the level of awareness the student has reached.
Houston Baptist College offers a bachelor of arts degree with a major in art. The art program strongly emphasizes the benefits of a balanced liberal arts curriculum in which the student may choose to emphasize one of the following areas: two dimensional arts (painting, drawing, printmaking), or three dimensional arts (sculpture, ceramics). In each of these areas the department will seek to provide thorough training. Thirty semester hours will constitute a major in art for those not planning to teach and must include the following courses: 113, 123, 213, 223, 492A, 492B, and 14 semester hours in studio courses. A student who plans to teach art in the elementary school must take 113, 123, 213, 313, 343, 492A, 492B and 6 semester hours in studio courses. A student who plans to teach art in the secondary school must take 113, 123, 213, 223, 303B, 323, 492A, 492B, and 8 semester hours in studio courses. To be certified to teach art in Grades 1-12 a student must take 113, 123, 213, 223, 303A, 303B, 313, 323, 492A, 492B, and twenty semester hours in studio courses.
113. Fundamentals of Art.
This course is designed to give the student a survey of the visual arts, with a stress on the basic concepts pertinent to the production of all art forms.
123. Pictorial Composition.
Work is done in various painting and drawing media and techniques with a stress on personal awareness. Design techniques are taught on a basis that seeks to develop understanding and sympathy for the life situation.
213. History of Art: Prehistoric through Renaissance.
These studies are planned to further understanding of the world's art heritage. The procession of great visual art forms is discussed with stress on the fundamental ideas developed during the periods of change and advancement.
223. History of Art: Baroque through Modern.
Beginning with the seventeenth century, this study will trace the development of modern art forms. Stylization, social factors, and important innovations which shape the destiny of man and his arts will be considered.
232.1, 242.1, 332.1, 342.1, 432.1, 442.1. Ceramics.
In ceramics the student is encouraged to experiment with free form and wheel-thrown techniques. Facility in handling the details of baking and glazing as well as a search for a form language that expresses the individual are important goals sought. Four class hours per week.
232.2, 242.2, 332.2, 342.2, 432.2, 442.2. Life Drawing.
These courses are basic drawing exercises from the human figure. Attention is given to expression of personality, anatomical rendering, contour and value drawing, as well as to development of a personal approach to drawing. Four class hours per week.
232.3, 242.3, 332.3, 342.3, 432.3, 442.3. Painting.
These studios are for the students' individual development in painting along lines best suited for each person. Problems in composition and use of materials will be presented to acquaint the group with the various possibilities of oil. Four class hours per week. Prerequisite: Art 123.
232.4, 242.4, 332.4, 342.4, 432.4, 442.4. Printmaking.
Printmaking procedures in woodblock, intaglio, lithography, serigraphy, and experimental forms will be included to give the student a broad understanding of the possibilities of the media. Individual solutions are encouraged after basic technical knowledge has been learned. Six class hours per week.
232.5, 242.5, 332.5, 342.5, 432.5, 442.5. Sculpture.
Emphasis is placed on understanding and exploring many three dimensional design problems. Individual instruction methods help the student develop skill and taste by working in a wide variety of materials. Six class hours per week.
303A. Art in the Elementary School.
A studio oriented course in which studies will be conducted of the educational philosophy and problems of teaching art to children. Studio work will be performed in both two and three dimensional art forms.
303B. Art in the Secondary School.
The various studio processes prominent in junior and senior high school art programs will be explored, along with teaching techniques, theory, and history of art.
313. Crafts for the Elementary School.
This studio course undertakes an analysis of craft problems with a stress on the teaching of art media to children. The emphasis is on creative production.
323. Crafts for the Secondary School.
This studio course offers teaching techniques and practical experience in ceramics, sculpture, weaving, and printmaking with special attention to the needs and interests of the secondary school student.
343. Art Appreciation.
This course is designed primarily as an elective course for majors in other fields. It offers practical guidelines for the appreciation of our art heritage and includes discussion of current art trends.
353. Aesthetics.
A study of beauty, the arts, aesthetic experience. Readings from major aestheticians such as Schopenhauer, Croce, Alexander. Analysis of theories of art (form and content), realms of art (painting, architecture, music, poetry), the relationships among the artist, the object of art, and the aesthetic receiver. Consideration of value judgments in art and morality (aesthetics and ethics).
492A, 492B. Senior Seminar.
Individual work in the student's area of specialization will be carried out as a final project. Participants will be encouraged to seek a personal approach to creating a form language that can adequately express the level of awareness attained. Prerequisite: See Item 6 on Page 33.
DRAMA
At Houston Baptist College the purpose of the program in drama is to provide a meaningful experience in theater for the campus community, and to train students who intend to pursue a career in the theater arts or teaching. The department administers a program which is designed to provide theater training for the non-major, as well as the drama major. If a student should elect a drama major, his availability is required for assistance in all major productions of the department. During the drama student's term at Houston Baptist College he will be exposed to a variety of theater assignments which will be determined by the faculty. In no instance will a student be permitted to pursue a drama major if he is not available for extracurricular assignments. However, other students are welcome both as participants in the productions and as members of the classes offered.
The major in drama includes thirty-one semester hours. The required courses are: Introduction to the Theater (203); History of the Theater (213, 223); Acting (233, 243); Scene Construction (253); Directing (313A, 313B); Scene Design and Lighting (413); and Senior Seminars (492A, 492B). Students who wish to qualify for a certificate to teach drama in the public secondary schools are required to take Drama 213, 223, 233, 253, 313A, 313B, 413, and 492A, 492B for a total of twenty-five semester hours. Elective courses may be taken at the student's discretion and are open to all qualified members of the student body.
203. **Introduction to the Theater.**
Practicum in theater crafts; an introduction to the physical theater, dramatic literature, and acting. Participation in major drama productions is required.
213. **History of the Theater.**
A systematic study of historical theater and dramatic literature from the Greek stage to the closing of the English theaters in 1642.
223. **History of the Theater.**
Continuation of Drama 213 from 1642 to the advent of Theatrical Realism.
233. **Acting.**
The development of the actor's technique: stage movement and diction; emotional recall and characterization.
243. **Acting.**
The actor within a theater context: period and contemporary style.
253. **Scene Construction.**
The production of the *mise en scène*: construction, painting, rigging.
313A. **Directing.**
A practical introduction to the techniques of the director: visual, aural, analytical. (Offered also as Speech 313)
313B. **Directing.**
Continuation of Drama 313, with particular emphasis on directing in various styles and periods. (Offered also as Speech 313)
323. **Contemporary Theater.**
A survey of theatrical and dramatic form from the advent of Realism to the present.
333. **Drama and the Church.**
The relationship between the theater and the Christian Church: historical, idealogical, practical. A short practicum in producing for the chancel.
353. **Interpretation of Literature.**
Principles and methods of analyzing literature in poetry, prose, and drama. Training in vocal projection of intellectual and emotional values, and in Lee-Aiken placement techniques. (Offered also as Speech 353)
363. **Phonetics, Voice, and Diction.**
Study and use of the international phonetic alphabet, study and application of methods of improving voice production, and concentration upon articulation and pronunciation. (Offered also as Speech 363)
403. **Drama in the Public School.**
Preparation for problems related to teaching drama in the public schools.
413. **Scene Design and Lighting.**
The craft of theater design and stage lighting.
423. **Playwriting.**
The craft of play construction with an emphasis on structure and characterization. Original plays of unusual merit may be produced in conjunction with the directing and acting classes.
492A, 492B. **Senior Seminar.**
A practicum designed to utilize the skills acquired in previous drama courses. The work ordinarily emphasizes the student's major interest and tests his ability to employ his theater skills in a variety of historical and contemporary plays. Prerequisite: See Item 6 on Page 33.
**MUSIC**
The curriculum in music at Houston Baptist College has as its major purpose the providing of a rich and satisfying experience in music for both the specialist and the non-music major. The benefits of a balanced liberal arts curriculum are strongly emphasized, for it is felt that thorough academic training is essential as a foundation for the technical study of music as an art.
During the mid-twentieth century, America is experiencing a renewed vocational and avocational interest in music. In spite of continuous technological emphases, a surge of musical activity is evident in contemporary society. The music program seeks to meet the needs for qualified musicians and a musically literate lay-public by developing liberally educated students who as majors in music are prepared to begin graduate or professional study, or as non-majors to use music for creative fulfillment.
The program for the music major at Houston Baptist College consists of 36 semester hours and must include 12 semester hours in theory, four semester hours of music history, two semester hours each of counterpoint, form and analysis, conducting, instrumentation, four semester hours in the Senior Seminar, eight semester hours in a selected field of applied music, and music ensemble participation during each semester in residence. In addition, music majors are required to attend weekly student recitals and occasional faculty recitals during the year. To be certified to teach music in the secondary school a student must take 113, 123, 213, 223, 301A, 301B, 301C, Theory 312, History of Music 312-322, 332, 403A, 403B, 432, Music 492A, 492B, Music Education 492A, 492B, four semester hours of piano, and eight hours of applied music. A student may qualify for certification to teach music in Grades 1-12 by completing this same program with an appropriate selection of professional courses in education and proper arrangements regarding student teaching.
**THEORY**
113-123. **Theory of Music.**
A fundamental study of rhythm, melody and harmony through ear training, sightsinging, keyboard and written drills. Basic studies in musical style and practice in the important historical periods are also included. Students must be registered for piano concurrently. Five class hours per week.
213-223. Theory of Music.
A study of common-practice harmony through analysis, partwriting, ear training, sightsinging and keyboard disciplines. Five class hours per week. Prerequisite: Music 123 with a grade of at least "C."
312. Form and Analysis.
A study of the interaction of musical elements in shaping the smaller forms of musical composition. Prerequisite: Music 223.
322. Form and Analysis.
A continuation of Music 312 including a study of the larger forms of musical composition and contrapuntal forms. Prerequisite: Music 312.
412. Sixteenth-Century Counterpoint.
An analysis and study of vocal polyphony from Josquin Desprez to Palestrina. The writing of two to four voice counterpoint. Prerequisite: Music 223.
422. Eighteenth-Century Counterpoint.
A study of polyphonic writing in the style of Bach. Two part invention and a survey of fugal textures. Prerequisite: Music 223.
432. Instrumentation.
An introduction to the principles of orchestration, arranging, and score reading. Specific record listening supplements the other work of the course. Prerequisite: Music 223.
442. Instrumentation.
A continuation of the study of orchestration, arranging, and score reading. Prerequisite: Music 432.
492A, 492B. Senior Seminar.
Advanced studies in music theory. Student need and interest will determine areas of study selected from the following: Advanced Analysis, Twentieth-Century Idioms, Composition. Prerequisite: See Item on Page 33.
HISTORY AND LITERATURE
312-322. History of Music.
The evolution and development of music from antiquity to the present. Students must attend ten concerts each semester. Three class hours and one hour listening laboratory per week. Prerequisite: Music 223.
372. Choral Literature.
An historically oriented course designed to survey the development of choral literature. Special emphasis is placed on Medieval polyphony, Renaissance compositions, Baroque Era, and the Classical period. Prerequisite: Music 322.
382. Symphonic Literature.
An historical survey of the development of the symphony and related forms. Two class hours and one hour listening laboratory per week. Prerequisite: Music 322.
452. Operatic Literature.
An historical study of the development of opera. Opportunity is afforded for performance of representative operatic literature. Two class hours and one hour listening-performing laboratory per week. Prerequisite: Music 322.
462. Keyboard Literature.
A survey course designed to acquaint the student with the vast reservoir of instrumental literature. Two class hours and one hour listening laboratory per week. Prerequisite: Music 322.
492A, 492B. Senior Seminar.
An advanced study in the history and literature of music, conducted through guided research, discussion, and critical analysis of musical works. Prerequisite: See Item 6 on Page 33.
MUSIC EDUCATION AND CHURCH MUSIC
301A. The Brass Instruments.
Practical elementary class instruction on instruments of the brass family with attention to correct tone production, technique, and the care of instruments. A critical examination of materials appropriate for use in public schools is included.
301B. The Stringed Instruments.
Practical elementary class instruction in the fundamentals of playing stringed instruments including correct tone production, bowing, technique, and care of the instruments. Materials applicable for public school purposes are critically examined.
301C. The Woodwind Instruments.
Practical elementary class instruction on instruments of the woodwind family with attention to correct tone production, technique, and the care of woodwind instruments. A critical examination of materials appropriate for use in public schools is included.
303A. Music in the Elementary School.
A course designed for the classroom teacher. It includes a study of the child voice, rote singing, development of rhythmic and melodic expression, directed listening, and reading readiness. Basic materials, including song-texts, are studied and simple percussion and melodic instruments are used in creative activities.
332. Conducting.
The elementary theory and practice of choral conducting.
342. Anthem Literature.
A course designed to acquaint the student with representative anthem literature for use in the church. Further development in the skill of conducting is stressed. Prerequisite: Music 332.
352, 362. Hymnology.
A study of the history and development of hymns, both ancient and modern. The spirit and structure, the value and effectiveness in Christian worship are studied. A large body of hymnic literature is examined.
403A, 403B. Methods of Teaching Music in the Elementary School.
A course for music education majors including principles and procedures for carrying out the music program in the elementary grades. Basic materials, including song-texts, are studied with attention to rote singing, reading readiness, rhythmic and creative activities, care of the child's voice, and the use of simple percussion and melodic instruments.
472, 482. Advanced Conducting.
The conducting of the larger choral forms as exemplified by anthems, cantatas, and oratorios.
492A, 492B. Senior Seminar in Music Education.
Advanced work in the literature and materials of music education with special emphasis on the secondary level. Opportunity will be afforded for guided individual research. Prerequisite: See Item 6 on Page 33.
APPLIED MUSIC
Individual instruction is offered in brass, organ, percussion, piano, voice, and woodwinds. Credit for applied music is based on one hour credit for each one-half hour lesson in the studio. A minimum of six hours of practice is required in preparation for each one-half hour lesson. At the end of each semester, jury examinations will be held in applied music. All students electing applied music for credit must perform before a jury of the music faculty beginning with their second semester of applied music study. Repertoire, interpretation, and technical development will be covered in these examinations. The music major must be registered for applied music in his area of concentration each semester of residence.
All students majoring in music will be required to complete at least four semesters of keyboard study. All students must meet the minimum requirements for piano proficiency as set forth in the sophomore piano proficiency examination. In certain instances, students may be waived from further piano study by passing the sophomore piano proficiency examination. This examination shall be administered regularly at the end of each semester and at other times as required by the music faculty. Music majors whose applied concentration area is piano must complete four semester hours of applied study on another instrument or voice. A sophomore-level proficiency examination will complete the requirements in this secondary performance field.
Class piano and class voice are designed to develop basic performing ability for students with little or no previous study. Sight reading and good musicianship are stressed. Class participation offers opportunities for learning to listen and criticize, and for performing individually and in ensemble. Emphasis is placed on technique and repertoire. These courses offer preparation for the secondary applied proficiency examination.
111.1, 121.1, 211.1, 221.1, 311.1, 321.1, 411.1, 421.1. Brass.
One-half hour lesson per week. One hour credit.
112.1, 122.1, 212.1, 222.1, 312.1, 322.1, 412.1, 422.1. Brass.
One hour lesson per week. Two hours credit.
111.2, 121.2, 211.2, 221.2, 311.2, 321.2, 411.2, 421.2. Organ.
One-half hour lesson per week. One hour credit. Prerequisite: Piano background equivalent to 122.4 level of proficiency.
112.2, 122.2, 212.2, 222.2, 312.2, 322.2, 412.2, 422.2. Organ.
One hour lesson per week. Two hours credit. Prerequisite. Piano background equivalent to 122.4 level of proficiency.
111.3, 121.3, 211.3, 221.3, 311.3, 321.3, 411.3, 421.3. Percussion.
One-half hour lesson per week. One hour credit.
112.3, 122.3, 212.3, 222.3, 312.3, 322.3, 412.3, 422.3. Percussion.
One hour lesson per week. Two hours credit.
111.4, 121.4, 211.4, 221.4, 311.4, 321.4, 411.4, 421.4. Piano.
One-half hour lesson per week. One hour credit.
112.4, 122.4, 212.4, 222.4, 312.4, 322.4, 412.4, 422.4. Piano.
One hour lesson per week. Two hours credit.
111.5, 121.5, 211.5, 221.5, 311.5, 321.5, 411.5, 421.5. Strings.
One-half hour lesson per week. One hour credit.
112.5, 122.5, 212.5, 222.5, 312.5, 322.5, 412.5, 422.5. Strings.
One hour lesson per week. Two hours credit.
111.6, 121.6, 211.6, 221.6, 311.6, 321.6, 411.6, 421.6. Voice.
One-half hour lesson per week. One hour credit.
112.6, 122.6, 212.6, 222.6, 312.6, 322.6, 412.6, 422.6. Voice.
One hour lesson per week. Two hours credit.
111.7, 121.7, 211.7, 221.7, 311.7, 321.7, 411.7, 421.7. Woodwinds.
One-half hour lesson per week. One hour credit.
112.7, 122.7, 212.7, 222.7, 312.7, 322.7, 412.7, 422.7. Woodwinds.
One hour lesson per week. Two hours credit.
111.8, 121.8, 211.8, 221.8, 311.8, 321.8, 411.8, 421.8. Harp.
One-half hour lesson per week. One hour credit.
112.8, 122.8, 212.8, 222.8, 312.8, 322.8, 412.8, 422.8. Harp.
492A, 492B. Senior Seminar.
Studies in pedagogy of performance. Student interest and need will determine offerings from the following areas of study: Keyboard Pedagogy, Voice Pedagogy. Two hours of the music senior seminar requirement may be met by performance of a senior recital. Such recital must be approved by the faculty from the appropriate applied music area. Prerequisite: See Item 6 on Page 33.
ENSEMBLES
Ample opportunity is offered to all students at Houston Baptist College for creative participation in musical ensembles. Any student who meets the audition requirements may participate in musical organizations. Music majors must participate in at least one ensemble activity each semester in residence. A maximum of four hours earned in ensembles may be counted toward the degree.
Choral Activities: Music majors with an emphasis in voice will be assigned to at least one choral activity each semester.
011.1, 011.2, 011.3, 011.4, 011.5, 011.6, 011.7, 011.8. College Singers.
010.1, 010.2, 010.3, 010.4, 010.5, 010.6, 010.7, 010.8. College Singers.
Open to all students. Prerequisite: Audition only.
021.1, 021.2, 021.3, 021.4, 021.5, 021.6, 021.7, 021.8. Chapel Choir.
020.1, 020.2, 020.3, 020.4, 020.5, 020.6, 020.7, 020.8. Chapel Choir.
Open to freshmen students and others who do not sing with the College Singers.
031.1, 031.2, 031.3, 031.4, 031.5, 031.6, 031.7, 031.8. College Chorus.
030.1, 030.2, 030.3, 030.4, 030.5, 030.6, 030.7, 030.8. College Chorus.
Open to all students, faculty members, and wives. This chorus will perform two major productions each year.
Smaller Vocal Ensembles: Several small ensembles are organized each year to meet specific needs for satisfying experiences in music.
000.1, 000.2, 000.3, 000.4, 000.5, 000.6, 000.7, 000.8. Men's Quartette.
Open to all male students. Prerequisite: Audition only.
000.1, 000.2, 000.3, 000.4, 000.5, 000.6, 000.7, 000.8. Women's Quartette.
Open to all female students. Prerequisite: Audition only.
Instrumental Activities: Music majors with an emphasis in instrumental music will be assigned to at least one instrumental activity each semester.
041.1, 041.2, 041.3, 041.4, 041.5, 041.6, 041.7, 041.8. Symphonic Wind Ensemble.
040.1, 040.2, 040.3, 040.4, 040.5, 040.6, 040.7, 040.8. Symphonic Wind Ensemble.
A concert group of brass, woodwind, percussion, harp, and double bass instruments performing all types of original and transcribed music selected from various periods. Limited to 40-60 members selected for their performing abilities.
051.1, 051.2, 051.3, 051.4, 051.5, 051.6, 051.7, 051.8. Concert Band.
050.1, 050.2, 050.3, 050.4, 050.5, 050.6, 050.7, 050.8. Concert Band.
The large symphonic grouping of all band instruments for the purpose of performing the band literature in concert.
061.1, 061.2, 061.3, 061.4, 061.5, 061.6, 061.7, 061.8. College Orchestra.
060.1, 060.2, 060.3, 060.4, 060.5, 060.6, 060.7, 060.8. College Orchestra.
A symphony orchestra with a complete orchestral instrumentation performing a varied repertoire including operatic and choral works. Limited in size by the composition and the occasion.
Smaller Instrumental Ensembles: These afford an opportunity for study and performance for groups of various sizes and combinations. Two years of participation in a specific field is required for each instrumental major.
001.1, 001.2, 001.3, 001.4, 001.5, 001.6, 001.7, 001.8. Brass Ensemble.
000.1, 000.2, 000.3, 000.4, 000.5, 000.6, 000.7, 000.8. Brass Ensemble.
001.1, 001.2, 001.3, 001.4, 001.5, 001.6, 001.7, 001.8. Percussion Ensemble.
000.1, 000.2, 000.3, 000.4, 000.5, 000.6, 000.7, 000.8. Percussion Ensemble.
001.1, 001.2, 001.3, 001.4, 001.5, 001.6, 001.7, 001.8. String Ensemble.
000.1, 000.2, 000.3, 000.4, 000.5, 000.6, 000.7, 000.8. String Ensemble.
001.1, 001.2, 001.3, 001.4, 001.5, 001.6, 001.7, 001.8. Woodwind Ensemble.
000.1, 000.2, 000.3, 000.4, 000.5, 000.6, 000.7, 000.8. Woodwind Ensemble
001.1, 001.2, 001.3, 001.4, 001.5, 001.6, 001.7, 001.8. Stage Band.
000.1, 000.2, 000.3, 000.4, 000.5, 000.6, 000.7, 000.8. Stage Band.
DIVISION OF LANGUAGES
The Division of Languages consists of three areas: (1) English language and literature; (2) French, German, and Spanish language and literature; and (3) Speech. The aims of the division are as follows: (1) to develop in the student a skill and confidence in the handling of both oral and written expression in his native language and in at least one other language; and (2) to develop a knowledge and appreciation of the major literary productions in the languages studied, and, by translations, to become acquainted with other great works of world literature.
ENGLISH
Six hours of Freshman English (113, 123) and six hours of World Literature (213, 223) are required of all students. In addition to the freshman and sophomore courses, English majors who plan to teach in the public schools must take nine semester hours selected from English Literature 313, 323 and American Literature 333, 343, Introduction to Linguistics (383), and the two Senior Seminars (English 492A, 492B), for a total of twenty-eight hours in English. Students who do not plan to teach in the public schools should take the twelve hours of required English, English Literature (313, 323), American Literature (333, 343), at least one of the seminar courses (492A or 492B), and other advanced courses, for a total of thirty-one hours in English.
103A, 103B. English as a Second Language.
A course designed to meet freshman English requirements for students whose first language is not English. Composition writing, largely expository, accompanied by selected readings and with special emphasis upon the reading, writing, and speaking of English. Three class and two laboratory hours per week.
113, 123. Language and Literature.
A course designed for freshmen and intended to make the study of language and literature a genuine intellectual advancement beyond the student's former studies. Includes the reading of several great works of literature, the writing each semester of ten compositions based on the literature, and the writing of a lengthy research paper during the second semester. In order to pass the course, each student will be expected to demonstrate an ability to read critically and write effectively.
213, 223. World Literature.
A reading course in the literary heritage of western civilization with some derivatives from Oriental culture. The first semester includes writings from the Ancient East, the Hebrews, the Greeks, the Romans, the Middle Ages, and the Renaissance. The second semester deals with works from the Age of Neoclassicism to the present.
303A. Reading in the Elementary School.
Methods and materials for teaching reading in the elementary school. Special attention to problems of speed, comprehension, vocabulary development, interest levels, and remedial measures.
303B. Literature for the Elementary School.
Methods and materials for teaching literature in the elementary school. Includes a survey of children's books from the past and present. Particular attention is given to desirable experiences with literature.
303C. Language Arts.
The study and use of materials and techniques in the teaching of oral and written communication, with emphasis on the functional approach in developing the child's potential in speaking, reading, writing, and listening.
313, 323. English Literature.
A course involving the historical development of English Literature with readings in various literary types—epic and lyric poetry, drama, essay, novel, and treatise. The first semester goes from *Beowulf* through the Neoclassical Period; the second, from Romanticism to the present.
333, 343. American Literature.
A course involving the historical development of the literature of the United States through the readings of major writers. The first semester goes from the Colonial Period to the War Between the States; the second, from mid-nineteenth century writers to the present.
353. The Romantic Age.
A study of the poetry of Wordsworth, Coleridge, Byron, Shelley, and Keats, along with a study of the development of prose forms, such as the novel and the essay. Historical, biographical, imaginative, and critical methods of understanding and evaluating the writings are employed.
363. The Victorian Age.
A study of representative poetry and prose of the middle and later nineteenth century, especially the works of Tennyson, Browning, Arnold, Carlyle, and the novelists. Historical, biographical, imaginative, and critical methods of understanding and evaluating the writings are employed.
373. Shakespeare.
A study of selected tragedies, English history plays, and comedies, with emphasis on the great tragedies. Some background materials are studied to conceive the Elizabethan world picture and the effect of the age on Shakespeare and of Shakespeare on his age and on all times.
383. Introduction to Linguistics.
This course in elementary linguistics is designed to acquaint the student with the fundamental facets of human speech and related linguistic behavior. The student will learn to examine language critically in order to perceive the underlying structures of linguistic forms. The goal is to give the student the tools to examine any language in terms of its structural components.
393. Creative Writing.
A workshop approach designed for students who desire additional work in composition. Includes the writing of short stories, poetry, plays, and feature articles.
403. Methods of Teaching English.
A survey of methods and materials for teaching language and literature in the secondary school. Special attention is given to recent trends.
413. The English Renaissance.
A course of readings in the major literary productions in the Renaissance, including the works of the Oxford Reformers, Spenser, Bacon, Jonson, the Elizabethan lyricists, and the writers in the early development of the drama. Various important influences from the Continental Renaissance are considered.
423. Seventeenth Century Literature.
A course of readings from the Cavalier poets, the metaphysical poets, representative prose writers, and Dryden (excluding the writings of Milton). Some selections from the prose and poetry (including the drama) of the Restoration are read.
433. Eighteenth Century Literature.
A study of the major writings of the Neoclassical Age in various literary types—periodical essay, novel, biography, and poetry (imaginative and didactic). Emphasis is placed on Addison and Steele, Swift, Pope, and Johnson. The background of satirical and critical writing is considered.
492A, 492B. Senior Seminar.
Intensive readings from the works of a major literary figure with historical and biographical background materials. Several seminar reports will be made along with a major project of research. Various circumstances, such as student need and interest and professorial availability, will govern the selection of the major author for both 492A and 492B. Prerequisite: See Item 6 on Page 33.
OTHER LANGUAGES
Twelve hours of another language are required of all students. However, if a student has successfully completed two years of another language in high school, he may fulfill this requirement by taking only six hours of the same language on the sophomore level, provided that he can successfully demonstrate proficiency in that language in an examination administered prior to registration. A student having credit for two or more years in a foreign language in high school is not eligible to register for credit in a first year course in the same language.
Although the language laboratory is used as a part of the classroom procedure, students enrolled in a language are expected to use the laboratory independently for at least one hour each week.
New Testament Greek is offered in the Division of Christianity. Classical Greek may be included in the Division of Languages at a later date.
FRENCH
The minimum requirement for a major in French is twenty-five semester hours, including Senior Seminars (492A, 492B). Students who expect to teach French in the secondary school should take Elementary French (113-123), Intermediate French (213-223), Survey of French Literature (313, 323), French Conversation (433), and the Senior Seminars (492A, 492B).
113-123. Elementary French.
Listening, speaking, reading, writing are taught as related but distinct achievements. An effort is made to synthesize the ways of a people with a knowledge of and an appreciation for its great men and great moments. It leads the students away from merely decoding to using French for expression and communication.
213-223. Intermediate French.
Stress is given to a grammar review in which everyday situations are discussed. Selected readings are considered. During the second semester, the student continues to read literary selections and learns to express himself with proficiency in the French language.
313, 323. Survey of French Literature.
The first semester deals with writers of French literature through the eighteenth century; the second includes selections from Romanticism to the present.
333. The French Novel.
A study of the foremost French novelists through the nineteenth century.
413, 423. Foremost French Dramatists.
The first semester consists of a study of the French Pre-Classical Period with special emphasis on Corneille; the second semester deals with masters of the Classical Period with emphasis on Racine.
433. French Conversation.
A course conducted entirely in French. Advanced syntax and composition are studied. The student learns to stand before the class and express himself regarding topics under discussion at the time in France.
443. Contemporary French.
A study of twentieth century French poets, dramatists, and novelists.
492A, 492B. Senior Seminar.
Selected topics dealing with French literature and culture and including a term report written in French. Prerequisite: See Item 6 on Page 33.
GERMAN
The minimum requirement for a major in German is twenty-five semester hours, including Senior Seminars (492A, 492B). Students who expect to teach German in the public schools should take Elementary German (113-123), Intermediate German (213-223), Introduction to German Literature (313, 323), The German Novelle (333) or Classical German Writers (433), and the Senior Seminars (492A and 492B).
113-123. Elementary German.
An intensive study of German grammar, reading, daily composition, and conversation. During the second semester, special emphasis is given subjects concerning German culture.
213-223. Intermediate German.
Stress is given to a grammar review in which everyday situations are discussed. During the second semester, the student continues to read literary selections and learns to express himself with proficiency in the German language.
313, 323. Introduction to German Literature.
A survey course designed to illustrate the development of German literature. First semester readings include those prior to the Classical Period; second semester readings are selected chiefly from Schiller, Goethe, and the modern writers.
333. The German Novelle.
A study of the German novelle in the nineteenth and twentieth centuries, including writers such as Keller, Storm, Mann, Hebbel, and Kleist.
343. Nineteenth Century German Poetry.
A course designed to provide an extensive study of such major German poets as Morike, Heine, Holderlin, Droste-Hulshoff, and Nietzsche.
383. German Conversation.
Intensive training in current idiomatic German, with emphasis upon oral practice.
423. **German Drama.**
This course will acquaint the student with the principal German dramas of the nineteenth and twentieth centuries. Plays by Buchner, Kleist, Hebbel, Schnitzler, Hofmannsthal, Brecht, Durrenmatt, and Weiss will be read.
433. **Classical German Writers.**
A study of readings selected chiefly from Schiller and Goethe.
443. **Contemporary German Literature.**
A study of contemporary German poets, dramatists and novelists.
481-483. **Individual Study Program.**
Directed study of a minimum of thirty clock hours for each hour of credit. The student will read intensively from the works of a particular author selected with the approval of the supervising professor, and several papers will be required. Only students with exceptional ability and interest in German may take this course. Prerequisite: Permission of the instructor and the division chairman.
492A, 492B. **Senior Seminar.**
Selected topics dealing with German culture and literature, including a term report written in German. Prerequisite: See Item 6 on Page 33.
**SPANISH**
Note: Beginning with 1968-69 the offering of a major in Spanish will be temporarily discontinued. Provision will be made for fully qualified full-time juniors and seniors to complete a major already in progress. Freshmen and sophomores will be directed to other majors.
The minimum requirement for a major in Spanish is twenty-four semester hours in courses numbered above 200, and including Senior Seminars in Spanish (492A, 492B). Students who expect to teach Spanish in the public schools should take Intermediate Spanish (213-223), Survey of Spanish Literature (313, 323), Literature of the Siglo de oro (413), Spanish Conversation (433), Contemporary Spanish (443), and the Senior Seminars (492A, 492B), for a total of twenty-five semester hours.
113-123. **Elementary Spanish.**
Fundamentals of grammar and composition, with emphasis upon readings and conversational Spanish.
213-223. **Intermediate Spanish.**
Attention is given to grammar review and exercises in composition and conversation. Emphasis is placed upon Spanish short stories.
313, 323. **Survey of Spanish Literature.**
First semester consists of a survey of Spanish literature from the Middle Ages through the Siglo de oro. During the second semester the survey is continued from approximately 1700 to the present.
333. **The Spanish Picaresque Novel.**
Development of the Spanish novel as a literary genre.
353, 363. **Spanish-American Literature.**
A survey of the literature of the Spanish-speaking countries of the Americas, beginning with Early Colonial Times and terminating with a study of leading Spanish-American authors of the Contemporary Period.
403. Methods of Teaching Spanish.
A survey of methods and materials for teaching Spanish. Special attention is given to recent trends.
413. Literature of the Siglo de oro.
A systematic study of the drama of the sixteenth and seventeenth centuries.
433. Spanish Conversation.
Intensive training in current idiomatic Spanish, with emphasis upon oral practice.
443. Contemporary Spanish.
Comprehensive readings in the generation of 1898, the post 1898 groups and those writing since the Spanish Civil War.
453. Advanced Composition and Stylistics.
Includes an intensive analysis of the Spanish sentence with emphasis on the concept of structural meaning.
492A, 492B. Senior Seminar.
Selected topics dealing with Spanish literature and culture, and including a term report written in Spanish. Prerequisite: See Item 6 on Page 33.
SPEECH
Speech majors who plan to teach in the public schools should take Fundamentals of Speech (113, 123), Public Speaking (213), Argumentation and Debate (333), Interpretation of Literature (353), Methods of Teaching Speech (403), Speech Correction (423), and the Senior Seminars (492A and 492B). Speech majors who do not plan to teach in the public schools should take Fundamentals of Speech (113, 123) and at least eighteen additional hours of speech.
113, 123. Fundamentals of Speech.
A performance course designed to help the student improve his speech as a mode of communication. The first semester deals with basic speeches, discussion, argumentation, and parliamentary procedure; the second semester deals with fundamentals of effective oral interpretation from the printed page. Emphasis is placed on voice and diction.
201.1, 201.2, 201.3, 201.4. Forensics Workshop.
Speech and debate workshop for students who actively compete in tournaments and forensic speaking contests. A maximum of 4 semester hours may be counted toward a degree.
213. Public Speaking.
Training in persuasive speaking and speech composition, with emphasis on audience analysis and adaptation and rhetorical principles of motivation.
223. Business and Professional Speech.
A course designed to develop the student's ability to deal effectively with speaking situations that arise in business. Special attention is given to discussion and to conference and leadership techniques.
313A. Directing.
A practical introduction to the techniques of the director: visual aural, analytical. (Offered also as Drama 313)
313B. Directing.
Continuation of Drama 313, with particular emphasis on directing in various styles and periods. (Offered also as Drama 313)
333. Argumentation and Debate.
A consideration of problem analysis, research, types of evidence, kinds of reasoning, and the detection of obstacles to clear the thinking in writing and speaking. Practice debates will be held in class.
343. Group Discussion.
A course designed to develop the student's ability to handle the common system of parliamentary law. Emphasis on parliamentary procedure, as well as presentation, precedence and disposition of motions, voting, constitution, by-laws, standing rules, officers, meetings, and sessions.
353. Interpretation of Literature.
Principles and methods of analyzing literature in poetry, prose, and drama. Training in vocal projection of intellectual and emotional values, and in Lee-Aiken placement techniques. (Offered also as Drama 353)
363. Phonetics, Voice, and Diction.
Study and use of the international phonetic alphabet, study and application of methods of improving voice production, and concentration upon articulation and pronunciation. (Offered also as Drama 363)
403. Methods of Teaching Speech.
A review of the areas of speech. Includes a survey of texts and critical analyses of selected texts and other related materials and preparation of syllabi.
423. Speech Correction.
Attention is given to recognition and remedial aid of speech handicaps in students. Particular types of speech handicaps will be studied.
492A, 492B. Senior Seminar.
In 492A, attention is given to radio and television, while in 492B the study is on the history and principles of classical oratory. Prerequisite: See Item 6 on Page 33.
DIVISION OF SCIENCE AND MATHEMATICS
The courses in natural science and mathematics are intended to serve not only those who desire intensive training in these fields, but also those whose interest is in the natural sciences and mathematics as an important part of a liberal education.
Students who major in one or more of the fields in this division can prepare for activities of the following nature by a careful selection of courses appropriate to their objectives: (1) graduate study for careers in scientific research, in various areas in industry, or in college teaching. A reading knowledge of one foreign language, ordinarily German or another language appropriate to the field of interest, is usually required; (2) employment in industry in a position where one's technical training is used; (3) professional study in medicine, dentistry, medical technology, or a similar field; (4) a career in teaching in elementary or secondary schools; (5) a position in business in which a scientific background would be useful.
BIOLOGY
All biology majors, including those preparing to teach in the secondary schools, are required to take 24 semester hours in biology and at least one year of general inorganic chemistry. A year of organic chemistry is highly recommended. Those desiring certification to teach biology in the secondary schools must include 114-124, 364, 454, the Senior Seminars 492A, 492B and at least four additional semester hours selected from 234, 314, 324, or 414 and Chemistry 114-124. Those preparing for elementary school teaching, who elect biology as a major, are expected to take Biology 114-124, 364, 454, the Senior Seminars 492A, 492B and at least four additional semester hours in biology selected from 234, 314, 324, or 414. For students intending to pursue graduate study in biology it is advisable that additional hours be taken in this field and that both botanical and zoological courses be included. Students pursuing preprofessional courses such as medicine or dentistry are strongly advised to check with the professional schools of their choice and to be certain that the courses they select will be acceptable and that all required courses are included in their degree plans.
114-124. General Biology.
This course is devoted to a systematic study of both the plant and animal kingdoms. The theme is developed from the physiological approach and the interdependence of organisms on an ecological basis is included. Three lecture and three laboratory hours per week.
153. Nutrition.
The principles of nutrition, the process of digestive metabolism, and adaptations of the normal diet for therapeutic purposes. Two lecture and three laboratory hours per week.
213, 223. Human Anatomy and Physiology.
The course deals with the description of the several body systems and a study of the functions of these systems. The interrelationships
of the various systems to one another will be considered. Not recommended for biology majors. Two lecture and three laboratory hours per week.
234. **Comparative Vertebrate Anatomy.**
A comparative study of the anatomy of representative vertebrates which stresses the biological principles applying to vertebrate anatomy. This course is required for pre-medical students and biology majors. Three lecture and three laboratory hours per week. Prerequisite: Biology 114-124.
253. **Medical Microbiology.**
The fundamental principles of bacteriology with emphasis on microorganisms of pathogenic character, infection, disinfection, asepsis, and immunology. Two lecture and three laboratory hours per week.
273. **Taxonomy of Local Flora.**
A classification of the plants found in the local flora with special attention to the needs of teachers and others interested in nature study. Two lecture and three laboratory hours per week. Prerequisite: Biology 114-124.
314. **Microbiology.**
This course is a general survey of the microorganisms and includes the history of microbiology and the morphology and physiology of the organisms most important to man. The microbiology of soil, food, water, and disease will be considered. Three lecture and three laboratory hours per week. Prerequisite: Biology 114-124.
324. **Parasitology.**
This course is a study of the important parasites, with special attention to those affecting the life of man. Morphology, taxonomy, and life histories will be considered. Three lecture and three laboratory hours per week. Prerequisite: Biology 114-124.
333. **Embryology.**
This is a study of the early development of representative vertebrate types. Two lecture and three laboratory hours per week. Prerequisite: Biology 114-124.
334. **General Physiology.**
This is a course in the physiology of vertebrates with emphasis on cells and tissues. Three lecture and three laboratory hours per week. Prerequisite: Biology 114-124; Chemistry 314 is recommended.
364. **Botany.**
This is an advanced course devoted to the study of plants and related topics. Plants are surveyed systematically from the algae through the tracheophytes, with emphasis on the progressive advances of tissue organization, physiology, and reproductive adaptations. Three lecture and three laboratory hours per week. Prerequisite: Biology 114-124.
414. Genetics.
This course deals with the physical basis of inheritance. The laws of heredity and variation will be discussed. Knowledge concerning the chemical nature and genetic code of the chromosome will be included. Three lecture and three laboratory hours per week. Prerequisite: Biology 114-124.
423. Histology.
A study of the fine structure of normal tissue is the principal area of consideration in this course. Tissue techniques will be included in order to afford an appreciation of the types of preparations used in the laboratory. Two lecture and three laboratory hours per week. Prerequisite: Biology 114-124.
454. Ecology.
A study of plants and animals in relation to their environment. Field studies constitute a large part of the laboratory work. Two lecture and four laboratory hours per week. Prerequisite: Biology 114-124.
492A, 492B. Senior Seminar.
A discussion of the broad principles of biology, reports from available literature on topics of student interest, and limited research projects designed to orient the student in scientific research methods. Prerequisite: See Item 6 on Page 33.
CHEMISTRY
The first course in chemistry (114-124) is a liberal arts course which meets the laboratory science requirement for graduation and also serves as a basis for further courses in chemistry. The student who wishes to prepare for graduate study in chemistry or for employment as a chemist is advised to take Chemistry 114-124, 214, 224, 314-324, 414, 424, and the Senior Seminars. The student preparing for professional study in medicine or a related field is advised to take Chemistry 114-124, 214, 224, 314-324, and the Senior Seminars. This same sequence of courses will be taken by a student who chooses chemistry as a major but whose principal interest is in another field. A student preparing for a secondary school teaching certificate in chemistry will take Mathematics 113, 123 and Chemistry 114-124, 214, 224, 314-324, and the Senior Seminars 492A, 492B.
114-124. General Inorganic Chemistry.
This is a study of the basic principles of chemistry, and the most important elements and compounds. The laboratory during the second semester is devoted to qualitative analysis. Three lecture and three laboratory hours per week.
214. Introductory Physical Chemistry.
This course deals with the laws and theories of chemistry. Three lecture and three laboratory hours per week. Prerequisite: Physics 114 or concurrent registration.
224. **Quantitative Analysis.**
This is a study of the basic principles of analytical chemistry, including stoichiometry, homogeneous and heterogeneous equilibria. Laboratory work includes both volumetric and gravimetric analysis. Two lecture and six laboratory hours per week.
314-324. **Organic Chemistry.**
This course is a study of the fundamental theories and principles of organic chemistry. Three lecture and four laboratory hours per week. Prerequisite: Chemistry 114-124.
414, 424. **Physical Chemistry.**
An advanced study of the laws and theories of chemistry with the aid of the calculus. Special emphasis is given to thermodynamics, structure of matter, and kinetics of chemical reactions. Three lecture and three laboratory hours per week. Prerequisites: Chemistry 214 and Physics 114-124, Mathematics 215, 225 and approval of the instructor.
434. **Instrumental Methods of Analysis.**
A study of absorption spectroscopy (UV, visible, and IR), potentiometry, polarography, conductimetry, chromatography, and other modern methods of analysis. Two lecture and six laboratory hours per week. Prerequisites: Chemistry 214, 224, Physics 114-124, Chemistry 414 or concurrent registration in this course, or permission of the instructor.
453. **Structure of Matter.**
An introduction to atomic and molecular structure, theories of liquids and solids, and other advanced topics in inorganic chemistry. Prerequisite: Chemistry 424 or concurrent registration.
492A, 492B. **Senior Seminar.**
These seminars will ordinarily involve work on a research problem in the laboratory and a report on the results. A discussion of current chemical topics will also be included. Prerequisite: See Item 6 on Page 33.
**MATHEMATICS**
The curriculum in mathematics is designed to provide for the student an important part of a broad liberal education as well as to equip him with the basic essentials for a continuing career in mathematics. The demand for pure mathematicians and applied mathematicians continues to grow, especially for those with graduate degrees. The student who wishes to prepare for service as a mathematician in industry or in government or to prepare for graduate study in mathematics is advised to take Mathematics 215, 225, 313, 323, 333, 353, 413 and the Senior Seminars 492A, 492B. A student taking a mathematics major with a major in chemistry or physics is advised to take Mathematics 215, 225, 313, 323, 333, 353 and the Senior Seminars 492A, 492B. A student preparing for a certificate to teach mathematics in the secondary school must take Mathematics 113,
123, 215, 225, nine additional advanced hours, and the Senior Seminars 492A, 492B. Students approved for advanced placement in mathematics must select approved advanced courses instead of Mathematics 113, 123. A student preparing for a certificate to teach in the elementary school and electing a major in mathematics must take Mathematics 113, 123, 215, 225, 303, two advances courses in mathematics, and the Senior Seminar 492A.
113. Introduction to College Mathematics.
This is the fundamental course for freshmen. In addition to a brief review of elementary algebra, this course includes the elements of real and complex numbers, sets, inequalities, functions, equations, and partial fractions.
123. College Mathematics.
This course is a continuation of Mathematics 113. Topics include: exponential, logarithmic, and trigonometric functions, and some introductory study of the conics. Prerequisite: Mathematics 123 or permission of the instructor.
213. Introduction to Probability and Statistics.
This course is an elementary study for non-science majors. Topics include: frequency distributions, sets, means, dispersion, discrete and continuous probability, normal distributions, statistical inference. Prerequisite: Mathematics 113 or permission of the instructor.
215, 225. Introduction to the Calculus.
This course marks the beginning of the student's serious study of mathematics. Topics include: rectangular coordinates, lines, conics, functions, limits, derivatives, the differential, integrals, arc length, Mean Value Theorem, graph sketching, polar coordinates, vectors, improper integrals, and applications. Prerequisite: Mathematics 123 or permission of the instructor.
303. Mathematics for Elementary School Teachers.
This course emphasizes modern topics in mathematics which encourage learning with insight on the part of the elementary school pupil. Meaning and logic is stressed in dealing with topics which include systems of numeration, the natural number system, computation, modular arithmetic, concept of measurement, concepts of position, size, and shape.
313. Intermediate Calculus.
A continuation of Mathematics 225 including topics in: space geometry, vectors, infinite sequences and series, test for convergence, Taylor's Series, partial derivatives, multiple integrals, line integrals, the total differential, and applications.
323. Linear Algebra.
This course is designed for both mathematics and science majors. Topics include: fields and number systems, matrices, determinants, abstract vector spaces, linear dependence, bases, characteristic equations and characteristic values, linear transformations, the Gram-Schmidt Process, and the Cayley-Hamilton Theorem. Prerequisite: Mathematics 225.
333. **Ordinary Differential Equations.**
A first course. Topics include: linear equations of first and second order; equations of second order with regular singular points; the Bessel equation; initial value problems; existence and uniqueness of solutions; solution by successive approximations. Prerequisites: Mathematics 313 and 323.
353, 363. **Modern Abstract Algebra.**
A first course in abstract algebra. Topics include: sets, operations, relations, groups, rings, integral domains, residue classes, fields, number systems, and classical algebra. Topics in the second semester include: vectors, abstract vector spaces, matrices and transformations, quadratic forms, canonical forms, structure of groups, quotient structure. Prerequisite: Mathematics 323.
413. **Advanced Calculus.**
This course is an introduction to mathematical analysis. Topics include: the real numbers, functions and limits, continuity and differentiability, the Riemann integral, vector functions, partial derivatives, directional derivatives, line and surface integrals, theory of convergence. Prerequisite: Mathematics 313.
433. **Introduction to Complex Variables.**
A first course in the study of analytic functions. Topics include: complex numbers; complex functions; derivatives, differentials, integrals; analytic functions; power series expansions; Laurent series expansions; poles and zeros; conformal mapping. Prerequisite: Mathematics 413.
492A, 492B. **Senior Seminar.**
This seminar emphasizes individual study of assigned topics. Both written and oral reports are required. Frequent evaluations of the individual student will guide the course of instruction toward the preparation of the student for teaching, industry, or further study. Prerequisite: See Item 6 on Page 33.
**PHYSICS**
Note: Beginning with 1968-69 the offering of a major in physics will be temporarily discontinued. Provision will be made for fully qualified full-time juniors and seniors to complete a major already in progress. Freshmen and sophomores will be directed to other majors. It is hoped that there will be a sufficient continuing student demand to justify the offering of two years of high quality work in this field.
Physics 114, 124 will satisfy the graduation requirement for a laboratory science. The student must have previously completed Mathematics 123 or the equivalent. A major in physics must take Mathematics 15, 225 not later than concurrently with Physics 114-124, and should continue with Mathematics 313, 333. Physics 313 is also required for all majors. A student who is preparing for graduate study in physics or employment as a physicist will usually take in excess of 30 semester hours in physics.
114, 124. College Physics.
An introductory study of the principles and applications of mechanics, wave motion, and sound, with emphasis on fundamental concepts, and problem solving. The second semester includes geometrical optics, electrostatics, circuit theory, magnetic fields, AC theory, waves, and physical optics. Three lecture and three laboratory hours per week. Prerequisite: Mathematics 123. Credit or concurrent registration in Mathematics 215 is encouraged.
234. Heat and Thermodynamics.
Principles of heat and thermodynamics, including an introduction to the kinetic theory of gases and statistical mechanics. Three lecture and three laboratory hours per week. Prerequisites: Physics 114, Mathematics 225.
244. Atomic and Nuclear Physics.
Charged particle ballistics, atomic spectra, x-rays, natural radioactivity, induced nuclear reactions, nuclear fusion and applications of nuclear physics, cosmic rays and mesons. Three lecture and three laboratory hours per week. Prerequisites: Physics 124, Mathematics 225.
254. Electronics.
Analysis of circuits, electron tube and transistor theory. The design, construction, and operation of electronic circuits especially useful in physics. Three lecture and three laboratory hours per week. Prerequisite: Physics 124.
313. Intermediate Mechanics.
Vector description of the motion of particles, conservative and nonconservative systems, gravitation, and moving coordinate systems. Three lecture hours per week. Prerequisites: Physics 114, credit or concurrent registration in Mathematics 333.
324. Intermediate Electricity and Magnetism.
Electrostatic and magnetostatic fields, induction, Maxwell's equations, electromagnetic waves, electromagnetic field energy and momentum. Three lecture and three laboratory hours per week. Prerequisites: Physics 124, 313.
492A, 492B. Senior Seminar.
Individual study and discussion of current topics in physics. A laboratory research problem will usually be included, and a report will be required. Topics will be assigned according to the needs and interests of the individual. Prerequisite: See Item 6 on Page 33.
RELATED COURSE
303. Science in the Elementary School.
A course designed to provide practical experience in lesson planning, unit organization, and the use of teaching aids in the study of science in the elementary grades.
II. PROFESSIONAL STUDIES
DIVISION OF BUSINESS AND ECONOMICS
The Division of Business and Economics offers a basic academic field of study in economics. In addition, study is offered for majors in accounting and management, with a marketing major to be offered in the near future. This sequence of courses provides the student with an understanding and knowledge of economic theory and practice with a study in depth of the basic functions in the American economic system. Course work for a major in economics has been offered since the beginning of the first classes at the College. Courses in the accounting major were first offered in the 1965-66 school year.
ACCOUNTING
The major in accounting is designed to prepare students for a career in business and industry, in government, or as a professional private or public accountant. Emphasis is placed upon the interpretation and analysis of data and the implications of this in effective planning and decision making by management. The record keeping activities of this ancient and honorable profession are also emphasized. A student selecting accounting as a major must choose economics, or a major outside of the Division of Business and Economics, as the other major. The program for the accounting major at Houston Baptist College consists of 25 semester hours which includes Accounting 113, 123, 313, 323, 333, 413, 423, 492A, 492B, plus Business Management 223 and Economics 413. In addition to the general requirements of the College, majors in accounting must take Mathematics 123 (or demonstrate competency and/or present equivalent credit), and Mathematics 213.
113-123. Principles of Accounting.
The fundamental concepts of accounting, the accounting equation, and the accounting cycle. The preparation of reports, statements, and working papers.
233, 243. Data Processing.
Principles, procedures, terminology and business applications of electronic data processing; the electronic computer, its potentials, limitations, and impact upon business data systems and management control. Practice in programming and computer operation included in the second semester. Prior background in mechanized data processing not necessary. Prerequisite: Mathematics 113 or equivalent. (Offered also as Management 233, 243)
313. Intermediate Accounting.
An intensive study of accounting theory as related to income determination and balance sheet preparation for corporate commercial enterprises.
323. Advanced Accounting.
The application of accounting principles to specialized problems in partnership and corporation accounting; accounting for joint ventures, agencies and branches; consolidated balance sheets and income statements; statement of affairs, receivership accounting, estate and trust accounting, realization and liquidation statements.
333. Cost Accounting.
An intensive study of the nature, objectives, and procedures of cost accounting as applied to the control and management of business, including job order costs, process costs, and joint and by-product costing.
413. Tax Accounting.
A study of historical background; current federal and state revenue acts affecting individual tax returns; procedures for computing the income tax liability of individuals. Practice in solving typical problems and in the preparation of tax returns.
423. Auditing.
A study of present day procedures and standards involved in making audits and examinations of the accounting records of business enterprises; field of public accounting; kinds of audits; ethics of the profession; preparation of workpapers; and the content and forms of qualified and unqualified auditor's opinions. Prerequisites: Accounting 323, 333.
433. C.P.A. Review.
A study of accounting problems and questions similar to the problems given by the American Institute of Accountants in the Certified Public Accountants Examinations. Prerequisites: 20 hours of accounting and consent of instructor.
443. Managerial Accounting.
Emphasizes the use of accounting as a tool of control for management. Major aspects include budget and managerial control, break-even charts, selection of alternatives. Required of all business management majors.
481-483. Independent Study.
Directed study of a minimum of thirty clock hours for each hour of credit. Provides an opportunity for accounting majors to conduct detailed investigations of selected accounting problems on an individual study basis. Prerequisite: Approval of the instructor and the division chairman.
492A, 492B. Senior Seminar.
The seminar will be designed to assist the student in developing methods of research in accounting, and to prove his competence in accounting theory. A research paper will be required. Prerequisite: See Item 6 on Page 33.
ECONOMICS
The purpose of this program is to enable the student to acquire knowledge of fundamental economic theories and to understand their application to specific areas of economic activity. This study provides a sound academic major for any student, and provides a broad base of economic knowledge for business majors who may major also in accounting, management or marketing. The program for the economics major at Houston Baptist College consists of 25 semester hours which must include Economics 213, 223, 323, 453, 492A, 492B, and nine additional hours of advanced economics. In addition to the general requirements of the College, majors in economics must take Mathematics 123 (or demonstrate competency and/or present equivalent credit), and Mathematics 213.
213, 223. Principles of Economics.
An introduction to economic analysis including problem-solving techniques with reference to economic theory, history, policy, and goals.
313. American Economic History.
A review of economic resources, economic causation as a determinant of American history from the Revolution to the present. (Offered also as History 313A)
323. Economic Theory.
An intensive examination of the assumptions and forces which underlie the price system, and of those which determine Gross National Product and Economic Growth. Prerequisites: Economics 213, 223.
333. Money and Banking.
A study of money, banking, central banking, institutions, problems, theory, and policies. The Federal Reserve System, interest rates, foreign exchange, and price level theory.
343. International Trade.
A study of the directions and composition of world trade, of international payments, and institutions for facilitating trade. Prerequisite: Economics 213, 223.
353. Economic Geography.
World resources and trade as affected by geography. Special emphasis is placed on industries, products, transportation, and regions of Texas and the United States.
413. Corporation Finance.
A study of the economics of corporate capitalism, the financial system, organization and financial management of corporations, expansion, failure, regulation and public policy. Prerequisites: Accounting 113 and 123. (Offered also as Management 413A)
413A. Labor and Management.
An intensive study of the major problems of labor-management relations; labor union history, organization, and operation. (Offered also as Management 413)
423. Comparative Economic Systems.
A study of the types of economic systems in capitalist, socialist, and communist countries; of the theories upon which they are based, and the alternative methods of organizing economic activity. Prerequisite: Economics 213, 223, or permission of instructor.
433. The American Economic System.
An introduction of the principles, problems, and processes of the American economy. Required of students who have not taken Economics 213, 223. Prerequisite: Permission of instructor required for students who have had previous credit in any course in economics.
453. History of Economic Thought.
A survey of the development of economic philosophy and theory from the ancients to the present. Prerequisite: Economics 213, 223 and approval of the instructor.
463. Public Finance.
Principles involved in establishing the general property tax, income tax, death taxes, taxes upon business, social insurance taxes; effects of taxes in the American economy; war and postwar finance.
473. Investment Principles.
A detailed analysis of types of investment media and the mechanics of investment. Comparative transaction timing of investments for individuals and investing institutions, for purpose of developing an effective investment philosophy. Prerequisite: Economics 413. (Offered also as Management 473A)
481-483. Independent Study.
Directed study of a minimum of thirty clock hours for each hour of credit. Provides an opportunity for economics majors to conduct detailed investigations of selected economic problems on an individual study basis. Prerequisite: Approval of the instructor and the division chairman.
492A, 492B. Senior Seminar.
Each will be designed to assist the student in developing methods of economic research and to prove his competence in economic theory, economic history, and economic policy formulation. An extended original paper will be required. Prerequisite: See Item 6 on Page 33.
MANAGEMENT
The management major is designed to provide knowledge of appropriate principles and procedures of management in its various functions for students who aspire to middle and top management careers. Students selecting business management as a major must choose economics, or a major outside of the Division of Business and Economics, as the other major.
The program for the business management major at Houston Baptist College consists of 34 semester hours which must include Accounting
113, 123, and 443; Management 223, 313, 423, 463, 473, 492A, 492B, plus six additional hours in advanced management courses. In addition to the general requirements of the College, majors in business management must take Mathematics 123 (or demonstrate competency and/or present equivalent credit), and Mathematics 213.
113. **Business Management.**
An interdisciplinary approach to an understanding appreciation of human activities in the fields of accounting, economics, and management.
223. **Business Law.**
An intensive study of the law of contracts, agency, sales, negotiable instruments, business organizations, real and personal property, and securities.
233, 243. **Data Processing.**
Principles, procedures, terminology and business applications of electronic data processing; the electronic computer, its potentials, limitations, and impact upon business data systems and management control. Practice in programming and computer operation included in the second semester. Prior background in mechanized data processing not necessary. Prerequisite: Mathematics 113 or equivalent. (Offered also as Accounting 233, 243)
313. **Business Organization and Management.**
A study of the evolution of the organization in modern industrial society; theories of organization structures and processes, with emphasis on organizing, planning, decision making, controlling, communicating, and coordinating.
323. **Business Management and Public Policy.**
A study of the role of the business enterprise in modern economic life; public regulations of monopoly and competitive practices; international and domestic cartels; alternative policy toward business. An examination of the implications such regulations have upon the management of the enterprise.
413. **Labor and Management Relations.**
An intensive study of the major problems of labor-management relations; labor union history, organization, and operation. (Offered also as Economics 413A)
413A. **Corporation Finance.**
A study of the economics of corporate capitalism, the financial system, organization and financial management of corporations, expansion, failure, regulation and public policy. Prerequisites: Accounting 113 and 123. (Offered also as Economics 413)
423. Personnel Policies.
The application of personnel techniques in the industrial setting. The application and study of job evaluation, wage administration, testing and selection, training programs, and employee benefit programs.
453. Principles and Policies in Production.
A study of the problems, practices, and methods of production management and control. The course will include production planning, production control, factory management, time and motion study, plant layout, inner-company transportation, methods and standards, quality control, and plant location.
463. Communications and Public Relations.
This course develops skills and techniques in communicating facts and ideas and shows the relationship of creative and logical thinking to the solution of business problems. It includes an application of some skills and techniques in communicating facts and ideas to the various publics.
473. Psychology in Business and Industry.
A survey of individual and group techniques in supervision and evaluation. Problems in selection, training, communication, motivation, morale, fatigue, accidents, job analysis, and performance. Prerequisites: Psychology 213, 313, or advanced classification in business or economics. (Offered also as Psychology 473)
473A. Investment Principles.
A detailed analysis of types of investment media and the mechanics of investment. Comparative transaction timing of investments for individuals and investing institutions, for purpose of developing an effective investment philosophy. Prerequisite: Economics 413. (Offered also as Economics 473)
481-483. Independent Study.
Directed study of a minimum of thirty clock hours for each hour of credit. Provides an opportunity for business management majors to conduct detailed investigations of selected management problems on an individual study basis. Prerequisite: Approval of the instructor and the division chairman.
492A, 492B. Senior Seminar.
The seminar will be designed to assist the student in developing methods of research in business management, and to prove his competence in management theory. A research paper will be required. Prerequisite: See Item 6 on Page 33.
MARKETING
Note: No courses in marketing will be offered in 1968-69.
A major in marketing has been approved for inclusion in the curriculum and will be available at a later date. A student selecting marketing as a major must choose economics, or a major outside of the Division of Business and Economics, as the other major. The program for the major in marketing will consist of 28 semester hours which must include Accounting 113, 123; Management 223; Marketing 313, 323, 413, 463, 492A, 492B, and three additional semester hours in an advanced course in marketing. In addition to the general requirements of the College, majors in marketing must take Mathematics 123 (or demonstrate competency and/or present equivalent credit), and Mathematics 213.
The program in marketing includes the following courses:
313, 323. Principles and Policies in Marketing.
413. Marketing Research and Development.
423. Theory and Practice in Advertising.
453. Credit and Credit Policies.
463. Marketing and the Public Interest.
473. Transportation.
481-483. Independent Study.
492A, 492B. Senior Seminar.
DIVISION OF CHRISTIANITY
Houston Baptist College is committed to providing a liberal arts education frankly and basically Christian in orientation. It is dedicated to the view that Christian ideals and principles provide the perspective, goals and values most essential in higher education. The implementation of this view is the responsibility of the entire college staff, but it is the province of the Division of Christianity to offer the specific courses which enable the students to gain an intelligent and meaningful acquaintance with the Christian religion and with the superb writings of the Old and New Testaments. The courses offered are designed for all college students and not for ministerial students alone. They are basic courses and are not intended to take the place of professional studies in a theological seminary or a divinity school.
Twelve semester hours in Christianity are required for all students at Houston Baptist College. The Interdisciplinary Courses include instruction in Christianity which may be counted as three semester hours of the twelve required. Six of the required semester hours (Christianity 113 and 123) are offered on the freshman level and are designed to give the students a basic foundation for Biblical study and understanding. The remaining three semester hours (Christianity 313, 323B) are offered on the junior level and are intended to provide an intelligent understanding of the Christian religion, its historical development, contemporary situation, basic doctrinal concepts, and the distinguishing characteristics of the leading denominations in America.
A major in Christianity requires twenty-four semester hours, including the twelve hours of required courses, eight semester hours of electives, and four semester hours of Senior Seminars (Christianity 492A and 492B). Twelve semester hours of the Christianity major must be advanced courses numbered 300 and above. Only one cross listed course may be counted in the twenty-four hours required for a major.
Students receiving a Texas Baptist Ministerial Scholarship are required to take Christianity 223 and 323A. All Baptist students preparing for church-related vocations other than the ministry are required to take Christianity 233 and 323A.
Each pre-theological student is advised to follow the suggestions of the American Association of Theological Schools by including the following courses in his degree plan:
- English (including speech) ................................................................. 18 sem. hrs.
- Foreign language .............................................................................. 12 sem. hrs.
- History ............................................................................................... 9 sem. hrs.
- Natural Sciences (biology, chemistry, physics) .................................. 6 sem. hrs.
- Philosophy ......................................................................................... 9 sem. hrs.
- Social Studies ..................................................................................... 18 sem. hrs.
(Selected from psychology, sociology, economics, political science, and education with at least one semester of psychology.)
Students planning to pursue training in the field of religious education at a seminary should note the college prerequisites suggested by the American Association of Schools of Religious Education:
Physical Sciences ................................................................. 8 sem. hrs.
English .................................................................................. 12 sem. hrs.
Humanities (philosophy, history, foreign languages, fine arts, and Bible) ............................................................... 18 sem. hrs.
Social Sciences (economics, sociology, political science, personal and social psychology, education, guidance, and applied religion) ............................................................... 22 sem. hrs.
CHRISTIANITY
113. Old Testament.
A required course for all freshmen designed to introduce the student to the study of the Bible and to obtain an intelligent comprehension of the history, institutions, and theological insights of the Hebrews.
123. New Testament.
A required course for all freshmen intended to introduce the student to the New Testament and to an intelligent and appreciative understanding of the life and teachings of Jesus, the early Christian movement, and the doctrinal concepts and ethical ideals of Christianity.
223. The Christian Ministry.
A required course for ministerial students to introduce the work of the ministry and the principles of sermon preparation and delivery.
233. Introduction to Religious Education.
A required course, for those preparing for church-related vocations other than the pastorate, designed to acquaint the student with the field of religious education and its importance in Christian work.
313. Christian History.
A course designed to introduce Christianity in its historical development and the origin and progress of Christianity in America.
323A. Baptist Doctrine and Practice.
A required course for juniors to acquaint the student with the doctrinal views, polity, and practice of Baptists with special attention to Southern Baptists. Non-Baptists may elect Christianity 323B in lieu of this course.
323B. Comparative Christianity.
A course designed to acquaint the student with the doctrinal concepts and practices of the leading denominations in America. Non-Baptists may elect this course in lieu of Christianity 323A.
333. Philosophy of Religion.
A critical examination of the nature and validity of religious experience and the place of religion in human life. Consideration is given to religious problems such as the existence and nature of God, the nature of man, the nature of sin, and the source of religious knowledge.
413. **Jesus and His Teachings.**
An intensive study of the life and teachings of Jesus.
423. **The Pauline Epistles.**
An intensive study of the epistles of Paul.
433. **Sociology of Religion.**
An analysis of the role and functions of religion in human societies, types of religious organizations, and the relation between religion and other social institutions. The role of Christianity in American society will be emphasized. (Offered also as Sociology 433)
443. **Old Testament Prophets.**
A study of the Hebrew prophets and the prophetical writings of Isaiah, Jeremiah, Ezekiel, Daniel, and the twelve minor prophets.
473. **History of Baptists.**
A study of the history of Baptists with special attention to Baptists in America, in the South, and in Texas.
492A, 492B. **Senior Seminar.**
Directed studies in selected areas of the student's special interests in Christianity including opportunities for independent work.
Prerequisite: See Item 6 on Page 33.
**GREEK**
Note: In 1968-69 only Intermediate Greek (213, 223) will be taught and after that all courses in Greek will be temporarily discontinued.
The course offerings in Greek are designed to provide a reading knowledge of the Greek New Testament, and to afford practice in the skills essential to scholarly interpretation. They are especially appropriate for the ministerial student and others preparing for a church-related vocation. Students who major in Christianity may satisfy the language requirement for graduation with credit for twelve semester hours in Greek.
113-123. **Elementary Greek.**
An intensive study of the forms, vocabulary, grammatical usage and translation of the Greek of the New Testament.
213, 223. **Intermediate Greek.**
An intensive and extensive study of the grammar of the Greek New Testament with readings from the literature of the New Testament.
**PHILOSOPHY**
Note: Beginning with 1968-69 the offering of a major in philosophy will be temporarily discontinued and only courses in the first year of this subject will be scheduled. Provision will be made for fully qualified full-time juniors and seniors to complete a major already in progress. Sophomores will be directed to other majors.
Philosophy is a basic element in an adequate liberal arts education and serves to integrate the various areas of knowledge. It deals with the principles underlying all knowledge. The purpose of the offerings in philosophy is to help the student in his search for the meaning and destiny of human life. It seeks to attain this purpose through a critical study of the significant problems of human thought and of the main systems that have been proposed as solutions to these problems. Philosophy is taught in the Division of Christianity but it is not restricted to religious philosophy. A minimum of twenty-four semester hours of philosophy is required for a major. These must include Philosophy 213 and Philosophy 223.
113. Introduction to Philosophy.
A foundational course designed to familiarize the student with the meaning and relevance of philosophy through a study of its main problems and the principal theories that have been proposed as solutions to them.
123. Logic.
A study of the significance of language, the basic principles of critical thinking, and the fundamental procedures of scientific method.
213. Ancient and Medieval Philosophy.
A study of the historical development of Western philosophy from its early beginnings in Greece to the end of the Middle Ages.
223. Modern Philosophy.
A continuation of Philosophy 213, beginning with the Renaissance and ending with the more important philosophers of recent times.
333. Philosophy of Religion.
A critical examination of the nature and validity of religious experience and the place of religion in human life. Consideration is given to religious problems such as the existence and nature of God, the nature of man, the nature of sin, and the source of religious knowledge.
343. Philosophy of History.
An examination of the aims of historical inquiry and the nature and limits of our knowledge of the past. Attention is given to the varied patterns of meaning attributed to history, culminating in an attempt to outline an adequate interpretation of history compatible with the Christian world view. (Offered also as History 343A)
353. Aesthetics.
A study of beauty, the arts, aesthetic experience. Readings from major aestheticians such as Schopenhauer, Croce, Alexander. Analysis of theories of art (form and content), realms of art (painting, architecture, music, poetry), the relationships among the artists, the object of art, and the aesthetic receiver. Consideration of value judgments in art and morality (aesthetics and ethics).
413. British Empiricism.
An intensive study in the works of Locke, Berkeley, and Hume.
423. Ethics.
A course in which the major ethical systems and their theories of value and conduct are studied critically and evaluated from a Christian point of view.
492A, 492B. Senior Seminar.
Intensive directed research in limited areas of philosophical thought, selected in accordance with the interest and need of the student. Prerequisite: See Item 6 on Page 33.
DIVISION OF EDUCATION AND PSYCHOLOGY
The Division of Education and Psychology includes work in professional education, physical education, and psychology. It has as one of its central purposes the preparation of students for service as teachers in the public schools. This purpose has been officially recognized as an appropriate major objective of Houston Baptist College. In keeping with this objective the Division of Education and Psychology provides supervision for students in teacher education.
The curriculum in teacher education includes three major areas: academic foundations, professional courses, and specialization areas. These areas were developed cooperatively by the administration, the Teacher Education Committee, and the instructional departments concerned in consultation with each other and with representatives of the public schools. All of this was done with the approval of the appropriate personnel in the Texas Education Agency and under their guidance.
The curriculum affords students an opportunity to prepare for the Provisional Teaching Certificate which enables one to teach at either the elementary or the secondary level in the Public Schools of Texas. In the event a student elects to prepare for elementary teaching he may choose an elementary program with a major in art, biology, English, history, mathematics, physical education, psychology, sociology or Spanish. For secondary school teaching the student may select two academic majors from the following: art, biology, chemistry, drama, economics, English, French, German, government, history, mathematics, physical education, Spanish, and speech. Additional secondary school teaching preparation is available in the composite teaching areas of music and social studies. A student may prepare to teach art or music in grades one through twelve by electing the all-level program in either of these subjects. These programs have the administrative approval of the Division of Teacher Education and Certification of the Texas Education Agency and of the Commissioner of Education.
Students interested in teacher preparation need to be aware of the standards for admission to the teacher education program at Houston Baptist College. The Teacher Education Committee will consider for admission to the program at the end of the sophomore year those students who evidence the following qualities and qualifications:
1. A genuine desire to enter and follow a career in teaching.
2. An application, approved by the student's faculty adviser, on file in the office of the Director of Teacher Education during the second semester of the sophomore year.
3. A classification of junior (at least 64 semester hours) with a quality point average of not less than 2.25 on a 4-point scale.
4. A completed degree plan on file in the Records Office.
5. A satisfactory score on the English proficiency examination. This examination is administered on the first Thursday in May of each year at 4:00 p.m.
6. A personal and social orientation which shows promise of contributing to success in the classroom.
7. A physical and mental fitness which indicates that one is equipped for classroom leadership.
Likewise, students must be cognizant of the conditions necessary for retention in the program. These conditions are as follows:
1. The college scholastic standards are maintained.
2. A conference is held at least once each semester with the student’s faculty adviser.
3. Participation as a member of the Student Education Association.
4. A wholesome attitude is demonstrated in the professional education sequence.
Upon satisfactory completion of a selected program, as outlined above, the student will be recommended by the Teacher Education Committee for the appropriate certificate.
**EDUCATION**
The following courses in professional education provide for the student, who is preparing to teach at either the elementary or secondary school levels, to complete eighteen semester hours in this area including six semester hours of supervised student teaching. Students interested in elementary school teaching must include Education 313, 323, 413A, 433, and 496A. Students interested in secondary school teaching must include Education 313, 323, 413B, 423, and 496B. Students interested in an all-level program must include Education 313, 323, 413A, 423, 493A, and 493B.
**313. Human Growth and Development.**
A study in the area of developmental psychology designed to provide an understanding of the behavior and developmental characteristics of children and youth as they have bearing on the learning process. (Offered also as Psychology 313)
**323. History and Philosophy of Education.**
A course emphasizing the historical, philosophical, legal, and cultural backgrounds of educational theory and practice.
**413A. Curriculum in the Elementary School.**
A course designed to give the student knowledge of the (1) types of organization and procedures for determining scope and sequence in the elementary schools, (2) methods of adapting the curriculum to pupil needs and society’s demands, and (3) appropriate curricular materials. Prerequisites: Education 313 and 323.
**413B. Curriculum in the Secondary School.**
A study of the types of organization and procedures employed for determining scope and sequence in the secondary schools, suitable means for adapting the curriculum to pupil needs, the demands of society, and appropriate curricular materials to be used at the secondary level. Prerequisites: Education 313 and 323.
423. Fundamentals of Secondary School Teaching.
A study of the fundamentals of teaching at the secondary school level which includes organizational patterns of American education, elements of appropriate methodology and technology in effective classroom instruction, and means of achieving desirable student-teacher relationships. Prerequisites: Education 313 and 323.
433. Measurement and Evaluation.
A course dealing with the meaning of measurement and evaluation, the construction and use of teacher-made tests for appraising student progress, and the role of the teacher in the use and interpretation of standardized tests. Prerequisite: Education 313. (Offered also as Psychology 433)
493A. Student Teaching in the Elementary School.
Provides the student with experiences in observing effective teaching in the public schools and in the preparation of units of work preparatory to teaching, followed by the experience of teaching under the supervision of an experienced elementary school teacher. This course to be taken by those seeking an all-level certificate. Prerequisites: Senior classification in the teacher education program and approval by the Director of Teacher Education.
493B. Student Teaching in the Secondary School.
Provides the student with experiences in observing effective teaching in the public schools and in the preparation of units of work in the student's specialization area(s) preparatory to teaching, followed by the experience of teaching under the supervision of an experienced secondary school teacher. This course to be taken by those seeking an all-level certificate. Prerequisites: Senior classification in the teacher education program and approval by the Director of Teacher Education.
496A. Student Teaching in the Elementary School.
Provides the student with opportunities to observe effective teaching in the public schools and experience in the preparation of units of work preparatory to teaching, followed by the experience of teaching under the supervision of an experienced elementary school teacher. This course to be taken by those seeking the elementary provisional certificate. Prerequisites: Senior classification in the teacher education program and approval by the Director of Teacher Education.
496B. Student Teaching in the Secondary School.
Provides the student with opportunities to observe effective teaching in the public schools and experience in the preparation of units of work in his teaching field(s), followed by the experience of teaching under the supervision of an experienced secondary school teacher. This course to be taken by those seeking the secondary provisional certificate. Prerequisites: Senior classification in the teacher education program and approval by the Director of Teacher Education.
HEALTH AND PHYSICAL EDUCATION
The required program of physical education is designed to provide each student an opportunity to engage in and to become proficient in physical activities. As a laboratory experience there is an opportunity to gain both physically and intellectually. The ultimate contribution of physical education is self-fulfillment and the educated life.
A well-rounded program is offered in physical fitness, basic movement, individual and team sports. Each student is required to register for one semester hour in each semester of the freshman and sophomore years to complete the four physical activity courses. Uniforms are required for all activity courses and may be purchased through the College Bookstore. Programs providing majors in physical education are offered for both men and women. The curriculum is designed to acquaint the student with the values of physical education in relation to his total development; physically, socially, intellectually, and spiritually. Courses are required involving principles and objectives for the organization and administration of a physical education program in junior and senior high schools; and to teach the organization and administration of intramural sports, coaching of athletics, and outdoor education.
Exceptional students who present statements from physicians certifying that their condition restricts them from participating in the required physical activity courses may substitute lecture courses in health and physical education for the four hour requirement. Those individuals who present statements from a physician may be examined by the college physician.
It is recommended that all majors in physical education take Biology 213 to strengthen their major in preparation for graduate study in the field of physical education.
Physical education majors (men) must take 313, 332, 343, 363, 492A, 492B, and choose advanced courses (at least 10 semester hours) from the following: 233, 243, 303, 322, 342, 372, 413A, 422, and 423.
Physical education majors (women) must take 313, 323, 332, 333, 343, 363, 492A, 492B, and choose advanced courses (at least 4 semester hours) from the following: 303, 322, 342, 372, 413A, 422, and 423.
A student preparing to teach in the elementary school and electing a major in physical education must take Physical Education 303, 313, 332, 363, 423, Senior Seminars 492A, 492B, and three advanced courses in physical education.
The department sponsors a Women’s Recreation Association which promotes and administers all women’s intramural activities and all campus projects such as designated Fun Nights, Faculty-Student events, and Westward Ho Day. All full-time women students are eligible to participate in the varsity program which includes volleyball, basketball, and tennis.
111M. Physical Activities for Men.
Required for freshman men. The development of endurance, strength and skills, primarily in team activities.
111W. Physical Activities for Women.
Required for freshman women. The development of skills and physical efficiency in conditioning, body mechanics, soccer, and basketball.
121M. Physical Activities for Men.
Required for freshman men. The development of endurance, strength and skills, primarily in team activities.
121W. Physical Activities for Women.
Required for freshman women. The development of skills and physical efficiency in rhythmic, softball, and swimming.
211. Physical Activities.
Required of sophomore men and women. The development of endurance, strength and skills primarily in the area of individual sports.
221. Physical Activities.
Required of sophomore men and women. The development of endurance, strength and skills primarily in the area of individual sports.
233, 243. Coaching of Athletics.
Courses which deal with the psychology of coaching in football, basketball, baseball, and track and field sports. Fundamentals, skills, and techniques in organizing and coaching will be stressed.
303. Health and Physical Education in the Elementary School.
Materials and methods of teaching health and physical education in the elementary school.
313. History and Principles of Physical Education.
Definitions, terminology, aims, objectives, history, administration, and principles of physical education, health education, recreation and safety. Required for all physical education majors.
322. First Aid, Prevention and Care of Athletic Injuries.
Course meets requirements for the Red Cross certificates: Standard, Advanced, and Instructor.
323, 333. Coaching and Officiating.
Materials and methods of teaching physical education in high school through theory and practice in skills and techniques of coaching and officiating team and individual sports. Required for women majors for the high school level.
332. Health Education.
Subject matter and teaching methods and practices in preparation for teaching health education.
342. Life Saving and Water Safety.
Techniques of teaching swimming progressions, Red Cross Life Saving and Instructors Course.
343. Organization and Administration of Physical Education and Intramurals.
A study of procedures in organization of physical education and intramural programs, plant facilities, and interschool programs. Course involves actual experience in conducting intramural activities. Required for all majors.
363. Tests and Measurements in Physical Education.
Introductory course in the area of measurement and evaluation in health and physical education.
372. Physiology of Exercise and Kinesiology.
A course concerning the basic elements of the physiology of exercise, with an introduction to the elementary principles of kinesiology, both of which constitute the scientific bases of physical education.
413A, 413B. Recreational Leadership.
The organization and planning of recreation in schools, churches, and the community.
422. Adaptive and Corrective Physical Education.
A study of problems relating to body mechanics, the needs of and programs for the atypical student.
423. Movement Behavior and Motor Learning.
A course structured around the basics of human movement and motor performance. Subject matter includes perceptual-motor foundations of physical education with emphasis on the state of the performer and his ability to learn motor skills.
492A, 492B. Senior Seminar.
An over-all consideration of the organization and administration of health and physical education programs, plant facilities, instruction, evaluation, and finance with opportunity for individual attention to areas of special interest. Required for all majors. Prerequisite: See Item 6 on Page 33.
PSYCHOLOGY
The curriculum in psychology is designed to introduce the student to certain basic understandings in the scientific study of human behavior. The science of human behavior includes areas of study such as learning, personality, physiology, counseling, motivation, measurement, testing, and evaluation. Those trained in this field can anticipate opportunities for service in business and industry, church-related vocations, hospitals and other human welfare institutions, government agencies, the armed services, and at all levels in our educational institutions. The bachelor's degree with a major in psychology does not prepare the student for immediate vocational placement in the field of psychology. Consequently, students must be prepared to do graduate study before they become professional psychologists. The major in psychology requires a minimum
of 24 semester hours, including Psychology 213, 223, 343, and at least one of the Senior Seminars in this field. Mathematics 213 is required and it is recommended that majors complete strong supporting fields in mathematics or biology.
A student preparing to teach in the elementary school and electing a major in psychology must take Psychology 213, 223, 343, 353, 363, Senior Seminars 492A, 492B, and two advanced courses in psychology as well as Mathematics 213.
213. **General Psychology.**
An introductory course dealing with the content areas of psychology. Topics include heredity and environment, motivation, emotion, personality, perception, intelligence, and measurement and evaluation.
223. **Advanced General Psychology.**
Additional topics in general psychology with emphasis on principles of sensation, perception, motivation, and the physiological basis of behavior, including introduction to experimental techniques. Prerequisite: Psychology 213 and permission of the instructor.
313. **Human Growth and Development.**
A study in the area of developmental psychology designed to provide an understanding of the behavior and developmental characteristics of children and youth as they have bearing on the learning process. (Offered also as Education 313)
323. **Educational Psychology.**
A consideration of psychological factors in teaching-learning situations. Topics include the nature and operation of laws of learning, transfer of training, and the significance of individual differences.
333. **Social Psychology.**
A course in which contemporary approaches to social behavior are considered. The role of language and culture in changing the physiological organism into a socialized human being are analyzed. Prerequisite: Psychology 223 or Sociology 113. (Offered also as Sociology 333)
343. **Experimental Psychology.**
A survey of the experimental literature and the design and execution of representative laboratory experiments. Prerequisite: Psychology 223.
353. **Learning and Memory.**
A survey of the significant concepts, experimental methods, and theories of learning. Emphasis will be given to principles affecting the efficiency of learning and retention. Prerequisites: Psychology 223 and 343 or permission of the instructor.
363. **Personality, Normal and Abnormal.**
A study of the nature and causes of personality disorders as reflected in the major theories and current research regarding human personality.
373. Physiological Psychology.
A study of the physiological bases of normal animal and human behavior. Prerequisites: Psychology 223 and 343 or permission of the instructor.
383. Motivation and Behavior.
A scientific study of the principles of human action, with emphasis on motive, emotion, and habit. Prerequisites: Psychology 223 and 343 or permission of the instructor.
423. Counseling.
A critical analysis of the approaches, techniques, and tools of counseling of the major schools. Religious and secular orientations will be examined with reference to their concepts of personality, neurosis, and therapy. The client-centered approach will be studied in depth. Open to majors in sociology and psychology. Prerequisite: Permission of the instructor. (Offered also as Sociology 423)
433. Measurement and Evaluation.
A course dealing with the meaning of measurement and evaluation, the construction and use of teacher-made tests for appraising student progress, and the role of the teacher in the use and interpretation of standardized tests. (Offered also as Education 433)
443. Sensory and Perceptual Processes.
An analysis of basic perceptual processes and theories. Neural correlates of sensory excitation, psychophysics, psychological space-time, pathological perception, theoretical models for perception. Prerequisite: Psychology 223 and 373 or permission of the instructor.
473. Applied Psychology.
A survey of individual and group techniques in supervision and evaluation. Problems in selection, training, communication, motivation, morale, fatigue, accidents, job analysis, and performance. Prerequisites: Psychology 213, 313, or advanced classification in business or economics. (Offered also as Management 473)
481-483. Individual Study.
Directed study of a minimum of thirty clock hours for each hour of credit. Advanced reading, testing, or projects involving research and experimentation. Prerequisite: Senior psychology major.
492A, 492B. Senior Seminar.
A further study of the techniques of psychological research in which the student has the responsibility of selecting topics, designing a project, collecting data, and reporting research findings in a scientific and systematic manner. Prerequisite: Senior psychology major. See Item 6 on Page 33.
DIVISION OF NURSING
Philosophy
Houston Baptist College is a Christian institution providing educational activities in nursing for carefully selected men and women consistent with the overall policies and purposes of this institution of higher learning.
The faculty of the Division of Nursing believes that:
The professional nurse should have a liberal education to promote her social and professional development and to function effectively in our society. She must acquire not only knowledge but the ability to use it and the judgment to place value where it belongs. Her actions should reflect an adherence to worthwhile values in life and an awareness that although people have rights and privileges, they also have corresponding obligations to God, to their fellowmen, and to themselves.
Nursing is a service for the care of the sick, the prevention of illness, and the promotion of health which coordinates its activities with other services to provide for the total health and welfare needs of the community. Nursing has a wide range of functions which includes both the performance of nursing skills and supervision of health team members. The distinctive function of nursing is the close and individualized service to the patient which varies with his state of health.
Nursing needs of the community change as society changes; therefore, nursing education should reflect these changes and attempt to stimulate the student's development of creativity and critical judgment.
Learning is a life-long process resulting in relatively permanent modifications in behavior. Learning takes place most effectively in a democratic environment which encourages critical thinking, creative effort and individualization.
Evaluation, an essential element in the learning process, must be a continuous, ongoing and cooperative process to determine the degree to which changes in behavior have taken place, the extent to which goals have been accomplished, and to serve as a motivational force for further improvement.
This background of education serves as a foundation for advanced study and prepares graduates as practitioners and leaders who assume responsibility for improvement of self, the profession, and the community.
Objectives
Houston Baptist College attempts to:
1. Provide educational opportunities to develop a nurse who will assume responsibility for her own actions, maintain and enrich her Christian philosophy; recognize and evaluate her status and growth as an individual.
2. Prepare a nurse who can give effective total nursing care, recognize and analyze nursing-care problems, is able to apply and wisely modify procedures and practices according to individual needs, and who will meet situations with intelligence, efficiency and integrity.
3. Prepare a nurse who will assume her professional responsibilities, is skillful in health counseling, rehabilitation and conservation of health and is aware of the importance of research in the improvement of nursing practice.
4. Provide educational opportunities to develop a nurse who will meet her responsibilities as a citizen, who will help maintain and elevate the standards of her community, and who will make her maximum contribution to nursing and society.
THE NURSING PROGRAM
Bachelor of Science Degree in Nursing
| First Year | First Semester | Second Semester |
|-------------------------------------------------|----------------|-----------------|
| Language and Literature (English 113, 123) | 3 | 3 |
| Christianity (Old Testament 113, New Testament 123) | 3 | 3 |
| General Inorganic Chemistry (Chemistry 114-124) | 4 | 4 |
| The United States (History 213, 223) | 3 | 3 |
| Principles of Sociology (Sociology 113) | 3 | |
| General Psychology (Psychology 213) | 3 | |
| Physical Activities (Phys. Educ. 111, 121) | 1 | 1 |
| Second Year | | |
|-------------------------------------------------|----------------|-----------------|
| Culture and Human Experience (203A-203B) | 3 | 3 |
| World Literature (English 213, 223) | 3 | 3 |
| Human Anatomy and Physiology (Biology 213, 223) | 3 | 3 |
| Nutrition (Biology 153) | 3 | |
| Medical Microbiology (Biology 253) | 3 | |
| American and Texas Government (Pol. Sci. 313) | 3 | |
| Elective | 3 | |
| Physical Activities (Phys. Educ. 211, 221) | 1 | 1 |
| Summer Session | | |
|-------------------------------------------------|----------------|-----------------|
| Care of the Adult Patient (Nursing 306) | 6 | 6 |
### Third Year
| Course | First Semester | Second Semester |
|----------------------------------------------------------------------|----------------|-----------------|
| Human growth and Development (Psychology 313) | 3 | |
| Christianity (323A, 323B) | | 3 |
| Community Health Nursing (Nursing 302A, 302B) | 2 | 2 |
| Care of the Adult Patient (Nursing 312A, 312B) | 12 | 12 |
| **Total** | **17** | **17** |
### Fourth Year
| Course | First Semester | Second Semester |
|----------------------------------------------------------------------|----------------|-----------------|
| Great Issues of the 20th Century (303A-303B) | 3 | 3 |
| Community Health Nursing (Nursing 302C) | 2 | |
| Maternal and Child Care (Nursing 412) | 12 | |
| Psychiatric Nursing (Nursing 466) | 6 | |
| Leadership in Nursing (Nursing 484) | 4 | |
| Senior Seminar in Nursing (492A-492B) | 2 | 2 |
| **Total** | **17** | **17** |
**Total Hours:** 140
Following successful completion of courses prescribed for nurse education during freshman and sophomore years, applicants will be eligible to enroll for nursing courses who give evidence of meeting the following requirements:
1. Have a quality point standing of 2.25 with no grade less than “C” in the 66 hours of required course work.
2. Have a satisfactory score on the English Proficiency Examination.
3. Display a sincere interest in becoming a registered nurse through participation in the professional student nurse association.
4. Have positive qualities of health, character, and personality.
To be eligible for the degree of Bachelor of Science in Nursing, students must:
1. Meet all the general requirements for graduation as outlined in the Houston Baptist College catalogue.
2. Have no grade less than “C” in the nursing courses.
3. Write the Graduate Record Examination.
Upon satisfactory completion of the program of studies in nursing as outlined above, the student will be eligible to apply to the State Board of Nurse Examiners to write the test pool examination for licensure as a registered nurse.
Professional Courses
306A. Care of the Adult Patient.
An introductory course in basic principles and concepts designed to serve as a foundation for nursing care of patients. A prerequisite for all clinical nursing courses.
306B. Community Health Nursing.
A correlated study of the care of families in the community with consideration of those elements in our society which can positively or adversely affect the wellness of man. Guided student experiences include independent study, home visits, clinic care, and services in selected community agencies.
312A. Care of the Adult Patient.
In a developmental approach, the adult patient is studied in relation to his family, racial, socio-economic and community status. As a basis for total nursing care, the student studies causes and manifestations of the patient's illness, surgical intervention, diagnostic and therapeutic measures, preventive aspects, and principles of rehabilitation. A prerequisite for all clinical nursing courses except 312A. Twelve semester hours.
312B. Care of the Adult Patient.
A continued study of developmental tasks, normal anatomical and physiological changes, illnesses, and disorders of the adult patient. Emphasis is placed on identification and analysis of problems of patients in planning for their care. Twelve semester hours.
412. Maternal and Child Care.
A family-centered study of the maternal patient during prenatal, intrapartum and postpartum period. Care of the premature, newborn, and child includes normal growth and development, consideration of deviations, and care during illnesses. Twelve semester hours.
466. Psychiatric Nursing.
A study of the deviation in personality and behavior occurring during mental illness which is approached through understanding of self and others.
484. Leadership in Nursing.
An opportunity for the student to synthesize previously acquired knowledges and skills in identifying and solving nursing problems. The student functions in the role of team leader as she cares for groups of patients. This course is taught concurrently with Senior Seminar 492B.
492A. Senior Seminar.
An exploration of the origin, development, and present status of nursing with particular emphasis on responsibilities and privileges of the professional nurse.
492B. Senior Seminar.
Directed individual and group study of principles in management of patient care and effective interpersonal relationships with a focus on development of leadership abilities. Prerequisite: See Item 6, Page 33.
DIVISION OF SOCIAL STUDIES
The Division of Social Studies offers work in a variety of fields which furnish the student with sound undergraduate training for entrance into a broad spectrum of occupational and professional fields. In particular, a student wishing to enter one of the helping professions such as social work, community organization, nursing, religious education, or the ministry, will find excellent training in the social studies.
HISTORY
History majors are encouraged to make a diversified selection of courses in their field, with at least two major areas such as United States history and European history represented.
The requirements for a history major are: (a) a minimum of twenty-four semester hours in history, including the survey courses in World History and United States History; (b) Senior Seminar. The survey courses in World History and United States History are prerequisites to all advanced work in history.
History majors who plan to teach must take World History (113, 123), The United States (213, 223), History of Texas (333), six semester hours selected from 313, 323, 423 or 453, and Senior Seminars (492A, 492B) for a total of twenty-five semester hours.
113, 123. World History.
A survey of Western man and his history, with emphasis on intellectual, social and cultural events and currents. The first semester covers the period to 1715. The second semester begins with 1715 and covers the period to the present.
211. Issues and Crises of Today.
This course will examine the major issues confronting the United States and the world today.
213, 223. The United States.
A general survey of American history from its origins to the latest times. The first semester covers the period to 1865; and the second semester brings the survey from the close of the Civil War to the present. This course is required for certification to teach in the public schools of Texas.
313. Colonial America.
The establishment and early development of English institutions in the mainland colonies.
313A. American Economic History.
A review of economic resources, economic causation as a determinant of American history from the Revolution to the present. (Offered also as Economics 313)
323. Civil War and Reconstruction.
A detailed investigation of the causes, events, and results of the War between the States.
333. History of Texas.
A survey course from the period of exploration and early colonization to the present. Includes the struggle for independence, the Civil War in Texas and growth of the state into an industrialized, urbanized society. Stresses social and political factors.
343. The Ancient World.
An intensive study of the ancient civilization of the Near East, Greece, and Rome.
343A. Philosophy of History.
An examination of the aims of historical inquiry and the nature and limits of our knowledge of the past. Attention is given to the varied patterns of meaning attributed to history, culminating in an attempt to outline an adequate interpretation of history compatible with the Christian world view. (Offered also as Philosophy 343)
353, 363. History of England.
A course dealing with the origins of Britain and its institutions. The dividing point for the two semesters is 1715.
373. History of Russia.
A survey of the origin and development of Russia from the earliest days to the present, stressing the Communist period.
413. American Social and Intellectual Thought, Since 1865.
Includes the main aspects of modern American thought (political, economic, social, religious, aesthetic, and scientific) and their influence upon national institutions.
423. History of the American Frontier.
A study of the American frontier from the Atlantic shore to the Pacific Ocean with emphasis on the significant role of the frontier in the development of American ideals and institutions.
433. United States Foreign Policy.
A survey of the foundations of foreign policy and the major diplomatic developments from the colonial period to the present.
443. Contemporary Asia.
A survey of conditions and historic changes on the continent of Asia and in adjacent insular states since World War II.
453. History of Modern Europe.
An advanced survey of Europe from the French Revolution and Napoleonic period to the present.
492A, 492B. Senior Seminar.
Historiographical study and readings on topics of individual interest and the preparation of a properly researched paper of an original nature. Prerequisite: See Item 6 on Page 33.
POLITICAL SCIENCE
The political science curriculum provides a systematized course of study of the origin, basis, and nature of the state in its many and varied aspects. These include principles, organization, and structure of political institutions, both domestic and foreign; the processes and functioning of government; interrelationships between the political institution on various levels of government; political behavior; the control of government instrumentalities and the means for holding its agents responsible; and the identification and analysis of public problems falling within the range of government. The courses offered in political science provide a basic general knowledge of the field, as well as more extensive and intensive training in the specialized areas of political science. These courses help to prepare students for a variety of occupations in the fields of government work, public administration, education, and law.
A major in political science must include: Introduction to Political Science (113), American Political Thought (223) or American Politics (233), American and Texas Government (313), The Legislative Process (373), American Foreign Policy (443), nine semester hours of advanced courses and Senior Seminars (492A, 492B). A required related course is United States History (213, 223), six semester hours.
To be eligible for a certificate to teach government in the secondary schools a student must complete Introduction to Political Science (113), American Political Thought (223), American Politics (233), American and Texas Government (313), The Legislative Process (373), Constitutional Law (413), Senior Seminars (492A, 492B), and three semester hours selected from 323, 383, 443, or 453.
Six semester hours of mathematics are required for political science majors. This requirement can be met by: (a) obtaining advanced standing in Mathematics 113 and taking Mathematics 213, or (b) taking both Mathematics 113 and 213.
113. Introduction to Political Science.
An introduction to the major concepts, fundamental principles, major institutions, and the ends of government. Emphasis will be placed on a comparative study of governmental processes as the United States political system relates to Communist states, Western states, and New Emergent states. Required for all political science majors.
223. American Political Thought.
An analysis of the chief American political theories from the colonial period to the present.
233. American Politics.
An analysis of the techniques and development of political parties with their relationship to pressure groups, public opinion, and the regulatory agencies of government.
313. American and Texas Government.
A survey of the structure and operation of the National and Texas governments. This course is required for certification to teach in the public schools of Texas.
323. Urban Government.
A study of the basic structures of urban governments. Analysis of metropolitan problems with consideration given to efforts to solve these problems.
333. History of Political Thought.
A survey from Plato through Machiavelli with political doctrines of the present day receiving primary emphasis. Communism, Democracy, Fascism, Nazism, and Socialism will be studied.
353. Contemporary Political Thought.
A study of the major political doctrines of the present day, with primary emphasis upon Marxism, fascism, and the doctrines of the modern democratic state.
363. Comparative Government.
A comparative study of the political processes and institutions of different political systems, with attention given to party politics, parliamentary institutions and the executive. Consideration will be given to European governments along with significant non-European governments.
373. The Legislative Process.
Organizational structure and procedures of state and national legislative branches. Special attention focused on the drafting, source, and methods of influencing the legislative process.
383. The Chief Executive.
A comparative study of the origin and background of the Presidency and Governorship with special attention to qualifications, nominations and elections, succession and removal, the organization of the executive branch, and the powers and functions of the President and Governor.
413, 423. Constitutional Law.
A study of judicial review, the political role of the courts, American federalism, the jurisdiction of and limitations on the judicial branch, the power of taxation, the commerce power, the substantive and procedural rights of the individual, and the powers of the President.
443. American Foreign Policy.
An investigation of the means and methods by which American foreign policy is formulated and executed with an analysis of the most significant challenges confronting the United States. Emphasis will be placed on the Post World War II era.
453. International Relations.
A survey of contemporary international political conditions. Along with the analysis of the forces and pressures behind contemporary events, the principles, origin, and development of international law and international organizations will be given consideration.
481-483. Individual Study Program.
Directed study of a minimum of thirty clock hours for each hour of credit. Topics and projects are selected on the basis of student interest and need. Open to political science majors only. Prerequisite: Permission of the instructor and the division chairman.
492A, 492B. Senior Seminar.
Primary emphasis will be placed upon a research paper in an area of political science of interest to the student. Attention will also be given to the methods and mechanics of research in political science. Prerequisite: See Item 6 on Page 33.
SOCIOLOGY
Basically, sociology is concerned with human behavior in groups. The main objective is to offer students the opportunity of learning about the nature of group life. Specifically, the curriculum is designed to prepare students for graduate studies, for teaching in the public schools, and for an increasing number of other vocational opportunities. Besides these, the study of sociology is intended to enable students to become effective members in their society, community, and family.
The minimum number of semester hours required for a major in sociology is twenty-four. Sociology 113, 323, 333, 492A, and 492B are required and the remaining eleven hours may be elected from upper level courses in sociology. Students planning to attend graduate school in sociology should take two additional courses in this field.
The requirements for a major in sociology for elementary school teaching are Principles of Sociology (113), Marriage and the Family (313), History of Sociological Thought (323), Social Psychology (333), Senior Seminars 492A, 492B, and three advanced courses selected from 223, 343, 363, 413, or 423 for a total of twenty-five semester hours.
Six hours of mathematics are required for sociology majors. This requirement can be met by: (a) obtaining advanced standing in Mathematics 113 and taking Mathematics 213, or (b) taking both Mathematics 113 and 213. Recommended electives in related areas are Political Science 333, Psychology 363, History 413, and Economics 423.
113. Principles of Sociology.
A study of the nature of social relations, social institutions, and social processes, and of the products of these relationships. The nature of culture, communication, socialization, mobility, social control and other sociological concepts are considered.
213. Contemporary Social Problems.
The impact of technological change, social change, and mobility in western society examined. Conflicts concerning social values and social disorganization are studied as these apply to a variety of familial, economic, religious, and other interpersonal situations.
223. The Community.
Treats the generic characteristics found in both large and small communities. The community is viewed as a social system made up of human relationships organized around basic social institutions.
313. Marriage and the Family.
A consideration of factors in self-understanding and interpersonal relations. Mate selection, changing roles of men and women, and problems of marital adjustment are discussed. Socialization of children and problems of parenthood are considered.
323. History of Sociological Thought.
A study of the development of social thought, including a critical analysis of theories of leading social thinkers.
333. Social Psychology.
Contemporary approaches to social behavior are considered. The role of language and culture in changing the physiological organism into a socialized human being are analyzed. (Offered also as Psychology 333)
343. Crime and Correction.
An examination of individual and social dynamics in criminal behavior. Psychological and sociological theories of crime. Problems in the prevention and control of crime.
363. Human Relations.
Group dynamics, leadership, social conflict and communication are studied. Development of skills in recognizing and understanding group processes; including opportunities to better understand one's own strengths and weaknesses in class interaction.
383. Social Stratification.
An analysis of social class and caste systems, measures of status, social mobility, and institutional, ethnic, and personality correlates of social stratification.
413. Cultural Anthropology.
The development and major aspects of culture, economic, religious, and social, and their interrelations; culture patterns, and cultural change. Prerequisite: Permission of the instructor.
423. Counseling.
A critical analysis of the approaches, techniques, and tools of counseling of the major schools. Religious and secular orientations will be examined with reference to their concepts of personality, neurosis, and therapy. The client-centered approach will be studied.
in depth. Open to majors in sociology and psychology. Prerequisite: Permission of the instructor. (Offered also as Psychology 423)
433. Sociology of Religion.
An analysis of the role and functions of religion in human societies, types of religious organizations, and the relation between religion and other social institutions. The role of Christianity in American society will be emphasized. (Offered also as Christianity 433)
481-483. Individual Study Program.
Directed study of a minimum of thirty clock hours for each hour of credit. Topics and projects are selected on the basis of student interest and need. Open to sociology majors only. Prerequisite: Permission of the instructor and the division chairman.
492A, 492B. Senior Seminar.
An introduction to the techniques of sociological research and their application through selected research projects. Prerequisite: See Item 6 on Page 33.
RELATED COURSE
303. Social Studies in the Elementary School.
A course designed to clarify the objectives, materials and procedures in social studies instruction. The construction of teaching units and demonstration experience in using social studies as the teaching subject.
BOARD OF TRUSTEES
OFFICERS
Mr. Stewart Morris, Attorney ........................................... Chairman
Stewart Title Company .................................................. Houston
Mr. Cecil N. Cook, Attorney ........................................... Vice-Chairman
Butler, Binion, Rice, Cook & Knapp ................................. Houston
Mr. R. Allison Parker, President .................................... Treasurer
Al Parker Buick Co. ..................................................... Houston
Dr. Bill G. West, Pastor ............................................... Secretary
River Oaks Baptist Church ............................................. Houston
TERMS EXPIRE IN 1968
Mr. W. Stewart Boyle, Chairman of the Board
Texota Oil Company, and Investments ............................... Houston
Rev. John Click, Pastor
Richmond Plaza Baptist Church ...................................... Bellaire
Mr. George Duncan
Rice Farmer .................................................................. Alvin
Rev. Cliff Herrington, Pastor
First Baptist Church ....................................................... Conroe
Mr. Howard C. Lee, President
Commercial Title Company .............................................. Houston
Mr. C. G. Glasscock, Jr.
Rancher ........................................................................ Columbus
Dr. Bill G. West, Pastor
River Oaks Baptist Church .............................................. Houston
TERMS EXPIRE IN 1969
Mr. Otis H. Brigman, President
Warrior Constructors, Inc. .............................................. Houston
Mr. Cecil N. Cook, Attorney
Butler, Binion, Rice, Cook & Knapp ................................. Houston
Mr. Roy Dolen, President
Dolen Mechanical Contractors, Inc. ................................. Houston
Mr. R. Allison Parker, President
Al Parker Buick Company .............................................. Houston
Dr. L. D. Morgan, Pastor
First Baptist Church ....................................................... Pasadena
Mr. Stewart Morris, Attorney
Stewart Title Company ................................................... Houston
Dr. Browning Ware, Pastor
Calder Baptist Church ..................................................... Beaumont
TERMS EXPIRE IN 1970
Mr. J. B. Belin, Jr., President
Statewide Lumber Co. ........................................ Houston
Rev. Grayson Glass, Pastor
First Baptist Church ........................................ Galveston
Mr. Curtis Hankamer
Independent Oil Operator .................................. Houston
Mr. W. O. Meneffee, Jr., President
Homcare, Inc. ................................................ Houston
Mrs. R. Thomas McDermott
............................................................... Houston
Mr. Gilbert Turner, President
Boring and Tunneling Company of America, Inc. ........ Houston
Rev. Barney Walker, Pastor
Garden Oaks Baptist Church ............................... Houston
ADMINISTRATIVE OFFICERS
W. H. HINTON .................................................. President
B.A., Howard Payne College; M.A., Hardin-Simmons University;
Ed.D., University of Texas. (1962)
H. B. SMITH ........................................... Vice-President for Academic Affairs
A.B., Georgetown College; M.A., University of Cincinnati; Ed.D.,
University of Cincinnati. (1962)
TROY A. WOMACK ................................. Vice-President for Financial Affairs
B.B.A., Baylor University; M.A., University of Kentucky; C.P.A.,
Texas. (1962)
ROSS E. DILLON ................................. Vice-President for Development
B.A., Howard College; Ph.D., Southern Baptist Theological Semi-
nary. (1960)
RAY V. MAYFIELD, JR. ........ Assistant to the President for Development
B.A., Baylor University; B.D., Southwestern Baptist Theological
Seminary; M.Ed., University of Houston. (1963)
DEWAYNE YOUNG ........................................ Controller
B.B.A., University of Texas; C.P.A., Texas. (1967)
CHAIRMEN OF DIVISIONS OF INSTRUCTION
SAM W. DAVIS, PH.D. (Acting) ........ Division of Business and Economics
JOYCE WANG FAN, PH.D. ........ Division of Science and Mathematics
R. PAUL GREEN, M.C.M. ......................... Division of Fine Arts
ALMA I. MALONE, ED.D. ........ Division of Education and Psychology
CALVIN HUCKABAY, PH.D. ..................... Division of Languages
A. E. KANNWISCHER, PH.D. .................... Division of Social Studies
GLENDOLA NASH, M.S.N.E. ...................... Division of Nursing
D. D. TIDWELL, TH.D. .......................... Division of Christianity
FACULTY MEMBERS
DOROTHY ALLEN ............... Assistant Librarian and Assistant Professor in Library Science
B.A., University of Tennessee; M.L.S., University of Texas. (1968)
DAVID P. APPLEBY .................. Professor in Music
B.A., University of North Carolina; M.A., B.M., Southern Methodist University; M.S.M., Southwestern Baptist Theological Seminary; Ph.D., Indiana University. (1965)
ELEANOR BEEBE .................. Assistant Professor in French
B.A., Rice University; M.A., Emory University. (1966)
EDWARD S. BILLINGS .............. Assistant Professor in Health and Physical Education and Acting Director of Athletics
B.S., Wayland Baptist College; M.S., Baylor University. (1966)
BARBARA BRIGHTWELL ............. Instructor in Psychology and Associate Dean of Student Life
B.B.A., M.Ed., University of Houston. (1966)
GLEN T. CAIN ........... Professor in Christianity and Systematic Theology
A.B., M.A., Baylor University; B.D., Th.M., Southwestern Baptist Theological Seminary; Ph.D., Duke University. (1963)
JEFFERSON D. CASKEY ............ College Librarian and Associate Professor in Library Science
A.B., Erskine College; M.S., L.S., Syracuse University; M.A., University of Houston. (1962)
TROY W. COLE .................. Assistant Professor in Biology
B.S., M.S., Baylor University. (1967)
A. O. COLLINS .................. Professor in Christianity
B.A., Mississippi College; Th.M., Th.D., Southern Baptist Theological Seminary. (1963)
WILLIAM B. CRITTENDEN ........ Assistant Professor in Education
B.S., Mississippi State University; M.Ed., Mississippi. (1968)
WILLIAM G. DACRES ....... Professor in Biology and Head of the Department
A.B., M.S., University of Tennessee; Ph.D., Rice University. (1963)
SAM WESLEY DAVIS, JR. ........ Professor in Economics and Acting Chairman of the Division of Business and Economics
B.A., M.A., Ph.D., University of Texas. (1965)
DATON A. DODSON ............. Instructor in German and English
B.A., University of Nevada; M.A., University of Texas. (1967)
MARJORIE B. DYER ............ Assistant Professor in Mathematics
B.A., Mary Hardin-Baylor; M.A., University of Texas. (1966)
JOYCE WANG FAN ............. Professor in Chemistry and Chairman of the Division of Science and Mathematics
B.S., Wheaton College; M.S., Ph.D., State University of Iowa. (1963)
Rex R. Fleming .......................... Assistant Professor in Speech
B.S., M.A., University of Houston. (1967)
Opal Goolsby .................. Assistant Professor in English and French
B.A., M.A., East Texas State College. (1963)
Florence M. Gould .................. Instructor in Political Science
B.A., University of Texas; M.A., Duke University. (1968)
R. Paul Green .................. Professor in Choral Music and
Chairman of the Division of Fine Arts
B.M.E., Oklahoma Baptist University; M.C.M., Southwestern Baptist
Theological Seminary. (1963)
Marilyn R. Henson ............ Assistant Professor in Physical Education
B.S., Texas Woman's University; M.A., Sam Houston State College.
(1965)
Wallace K. Hooker .................. Associate Professor in English
B.S., M.A., University of Houston; Ph.D., Texas Christian University.
(1965)
Calvin Huckabay .................. Professor in English and Chairman
of the Division of Languages
B.A., Louisiana College; M.A., Tulane University; Ph.D., Louisiana
State University. (1963)
Anna Ley Ingraham .................. Assistant Professor in Health and
Physical Education
B.S., M.A., Peabody College. (1963)
Ruth E. Jackson .................. Assistant Professor in Music
B.A., Stetson University; M.M., University of Houston. (1967)
A. E. Kannwischer .................. Professor in Sociology and Chairman
of the Division of Social Studies
B.A., University of Rochester; M.A., Columbia University; Ph.D.,
New York University. (1965)
Sidney J. Ladner .................. Assistant Professor in Chemistry
B.S., Ph.D., University of Houston. (1967)
James B. Leavell .................. Associate Professor in Christianity
B.A., Baylor University; Th.M., Th.D., Southern Baptist Theological
Seminary. (1965)
Don W. Looser .................. Assistant Professor in Music
B.M.E., M.M., Baylor University; M.M., Northwestern University.
(1964)
Elsa Jean Looser .................. Assistant Professor in English
A.B., Baylor University; M.A., Vanderbilt University. (1965)
Anita Magafas .................. Assistant Professor in Health and Physical
Education and Director of Student Activities
B.S., Oklahoma Baptist University; M.S., Indiana University. (1966)
ALMA MALONE ............... Professor in Education and Chairman of the Division of Education and Psychology
B.S., Jacksonville State College, M.Ed., Hardin-Simmons University; Ed.D., Peabody College. (1965)
EDWIN D. MARTIN .................. Professor in Education
A.B., Abilene Christian College; M.S., Texas A&M University; Ed.D., Colorado State College of Education. (1966)
HAROLD B. MARTIN .................. Assistant Professor in History
B.A., M.A., Memphis State University. (1967)
MARIAN A. MOORE .................. Associate Professor in Mathematics
A.B., Greenville College; M.A., University of Illinois; Ph.D., Purdue University. (1967)
GERALD D. MYERS .................. Basketball Coach and Assistant Professor in Physical Education
B.S., M.A., Texas Technological College. (1967)
GLENDOILA NASH .................. Professor in Nurse Education and Chairman of the Division
B.S., Siena College; M.S.N.E., St. Louis University; R.N. (1968)
CARRIE L. PALMER .................. Instructor in Biology
B.A., Baylor University. (1968)
ROBERT L. PARKER .................. Professor in Music
B.A., Baylor University; M.M., Ph.D., University of Texas. (1963)
ELYSEE H. PEAVY .................. Assistant Professor in English
B.A., Newcomb College; M.A., Tulane University. (1967)
CECIL J. PICKETT .................. Assistant Professor in Drama
B.A., M.F.A., University of Oklahoma. (1968)
JERRY D. REYNOLDS .................. Assistant Professor in Speech
B.A., Hardin-Simmons University; M.A., Baylor University; Ph.D., Ohio State University. (1966)
LONNIE RICHARDS .................. Instructor in Physical Education, Baseball Coach, and Assistant Basketball Coach
B.S., Sam Houston State College. (1968)
JERRY W. ROBINSON, JR. .......... Assistant Professor in Sociology
B.A., Mississippi College; M.A., Ph.D., Mississippi State University. (1966)
FRANCES G. RODGERS .............. Instructor in Music
B.M., Mississippi College. (1968)
CYNTHIA A. ROGERS ............... Instructor in Biology
B.S., M.A., Sam Houston State College. (1967)
MARILYN M. SIBLEY .................. Assistant Professor in History
B.A., Sam Houston State College; M.A., University of Houston; Ph.D., Rice University. (1966)
J. Marvin Sipe .......................... Assistant Professor in Accounting
A.B., Ball University; A.M., Ed.D., Indiana University. (1966);
C.P.A., Texas.
Jim C. Smith .......................... Assistant Professor in Music
B.A., Louisiana College; M.C.M., Southwestern Baptist Theological
Seminary. (1968)
Cynthia Stadeager ............ Assistant Professor in French and Spanish
B.A., Sophie Newcomb; M.A., Middlebury College. (1966)
Virginia Babikian Stein .............. Assistant Professor in Music
B.M., M.M., Westminster Choir College. (1965)
Jerry B. Talley ....................... Associate Professor in Drama
A.B., Oklahoma Baptist University; M.A., University of Arkansas;
Ph.D., University of Denver. (1967)
D. D. Tidwell .......................... Professor in Christianity and
Chairman of the Division of Christianity
B.A., Howard Payne College; Th.M., Th.D., Southwestern Baptist
Theological Seminary. (1963)
Norma Jean Tilton ..................... Assistant Professor in Art
B.A., Texas Wesleyan College; M.Ed., North Texas State Univer-
sity. (1966)
Arthur E. Travis ........................ Professor in Christianity
B.A., Hardin-Simmons University; Th.M., Th.D., Southwestern Bap-
tist Theological Seminary. (1963)
Charles Arthur Turner .................. Assistant Professor in Art
B.A., North Texas State University; M.F.A., Cranbrook Academy of
Art (1968)
Doris E. Warren ........................ Instructor in Chemistry
B.S., M.S., Baylor University. (1967)
Betty L. Watson ........................ Associate Professor in French
B.S., B.A., M.A., University of Houston; Ph.D., Rice University.
(1967)
Marion R. Webb ........................ Assistant Professor in Spanish
B.S., Eastern Illinois University; M.A., University of Colorado. (1968)
Molly Stark Wieting .................... Assistant Professor in English
B.A., Lamar State College; M.A., University of Texas. (1966)
James W. Wiley .......................... Instructor in Education
B.A., Southwest Texas State College; M.Ed., Our Lady of the Lake
College. (1967)
Kenneth S. Williams ..................... Assistant Professor in Music
B.S., M.A., Western Reserve University. (1966)
STEPHEN G. WILLIAMS .......................... Assistant Professor in Psychology
B.A., Rice University; M.A., Ph.D., University of Houston. (1966)
JAMES E. WILLIAMSON ......................... Professor in Mathematics and
Head of the Department
B.S., Stephen F. Austin State College; M.A., Texas Technological
College; Ed.D., Colorado State College. (1963)
MARGRIT WULFF ............................... Assistant Professor in German
Teacher's Certificate, Kiel University; M.A., University of Illinois;
Ph.D., University of Texas. (1968)
MARION N. YOUNG ............................. Assistant Professor in English
B.A., Mississippi State College for Women; M.Ed., University of
Houston. (1963)
ROBERT C. YOUNG .............................. Professor in Physics
B.S., M.S., Baylor University; M.A., Ph.D., Rice University. (1964)
LEWIS ZAILER ................................. Assistant Professor in Music
B.A., Rockmont College; M.M., University of Houston. (1965)
STAFF MEMBERS
JUDY BABB . . Secretary to the Vice President for Financial Affairs (1963)
WANDA BLANTON .......................................................... Cashier
B.B.A., North Texas University. (1967)
MILDRED BOONE .................. College Switchboard Operator (1967)
BARBARA BRIGHTWELL ........... Associate Dean of Student Life and
Dean of Women
B.B.A., M.Ed., University of Houston. (1966)
BETTY CALOWAY .................. Secretary, Registrar’s Office (1966)
VIRGINIA CROSNO .................. Secretary, Development Office (1964)
FRANK FISHER .................. Registrar and Acting Dean of Admissions
B.A., Howard Payne College; M.Ed., University of Houston. (1966)
HELEN GANA .......................... Purchasing Clerk (1968)
HORTENSE GATLIN .................. Secretary, Registrar’s Office (1966)
RALPH GIBSON .......................... Dean of Student Life
B.M., Baylor University; M.C.M., Southwestern Baptist Theological
Seminary. (1967)
RUBY GIFFORD .......................... Periodicals Librarian
A.B., Texas Woman’s University. (1964)
DAN GORTON .................. Director of Public Information (1965)
LORENA GOULD .......................... Secretary in the Library (1966)
WANDA GREEN .......................... Secretary to the President (1963)
HENRY GROVER .......................... Associate in Development
B.A., University of St. Thomas; M.A., University of Houston. (1967)
CHRISTA HARNED .......................... Circulation Librarian
B.S., Oklahoma College for Women; M.S., Oklahoma A&M College.
(1966)
SUE HART .................. Secretary to the Director of Public Information (1965)
FAE JENKINS .......................... Women’s Dormitory Director (1965)
RUSSELL JENKINS .......................... Assistant Controller
B.B.A., Southwest Texas State University. (1967)
LOIS LOGAN .......................... Secretary, Secretarial Pool (1968)
EMILY LONGBOTTOM .................. Women’s Dormitory Director (1966)
LINDA LOVEJOY .......................... Cafeteria Manager
A.A., Oklahoma City University. (1967)
ANITA MAGAFAS .......................... Director of Student Activities
B.S., Oklahoma Baptist University; M.S., Indiana University. (1966)
CAROL MARTIN, R.N. ......................... College Nurse
ALTA LEE PARRACK .................... Women's Dormitory Director (1966)
JUDY PENNEY ............................... Secretary, Secretarial Pool (1968)
KATHLEEN STROM .......................... Payroll Accountant (1964)
DOROTHY SURRETT ........................ Bookstore Manager (1963)
MARIE WETZEL ............................. Secretary to the Vice President for Academic Affairs (1962)
NADA WILKINS ............................. Secretary to the Assistant to the President for Development (1964)
J. W. YOUNGBLOOD ....... Superintendent of Buildings and Grounds (1963)
| Topic | Page |
|--------------------------------------------|------|
| Academic Load | 25 |
| Academic Policies | 21 |
| Academic Program | 29 |
| Accounting | 63 |
| Accreditation | 30 |
| Administrative Officers | 96 |
| Admissions | 14 |
| Advanced Standing | 27 |
| Art | 36 |
| Athletic Program | 13 |
| Attendance Regulations | 23 |
| Bible Courses | |
| (See “Christianity”) | 71 |
| Biology | 56 |
| Bookstore | |
| (See “Student Center”) | 10 |
| Cafeteria | |
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| Calendar | 2 |
| Calendar, College | 3 |
| Campus Life | 10 |
| Campus Plan | 8 |
| Campus Plan, Map of | 9 |
| Chemistry | 58 |
| Christianity | 71 |
| Classification of Students | 21 |
| Counseling and Guidance | 25 |
| Course Numbers | 21 |
| Courses Offered | 35 |
| Curriculum Plan | 31 |
| Curriculum Plan, Chart of | 32 |
| Dean’s List | 26 |
| Degree, Application for | 28 |
| Degree Requirements | 33 |
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| Divisions of Instruction | 35 |
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| Dormitories | 18 |
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| Education | 76 |
| English | 48 |
| Ensembles | 46 |
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| German | 52 |
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| History | 87 |
| History and Purpose | 5 |
| Honor Roll | 26 |
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| Majors and Minors | 26 |
| Management | 66 |
| Marketing | 69 |
| Mathematics | 59 |
| Military Service Credit | 27 |
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| Music, Applied | 44 |
| Music Education | 43 |
| Nursing Program | 84 |
| Official Summons | 25 |
| Payment of Accounts | 18 |
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| Physics | 61 |
| Political Science | 89 |
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| Registration | 24 |
| Residence Life | 11 |
| Scholarships | 19 |
| Scholastic Standing | 22 |
| Sociology | 91 |
| Spanish | 53 |
| Speech | 54 |
| Staff Members | 101 |
| Student Aid | 19 |
| Student Center | 10 |
| Student Government | 10 |
| Student Organizations | 10 |
| Theory | 41 |
| Transcripts | 28 |
| Transfer Credit | 27 |
| Transportation | 13 |
| Trustees, Board of | 94 |
| Tuition Deposit | 15 |
| Tuition and Fees | 18 |
| Withdrawal Procedure | 24 |
ADMISSIONS COUNSELORS DEPARTMENT
RICHARD A. WRIGHT ...........................................Director
TOMMY L. AUSTIN .............................................Counselor
CHARLES G. MCKELVEY .......................................Counselor
KENNETH W. ROGERS .........................................Counselor
LUCILLE COMPTON ............................................Secretary
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Access to Genetic Resources and Sharing the Benefits of Their Use in Canada: Opportunities for a New Policy Direction
Discussion Paper
# Table of Contents
- What Are Genetic Resources? ................................................................. 2
- Possible Uses of Genetic Resources .................................................. 2
- What is Access and Benefit Sharing? ................................................... 3
- How ABS Could Work – Example 1 ....................................................... 3
- How ABS Could Work – Example 2 ....................................................... 4
- How ABS Could Work – Example 3 ....................................................... 4
- More Information .............................................................................. 6
- Purpose of this Paper ........................................................................ 7
- How To Submit Your Views ................................................................. 7
- Why ABS is Important to Canada ....................................................... 7
- How We Manage Our Genetic Resources Now .................................. 8
- Current Activities and Next Steps ....................................................... 8
- Process ............................................................................................. 9
- Glossary and Key Concepts ............................................................... 10
- Issue 1 – Developing ABS Policy in Canada ....................................... 11
- Issue 2 – Implementing ABS Policy in Canada .................................... 13
- Issue 3 – Traditional Knowledge Associated with Genetic Resources .... 15
- Incorporating your Responses into the Decision Making Process ........ 18
- How To Submit your Views ................................................................. 18
What Are Genetic Resources?
Most people know about natural, biological resources like the timber we get from trees or the grain we get from crops. A lot of people are unaware of another kind of valuable resource we get from the natural world, genetic resources. Genetic resources are described as any plant, animal, or microbial material that contains functioning genes that could be of actual or potential value. Genetic resources can be found in nature or in collections, botanical gardens, etc. One way to think about a genetic resource is that it is different than a biological resource because of the way you use it. If you use the genes then you are using a genetic resource.
Possible uses of genetic resources.
1) **Genetic modification**
- Development of new varieties of organisms
- Transfer of a gene for pesticide resistance from one organism into another;
- Genetic modification of a micro-organism to produce enzymes or biofuels;
2) **Biosynthesis**
- Use of genetic material as a "factory" to produce organic compounds, such as:
- Antibodies; Vitamins; Hormones; Enzymes; or drugs
3) **Breeding and selection**
- Creating new varieties, breeds, or strains of plants or animals
4) **Growing and cultivating the genetic resource in the form received**
5) **Conservation**
- Preserving organisms for conservation of genetic diversity, genetic resources or reintroduction purposes
- Captive breeding programmes.
- Deposition in seedbanks, genebanks, culture collections, botanical gardens, zoos, and aquaria etc.
6) **Characterization and evaluation**
- Characterising plants, animals and micro-organisms for ecological and other studies and purposes
- Collections of reference specimens in museums and herbaria
7) **Production of naturally occurring compounds**
- Screening and extraction of metabolites from genetic material
- Chemical synthesis of metabolites occurring in genetic material
Research using genetic resources gives rise to a range of benefits, such as increased knowledge of our plants, animals and other organisms and a better understanding of how to use and conserve our biological diversity. In some instances, research on genetic resources also gives rise to important economic and social benefits – for example, in the breeding of crop plants to face new environmental challenges or the development of new drugs and medicines. It is important to understand that the benefits which come from
the use of genetic resources are broad, and can include monetary payments as well as non-monetary benefits such as sharing new knowledge, scientific research and technologies.
**What is Access and Benefit Sharing (ABS)?**
‘Access’ means how someone gets to use a genetic resource that they do not own, for example a scientist seeking the permission of a government department to collect samples on Crown Land. In this case, the scientist is gaining access to a genetic resource by getting permission from the Crown to collect samples from their land.
Benefit sharing means how, if a genetic resource is used as described above, the provider and the user of the genetic resource share the benefits arising from the use of the genetic resource. For instance, in the example mentioned above, if the scientist finds that a plant they accessed is rare, or produces a good chemical product, then there are benefits in knowing more about the plant, or from the production and sale of the chemical.
A third part in Access and Benefit Sharing is referred to as mutually agreed terms. This means that the person who gives permission to access, and the person who wants permission to collect must both agree to the “terms” under which collection can take place as well as agreeing to the terms for sharing benefits from any research done with the genetic resource. The government department responsible might agree that there is benefit in increased scientific knowledge about a particular plant. In this case the benefit from the use of the genetic resource (increased scientific knowledge of a particular plant) is shared through the publication of the scientist’s research, and the increased knowledge which comes from it. The boxes below provide some examples of how this could work.
**How ABS could work:**
**Example 1**
A researcher for a drug company wants to collect some microorganisms from a hot spring on federal Crown Land to see if those microorganisms might be a source of a new medicine.
The researcher contacts the government department that manages the land to seek permission to access the genetic resource (i.e. microorganism samples).
The researcher and the federal government department in charge of the land come to an agreement on what the genetic resource is to be used for, how the sampling is to be conducted, and how the benefits which could come from this research (for example, a new medicine) could be shared.
There could be a number of ways in which this happens – the generation of new knowledge, the development of new medicines to help cure illnesses, or, in some cases, an agreement to share some of the economic benefits which could come from commercializing a new medicine.
In this example, the *access* happens when the Federal government allows the researcher access to the GR, and the *benefit sharing* happens through the agreement between the researcher and the federal government to share the benefits from the use of that GR.
Example 2:
A researcher wants to study a particular plant which grows in the Canadian north. The researcher believes that knowing more about the genetic properties of this plant will help us to come up with better ways to protect that plant.
The researcher contacts the government ministry responsible for granting access to that land. The researcher and the government department agree that the researcher can collect a certain amount of the plant. They also agree on how that genetic resource can be used (i.e. for research purposes). The researcher and the government department agree that the benefits from this research will be that knowing more about this plant will help to come up with a better way to protect that plant and that the researcher will provide their findings to the government department to help in their conservation efforts.
In this scenario, the *access* happens when the researcher is granted permission by the government department to collect samples of the plant. The *benefit* which arises from the use of that genetic resource (i.e. the genes of the plant) is the information which helps the government department in better understanding how they can protect that plant. The *sharing of the benefits* happens when the researcher and the government mutually agree that the researcher will provide their research findings to the government department.
Example 3:
A researcher from a chemical company thinks that they might be able to develop a new kind of glue from enzymes produced by a certain kind of clam which grows in Canadian waters. They think that this new kind of glue could be turned into a commercial product which would benefit their company.
The researcher gets permission to access the genetic resource (the clam’s enzyme) from the government department responsible for the waters in which the clam is found. The researcher and the government department agree on what the benefits which could come out of this access would be, and how they would be shared. For instance, they could agree that if the glue that the researcher develops does become a commercial product, the company would share a small part of this economic benefit with the government department which provided access to the genetic resource.
In this scenario the *access* happens when the researcher gets permission to access the clam they want to get an enzyme from. The *benefit sharing* happens when the two parties develop mutually agreed terms on how the benefits from the use of that genetic resource could be shared – in this case, it could be through a small monetary payment if a commercial product is developed based on the genetic resource.
Frequently, the economic and social benefits of research using genetic resources (for instance in the development of new medicines) can only be realized through cooperation between providers and users of genetic resources. In light of this, the Convention on Biological Diversity calls for countries to establish conditions to facilitate access to genetic resources, to ensure that it is based on the informed consent of the provider country before access takes place, and that access is granted on terms mutually agreed by the
provider and the user countries. Policies which deal with access to genetic resources and the sharing of the benefits which arise from their use are usually called access and benefit sharing policies, or ABS.
In 2002, the Convention on Biological Diversity adopted the *Bonn Guidelines on Access to Genetic Resources and Fair and Equitable Sharing of the Benefits Arising out of their Utilization*, as voluntary guidance to countries in developing their domestic Access and Benefit Sharing policies. The *Bonn Guidelines* also introduced a direct link between genetic resources and the traditional knowledge of Aboriginal and local communities which is related to those genetic resources.
Many countries, such as Australia, South Africa and India have established domestic policies on access to genetic resources and sharing benefits arising from their use, and many others are in the process of developing their domestic policies. More than 100 countries have ratified the *International Treaty on Plant Genetic Resources for Food and Agriculture*, which includes an ABS regime for specified genetic resources for food and agricultural uses. In addition there is ongoing work under the Convention on Biological Diversity to develop an international regime on Access to Genetic Resources and Benefit Sharing for Genetic Resources by 2010.
More information
The links below will provide more information on ABS in general, including information on how some other countries have approached the issue. These links are provided for information purposes only.
Convention on Biological Diversity, information on ABS:
http://www.cbd.int/abs
Bonn Guidelines on Access to Genetic Resources and Fair and Equitable Sharing of the Benefits Arising out of their Utilization (the Bonn Guidelines):
http://www.cbd.int/abs/bonn.shtml
International Treaty on Plant Genetic Resources for Food and Agriculture:
http://www.planttreaty.org/
Quebec Department of Environment:
http://www.mddep.gouv.qc.ca/biodiversite/APA/index.htm (in French)
Canadian ABS Portal:
http://www.ec.gc.ca/apa-abs/
ABS in other countries:
Australia :
http://www.environment.gov.au/biodiversity/science/access/index.html
Australian State of Tasmania :
http://www.dpiw.tas.gov.au/inter.nsf/WebPages/HBAW-7NH76A?open
European Community:
http://abs.cea.europa.eu/
New Zealand:
http://www.med.govt.nz/templates/StandardSummary____46.aspx
United Kingdom:
http://www.defra.gov.uk/science/geneticresources/
Sweden:
http://www.biodiv.se/eng/abs/
Purpose of this paper:
We want to hear your views on how Canada should best promote access to genetic resources in Canada and the fair and equitable sharing of the benefits gained from their use. This is the first step in a process of seeking your views, and should not be considered a formal consultation.
HOW TO SUBMIT YOUR VIEWS
Feedback is essential to this process. We want to hear the views of you and your organization on the options and ideas presented in this document either online, by fax or by traditional mail.
Online:
Use the form provided at http://www.ec.gc.ca/apa-abs/developpement-development/sondage_survey.cfm?lang=eng to provide your views.
Fax or Traditional Mail:
You may prefer to send your response by fax or traditional mail. If so, you can download the form and provide written responses to the questions, and/or your general comments. Please complete, and mail to:
Access and Benefit-Sharing
Environment Canada
Ecosystems and Biodiversity Priorities
Place-Vincent-Massey, 12th Floor
351 Blvd. St-Joseph
Gatineau, Qc.
K1A 0H3
Fax: (819) 953-1765
Email: firstname.lastname@example.org
Why ABS is important for Canada:
Many Canadians are unaware that our country is a source of genetic resources that have potential or real value - especially from the boreal forests and extreme environments such as the deep sea, hot springs and the Arctic. Canada is also the source of new genetic resources generated by Canadian science and technology. Canadians (such as researchers at Canadian universities) use genetic resources from both Canada and from other countries in their research and as an input for product innovation.
How we manage access to Canadian genetic resources and the sharing of the benefits arising from their use is a challenge that touches on important goals of Canadians – conserving biodiversity, increasing our scientific knowledge, as well as supporting research and innovation in biodiversity and biotechnology. It also touches on some of our most important economic sectors – such as agriculture, forestry, fishing, biotechnology, and health care. The development of international and domestic ABS policies will be of interest to people and groups in regions across Canada, from a number of sectors. For example, scientists
from Canada and other countries have already started to ask how they can gain access to genetic resources in diverse Canadian environments such as the Arctic and hot springs.
**How we manage our genetic resources now:**
There are currently some practices, laws and regulations in place that affect access to genetic resources and the arrangements for sharing benefits resulting from the use of those genetic resources. For example:
- access to and collection of biological resources in national parks and other protected areas are often governed by permitting systems;
- sometimes there is a contractual agreement between a scientist and a landowner for collection of specimens on the landowner’s property, or
- agreements to transfer material between academic institutions, researchers and private business
At this time, various industry sectors also have policies or practices in place that address elements of an access and benefit sharing regime, and in those cases ABS is mostly governed by the policies and practices of the institutions directly involved or by day-to-day practices. In addition the legally binding *International Treaty on Plant Genetic Resources for Food and Agriculture*, developed by national governments at the United Nations Food and Agriculture Organization governs ABS in some segments of Canada’s food and agricultural sector.
Between 2004 and 2006, the federal government held a series of workshops on ABS involving several groups in different regions of the country. Workshops were held with governments, Aboriginal and local communities in the North; representatives from the science and technology sectors; and stakeholders in the forestry and agriculture sectors. Reports from these workshops can be found in the Canadian ABS Portal ([http://www.ec.gc.ca/apa-abs/documents/default.cfm?lang=eng](http://www.ec.gc.ca/apa-abs/documents/default.cfm?lang=eng)).
In 2005, federal, provincial and territorial governments agreed on the following policy objectives and core principles to guide Canadian approaches to managing genetic resources. These principles are:
- **Environment-focused** - contributing to the conservation and sustainable use of biodiversity;
- **Practical and Economically Supportive** - generating and sharing economic benefits of the utilization of genetic resources among both providers and users as a means of contributing to sustainable development;
- **Simple, Efficient and Adaptable** - taking into account different sectors and allowing for different approaches in different jurisdictions;
- **Supportive of current governmental policies**, and building on and respecting Canada’s existing international commitments;
- **Balanced, equitable and transparent** - balancing responsibilities between users and providers of genetic resources in a manner that is clear and whose rationale makes sense to all concerned; and
- **Inclusive**, developed and implemented with the appropriate involvement of Aboriginal groups and communities.
**Current activities and next steps:**
Canadian federal, provincial and territorial governments are currently considering how they can work together to realize the important benefits that genetic resources hold, and how the benefits from the use of genetic resources could be shared fairly and equitably. An additional consideration is how ABS policy in Canada could accommodate the traditional knowledge associated with genetic resources held by
Aboriginal and local communities, which can advance the understanding of their properties, uses and importance.
In 2008, a Federal/Provincial/Territorial Task Group was established to examine the issue of ABS policy in Canada and to develop options for consideration by Canadians. The Task Group is being led by Environment Canada, with guidance from the Canadian Council of Resource Ministers.
Even though the process is still at an early stage, federal, provincial and territorial governments recognize that the views of Canadians on how to address access to Canadian genetic resources, how to share the benefits arising from their use, what sort of policy should be developed, and how such a policy would affect them are central to any decision on ABS policy in Canada.
This Discussion Paper identifies a range of options for ABS policy in Canada, and how policy might be implemented. Before beginning the process of identifying how ABS policy in Canada should proceed, we need your views on these options for ABS policy in Canada but also on any other options you think need to be considered. This is a very important part of the process, as the views heard from Canadians at this stage will assist in the development of a recommended policy option for the consideration of Ministers.
**Process:**
We will seek the views of Canadians in two ways:
- **Web and mail based process:** We are inviting comments from any Canadian individuals and organizations interested in the future of how Canada manages access to and benefit sharing from the use of its genetic resources through a web site hosted by Environment Canada (see the information provided on page 7 for more information to see how you can participate). We expect to hear from Aboriginal peoples, academic researchers and scientists, representatives from industries that rely on biological and genetic resources for example biotechnology, forestry, agriculture, pharmaceutical, fisheries and aquaculture, as well as representatives from community groups and other non-governmental organizations (NGOs).
- **Face to face process:** We will hold a workshop with some stakeholders to explore the issues in more detail. In addition, we will also hold a series of in-person meetings with representatives of national and regional Aboriginal organizations across the country and with Aboriginal peoples party to comprehensive land claims agreements and/or self-government agreements.
To help with your feedback on an ABS policy in Canada three broad questions are posed:
- *What should the approach be to ABS policy in Canada?*
- *What are the choices for implementing ABS policy in Canada?*
- *Should traditional knowledge associated with genetic resources be addressed within ABS policy in Canada? If so, how should it be addressed?*
Glossary and Key Concepts
The following terms are ones which appear throughout the text. The descriptions provided here are meant to provide a quick, general reference guide as to what these mean in the context of ABS policy in Canada, and do not necessarily represent formal, legal definitions of these terms.
Core elements:
The elements of an ABS policy which would be common across all the different possible approaches – prior informed consent – PIC - and mutually agreed terms (including benefit sharing agreements/arrangements) - MAT.
Facilitated access:
Expresses the concept that any ABS system that is developed should be designed in a way that makes the rules for accessing genetic resources as clear and simple as possible, and that avoids placing too much of a burden on those seeking access.
Genetic Resources:
Genetic material of actual or potential value, which includes any material of plant, animal, microbial or other origin containing functional units of heredity. Genetic resources contain genes that can be inherited or moved into other organisms, such as plants, animals, fungi, viruses and bacteria.
Mutually Agreed Terms including benefit sharing agreements or arrangements (MAT)
Terms, approved by the provider and the user of genetic resources, which lay out how the access to the genetic resource can take place, and how the benefits which may result from the use of genetic resources are shared. For example, mutually agreed terms may include, among other things, the type and quantity of genetic resources which can be collected, or limitations on the possible use of the material (e.g. for research purposes only). Benefits can be broad and multi-layered, and include monetary payments as well as non-monetary benefits such as sharing new knowledge and technologies.
Prior Informed Consent (PIC)
Measures to ensure that both the provider and the user know what is being accessed and why before consent to access is given, and before that access takes place.
Traditional Knowledge Associated with genetic resources
The knowledge, innovations and practices of Aboriginal communities that are associated with the use of genetic resources, which are held in common, in confidence and are not in the public domain.
Issue 1: Developing ABS Policy in Canada
Question: What should the approach be to ABS policy in Canada?
Any ABS policy in Canada must take into account the sharing of powers under Canada’s Constitution for the use of lands and their natural resources. In general:
- The federal government has authority over the genetic resources found on federal crown lands and waters, or in federal government possession off site (e.g. plant material held in a federal plant research centre).
- Provinces and territories have authority over public lands within their area of authority (or jurisdiction) and associated natural resources, including genetic resources. They are also responsible for most kinds of property law, including laws governing access to privately-owned lands.
- In certain cases, those Aboriginal peoples party to self-government agreements and comprehensive land claim agreements may have authority in those agreements over the granting of access to lands and resources under their jurisdiction. Aboriginal groups may also have rights that can be exercised on Crown lands.
Adding to this complexity is the fact that provinces and territories face very real differences in terms of their economic sectors, resource management legislation and land ownership patterns. For example, in many parts of the country private land accounts for less than 10% of the total area of a province or territory while the level is 50% or more in some Atlantic provinces. The constitutional framework of Canada also recognizes and affirms existing Aboriginal and treaty rights pursuant to section 35 of the *Constitution Act*, 1982.
All of these constitutional, legislative, social, cultural and economic factors which shape the various jurisdictions in Canada must be addressed when developing effective ABS policy in Canada.
**Possible Approaches**
The Task Group identified three possible ways that ABS policy in Canada could be approached:
**Option 1. Nationally consistent approach**
Under this approach, federal, provincial and territorial governments would work together to develop a national ABS policy based on common principles and core elements. Jurisdictions would tailor implementation to address their own circumstances, but would try to ensure consistency among their approaches wherever possible. Those sectors that have already developed and are practicing their own ABS systems would be able to maintain their existing practices under the national approach, provided they meet the core principles agreed to by the jurisdictions.
It has been suggested that this approach could help build common approaches to the core elements (see Glossary) of ABS policy in Canada. In cases where genetic resources are shared across jurisdictions, it could discourage users from seeking to access genetic resources within a jurisdiction where the policy is either absent or relatively undeveloped. As well, increased legal certainty for both users and providers of genetic resources could attract more scientific research and thus generate greater benefits for Canada and Canadians.
At the same time, others have noted that a coordinated approach could require a significant investment of effort and time to get the approval of the various implementing jurisdictions and there is a risk that some practices which already exist in some sectors may have to be modified.
**Option 2. Independent approach for each jurisdiction**
Under this approach, ABS policies would be developed independently in each jurisdiction without any formal attempt to coordinate common principles and core elements. Jurisdictions would also have the option of not developing an ABS policy at all and continuing with the status quo.
It has been suggested that this approach could better enable provinces and territories to adopt ABS policies and implement approaches that best fit their specific needs. It also could allow implementation of ABS measures to move at a faster pace than coordinating ABS policy in Canada with a number of jurisdictions.
On the other hand, this approach could generate a patchwork of inconsistent policies which could result in confusion about the different rules which apply to ABS in different places in Canada. It also could lead to duplication of effort among jurisdictions in terms of developing the tools and skills needed to administer ABS policy in Canada.
**Option 3. Single national approach developed by the federal government**
Under this approach, the federal government would develop a single ABS policy for Canada.
It has been suggested that this approach could make implementation of ABS measures simpler, because there would be just one jurisdiction (the federal government) which would be developing the policy for other jurisdictions to adopt. It also could increase legal certainty about the use of genetic resources for both users and providers of genetic resources, which could encourage further investments in conservation and building scientific knowledge of biodiversity.
However, because of the way powers are shared in Canada, this approach could result in an inefficient and limited national policy, as provinces and territories could choose not to participate. It could also be difficult to adapt and administer a single national approach to the different circumstances in different provinces and territories as well as for different sectors and sub-sectors.
---
**What do you think?**
**We want to hear your views on how ABS policy in Canada should be approached:**
- Are there specific things you like about each of these approaches? Do you have concerns about any of them?
- How do you think each of these approaches would affect you, your community, your organization or your industry sector?
- Can you think of any other approaches that need to be considered?
Issue 2: Implementing ABS Policy in Canada
Question: What are the choices for implementing ABS policy in Canada?
Regardless of whether ABS policy in Canada is coordinated at a national level or made up of independent approaches in various jurisdictions, there will be a need for processes and measures to implement the policies – legislation, regulations, guidelines and voluntary tools (such as codes of conduct and/or administrative procedures).
There is therefore a need to consider to what extent it will be possible to apply existing tools readily at hand – particularly laws and regulations relating to property and resource management – to the case of genetic resources. For example, ABS policy in Canada may be able to take advantage of existing laws and regulations pertaining to property, trespass, theft and contracts.
Possible Approaches
The Federal/Provincial/Territorial Task Group identified three approaches for consideration with respect to how ABS policy in Canada could be implemented:
Option 1. Create new voluntary and non-regulatory measures to complement existing processes, laws and practices
Under this approach, ABS policy in Canada would be implemented using existing laws in such relevant areas as contract law and property law. The approach would build on current mechanisms, practices and international agreements for access and benefit sharing that are being used, such as in the agriculture and agri-food sectors, and the transfer of technology between researchers and industry. No new laws or regulations would be developed.
Implementation would be supported through current and new non-regulatory tools and voluntary measures such as awareness-raising, educational resources, guidelines and codes of conduct. Core elements relating to prior informed consent to access genetic resources and the sharing of benefits arising from their use, would be addressed through these voluntary measures.
It has been suggested that this approach could be the simplest one to develop, and could require less work to implement than the other options considered. There are good examples of guidelines and codes of conduct developed by other countries or other organizations which Canada could adapt. In addition, this approach would mean that existing practices that currently apply to elements of access and benefit sharing in certain sectors could continue unchanged.
Others have questioned the effectiveness of relying only on voluntary measures such as codes of conduct and guidelines, given the relatively low level of awareness of ABS issues, even among users of genetic resources. As well, such an approach may not bring any additional legal certainty for users and providers of genetic resources, or provide a firm guarantee that the core elements of ABS policy in Canada would be adequately addressed.
Option 2. Create new regulatory and non-regulatory measures to complement existing processes, laws and practices
Under this approach, the focus would remain on using existing laws, regulations and non-regulatory measures where possible (as in approach 1 above), and implementation would be supported through current and newly developed non-regulatory tools and voluntary measures. However, in addition, legislation and regulations would be amended to specifically address genetic resources where gaps are identified. For example, existing permitting systems regulating access to land and biological resources could be amended to specifically address access to and collection of genetic resources and the sharing of benefits resulting from their use. An example of existing regulation or regulation pertaining to access to genetic resources would be those pertaining to research permits for accessing plants in protected areas.
It has been suggested that this approach could help speed implementation of ABS measures across Canada, when compared with the third option outlined below, given that this approach would take less time than developing and enacting new ABS-specific rules.
At the same time, some feel that it could actually involve greater complexity, and thus could take longer to implement than the third option, due to additional administrative burden in amending regulations. Some also question whether or not existing mechanisms, which were developed to regulate access to other natural resources, are really well designed to regulate access to genetic resources or the sharing of benefits arising from their use.
Option 3. Create new ABS-specific legislation and regulations
Under this approach, new ABS-specific legislation and regulations would be developed at the federal level and/or the provincial and territorial levels. Specific legislation and regulations would establish requirements for obtaining prior informed consent for access to genetic resources and for negotiating the terms of use and the arrangements for the sharing of benefits resulting from the use of genetic resources.
It has been suggested that this approach could bring a consistency of application of ABS policy in Canada. This would help ensure legal certainty to users and providers of genetic resources in Canada, as it would create clear rules which have to be followed when accessing genetic resources and sharing the benefits from their use.
Others have noted that it could take several years before new legislation is in place and implemented, increasing the risk that existing gaps in laws and regulations relating to the access to genetic resources and benefit sharing would remain in the meantime. The costs of developing, maintaining and enforcing any new legislation also could outweigh, at least in the short term, any benefits from increased access to genetic resources. This new legislation could create duplication with existing legal requirements in some provinces or territories.
What do you think?
We want to hear your views on how ABS policy in Canada should be implemented:
- Are there specific things you like about each of these approaches? Do you have concerns about any of them?
- How do you think each of these approaches would affect you, your community, your organization or
Issue 3: Traditional Knowledge Associated with Genetic Resources
Question: Should traditional knowledge associated with genetic resources be addressed by ABS policy in Canada?
Another aspect of ABS policy in Canada is that it could address the traditional knowledge associated with genetic resources which is held by Aboriginal communities. Just as genetic resources are recognized as having important economic and social benefits – for example, the development of new medicines – the traditional knowledge of genetic resources and their uses may also be of value to new users. Such knowledge, gained over generations of experience, could include, for example, knowledge of the use of a particular plant as a medicine, or knowledge of the properties of another plant that would suggest potential for a new industrial application. If there is a decision to share this traditional knowledge associated with genetic resources, it could advance the understanding of the uses and importance of genetic resources in many areas, including research and conservation. Therefore, any ABS policy in Canada must consider whether this traditional knowledge associated with genetic resources should be included, and if so, how it should be addressed.
For the purposes of ABS policy in Canada, the term traditional knowledge associated with genetic resources is understood to be the knowledge, innovations and practices of Aboriginal peoples associated with the use of genetic resources which is held by communities in common, in confidence, and is not already in the public domain. The scope of ABS policy in Canada is not intended to include broader traditional knowledge issues already in or beyond the scope of the Convention on Biological Diversity, for example, cultural property and intellectual property rights.
There is no obligation under the Convention on Biological Diversity to include traditional knowledge in an ABS policy. However, the Bonn Guidelines on Access to Genetic Resources and Fair and Equitable Sharing of the Benefits Arising out of their Utilization, which were developed as a voluntary guide for countries on developing domestic ABS policy, includes traditional knowledge associated with genetic resources within its scope. Many other countries with ABS laws have included provisions pertaining to traditional knowledge associated with genetic resources, and it is part of the ongoing discussions about an international regime on ABS.
Authority to grant access to traditional knowledge associated with genetic resources is a complex issue for both users and for Aboriginal peoples. If it was determined that traditional knowledge associated with genetic resources was included in ABS policy in Canada, it would require significant resources to establish a mechanism that would be transparent and equitable.
If traditional knowledge associated with genetic resources was not included in ABS policy in Canada, there would be no new measures taken, but Aboriginal people could continue to use existing practices, such as contract law, to negotiate arrangements with users who wish to access associated traditional knowledge. It has also been suggested that excluding traditional knowledge associated with genetic resources from the scope of ABS policy in Canada could simplify the development and implementation of policy governing only genetic resources.
What do you think?
We want to hear your views on how ABS policy in Canada should address traditional knowledge associated with genetic resources:
- Should traditional knowledge associated with genetic resources be included as an element under an ABS policy in Canada
Question: If it is decided that ABS policy in Canada should address traditional knowledge associated with genetic resources, how should it be addressed?
Possible Approaches
The Task Group identified three potential approaches to how traditional knowledge could be addressed by ABS policy in Canada. We want to hear your views on these, and on any other approaches which could be considered.
Option 1: Traditional knowledge associated with genetic resources is addressed through voluntary mechanisms and tools
This approach would see traditional knowledge associated with genetic resources addressed through a variety of non-regulatory and voluntary measures, such as voluntary guidelines and best practices, awareness-raising, education campaigns, and other tools (such as model contracts and confidentiality agreements). Voluntary guidance could assist users to access traditional knowledge associated with genetic resources and to negotiate benefit sharing through mutually-agreed terms.
Holders of traditional knowledge associated with genetic resources who choose to share their knowledge and who want to share the benefits arising from that use could consider formal contractual arrangements with those parties wanting access to that knowledge.
It has been suggested that this approach could allow for more streamlined ABS policy in Canada, and for quicker implementation, given that it would require no new rules, or changes to existing ones.
At the same time, this approach might not guarantee the level of legal certainty sought by some providers and users of genetic resources and/or traditional knowledge associated with genetic resources.
Option 2: Traditional knowledge associated with genetic resources is addressed through existing regulatory measures supported by new regulatory and voluntary measures
Under this approach, traditional knowledge associated with genetic resources would be formally addressed when users and providers of genetic resources are developing arrangements regarding access to those genetic resources and the sharing of benefits arising from their use. Any obligations under these arrangements would be dealt with through the existing and new regulatory mechanisms developed to implement prior informed consent, mutually agreed terms and benefit sharing for genetic resources.
In this option, a user of genetic resources could be required to indicate if they accessed traditional knowledge associated with genetic resources which is not already in the public domain, or if they expect to access it after they have accessed a particular genetic resource. Where they have indicated that they have accessed traditional knowledge associated with genetic resources, the users of the genetic resource would need to demonstrate that they have negotiated for the prior informed consent of the provider of the traditional knowledge associated with genetic resources. They would also have to show that they have negotiated arrangements for the use of that traditional knowledge, and for sharing the benefits which might arise from that use.
It has been suggested that this approach better acknowledges the value that traditional knowledge associated with genetic resources can provide to the access and use of genetic resources. This approach could provide security to those holders of traditional knowledge associated with genetic resources who are considering sharing the knowledge but are concerned about how that knowledge might eventually be used.
At the same time, there are some who feel that this approach could also require significant administrative work to change existing mechanisms, and could be complicated and demanding to implement, and would not be easily implemented for private land or resources.
**Option 3. Traditional knowledge associated with genetic resources addressed by new ABS-specific legislation and regulations**
Under this approach, traditional knowledge associated with genetic resources would be included within new ABS-specific legislation and regulations developed at the federal level and/or the provincial and territorial levels. These new mechanisms would include requirements for obtaining prior informed consent for access to traditional knowledge associated with genetic resources and for negotiating how it would be used, as well as how the benefits from that use would be shared.
It has been suggested that this approach could bring consistency of application of a policy and help ensure legal certainty for users and providers of traditional knowledge associated with genetic resources in Canada, and would promote the sharing of benefits from their use with Canadians.
However, the complexity and time for developing, maintaining and enforcing any new ABS legislation that also included traditional knowledge associated with genetic resources would likely be significantly greater than ABS legislation limited only to genetic resources.
**What do you think?**
We want to hear your views on how ABS policy in Canada should address traditional knowledge associated with genetic resources:
- Are there specific things you like about each of these approaches? Do you have concerns about any of them?
- How do you think each of these approaches would affect you, your community, your organization or your industry sector?
- Can you think of any other approaches that need to be considered?
Incorporating your responses into the decision making processes:
We need to hear what you think about ABS policy in Canada. We have included specific questions for your consideration throughout the document. In addition to the specific questions on the options presented, you may wish to consider:
- Do you have any general comments about ABS you would like the Task Group to consider?
- Do you have any general comments about this process that you would like to share with the Task Group?
- Are you aware of existing ABS practices? Do you use them? Are they effective? Why or why not? What are the gaps?
These questions have been outlined clearly on a website for you to complete. You can also participate through a traditional mail system (instructions outlined in the box below).
Your ideas and feedback on the issues and questions outlined in this Discussion Paper will be of direct assistance as governments in Canada continue to work together to address the challenges of access and benefit sharing of genetic resources. The Federal/Provincial/Territorial Task Group will review the comments, suggestions and concerns they receive through this engagement process. The output from the engagement process will be provided to governments, and is proposed to be discussed at a possible meeting of Federal/Provincial/Territorial Ministers in the fall of 2009.
Any decision on ABS policy in Canada will take into account the views of interested individuals, organizations and Aboriginal groups. If Ministers decide to proceed with ABS policy in Canada, further discussions on the proposed option(s) could be held at that point.
HOW TO SUBMIT YOUR VIEWS
Feedback is essential to this process. We want to hear the views of you and your organization on the options and ideas presented in this document either online, by fax, or by traditional mail.
Online:
Use the form provided at http://www.ec.gc.ca/apa-abs/developpement-development/sondage_survey.cfm?lang=eng to submit your views.
Fax or Traditional Mail:
You may prefer to send your response by fax or by traditional mail. If so, you can download the form and provide written responses to the questions, and/or your general comments. Please complete, and mail to:
Access and Benefit-Sharing
Environment Canada
Ecosystems and Biodiversity Priorities
Place-Vincent-Massey, 12th Floor
351 Blvd. St-Joseph
Gatineau, Qc.
K1A 0H3
Fax: (819) 953-1765
Email: email@example.com |
Material stability analysis based on the local and global elasto-plastic tangent operators
Florent Prunier, Farid Laouafa, Félix Darve
To cite this version:
Florent Prunier, Farid Laouafa, Félix Darve. Material stability analysis based on the local and global elasto-plastic tangent operators. 1. International Symposium on computational geomechanics (COMGEO 2009), Apr 2009, Juan-les-Pins, France. IC2E. Rhodes, pp.215-225, 2009. <ineris-00973337>
MATERIAL STABILITY ANALYSIS BASED ON THE LOCAL AND GLOBAL ELASTO-PLASTIC TANGENT OPERATORS
Florent Prunier
*Laboratoire Sols, Solides, Structures, Risques, Institut Polytechnique de Grenoble, France*
Farid Laouafa
*Unité Risques Naturels, Ouvrages & Stockages, INERIS, Verneuil en Halatte, France*
Félix Darve
*Laboratoire Sols, Solides, Structures, Risques, Institut Polytechnique de Grenoble, France*
ABSTRACT: The present paper investigates bifurcation in geomaterials with the help of the second-order work criterion. The approach applies mainly to non associated materials such as soils. The analysis usually performed at the material point level is extended to quasi-static boundary value problems, by considering the finite element stiffness matrix. The first part of the paper reminds some results obtained at the material point level. The bifurcation domain is presented in the 3D principal stress space as well as 3D cones of unstable loading directions for an incrementally nonlinear constitutive model. In the second part, the analysis is extended to boundary value problems in quasi-static conditions. Non-linear finite element computations are performed and the global tangent stiffness matrix is analyzed. For several examples the eigenvector associated with the first vanishing eigenvalue of the symmetrical part of the stiffness matrix gives an accurate estimation of the failure mode even for non homogeneous boundary value problems.
1 INTRODUCTION
Prediction of failure in geomaterials has not yet been completely clarified. This paper proposes an original approach providing some tools that may help respond to this question. We restrict our analysis to problems involving only rate-independent materials, with emphasis on non associated pressure-dependent materials such as granular media. Phenomenological constitutive models describe the material behaviour, and boundary value problems are solved using finite element analysis.
One of the main features of geomaterials is nonassociativeness: the normality rule is not fulfilled, and as a consequence the elastoplastic tensor loses its major symmetry (Hill 1967; Mandel 1966; Mróz 1963; Mróz 1966). Because of this physical and mathematical feature, it is now well known that failure can occur strictly within the plasticity boundary condition such as Mohr-Coulomb condition (Lade 1992; Nova 1991; Darve & Chau 1987; Darve & Vardoulakis 2004).
In order to analyze material instabilities, several criteria have been proposed. The criteria most often used by engineers are probably (1) the limit condition of plasticity, and (2) the strain localization condition proposed by Rice (1976) given by the vanishing value of the acoustic
However, the second-order work criterion constitutes a lower bound for these two criteria (Bigoni & Hueckel 1991).
Hill (1958) proposed the following sufficient condition of stability for an elastoplastic body:
\[
\int_V \dot{s}_{ij} \frac{\partial \dot{u}_j}{\partial x_i} dV > 0 \quad \forall \left\| \frac{\partial \dot{u}_j}{\partial x_i} \right\| \neq 0
\]
(1)
where \( V \) is the volume of the body at time \( t \), \( s_{ij} \) the component of the nominal stress tensor (the transpose of the first Piola-Kirchoff tensor), and \( \frac{\partial \dot{u}_j}{\partial x_i} \) the gradient velocity. In the case of a small strain assumption and by neglecting geometrical effects, the condition (1) reads:
\[
\int_V d\sigma_{ij} \ d\varepsilon_{ij} \ dV > 0 \quad \forall \|d\varepsilon\| \neq 0
\]
(2)
with \( d\sigma \) the incremental Cauchy stress tensor, and \( d\varepsilon \) the incremental strain tensor. In the first section, this condition is analyzed at the material point level. Thus the expression investigated is:
\[
d^2W = d\sigma_{ij} \ d\varepsilon_{ij} > 0 \quad \forall \|d\varepsilon\| \neq 0
\]
(3)
where \( d^2W \) is the second-order work and \( d\sigma \) and \( d\varepsilon \) are linked by their constitutive equation. Darve & Laouafa (2000) showed that what determines the effective instability (at a given stress-strain state) depends on the loading direction and the nature of the controlled loading parameters. We will show that elliptical cones of unstable loading directions (denoted “instability cone”) exist. If after a given loading path, the incremental loading direction is included within one of these cones, failure can occur. We thereby define the limit of the bifurcation domain by the set of stress-strain states for which a unique unstable loading direction exists. Furthermore, as shown by Nova (1994), the nature of loading variables determines the effective failure. For instance, in an undrained triaxial test performed on a loose sand, the \( q \) peak can be reached and passed if the loading is strain controlled, whereas if the loading is axially force controlled, failure occurs because the sample cannot sustain any increase of \( q \).
In the following section, the limit of the bifurcation domain plotted in the 3D stress space is depicted for the incrementally nonlinear and incrementally piecewise linear constitutive relations from Darve (Darve, Flavigny, & Meghachou 1995). An analytical equation of the instability cones is given, and it is presented in the 3D principal stress space for both constitutive models.
In section 3, a stability analysis based on the features of the eigenvalues and eigenvectors of the symmetrical part of the global tangent stiffness matrix \( K_s \) is performed. The boundary value problem of a shallow foundation lying on an axisymmetrical soil is then analyzed.
## 2 SECOND-ORDER WORK CRITERION ANALYSIS WITHIN A PHENOMENOLOGICAL FRAMEWORK
This section discusses the numerical and analytical analyses of the second-order work criterion at the material point level. These analyses use elastoplastic constitutive relations. If small perturbations are assumed, we can state that a material point of a body is stable (in Hill’s understanding) if, for any \( (d\sigma, \ d\varepsilon) \) linked by their constitutive relation, equation (3) is fulfilled. Hence equation (3) constitutes a sufficient, but not necessary, condition of stability. In the case where \( d^2W \leq 0 \), the effective collapse of a homogeneous sample depends on the loading direction and on the controlled loading variables, as mentioned above.
If we denote by $\underline{M}$ the matrix such that $d\sigma = \underline{M} d\varepsilon$ and by $\underline{N}$ the matrix such that $\underline{M} = \underline{N}^{-1}$, the second order work vanishes when:
$$'d\varepsilon \underline{M} d\varepsilon = 0 \Leftrightarrow 'd\varepsilon \underline{M}_s d\varepsilon = 0$$
(4)
or equivalently when:
$$'d\sigma \underline{N} d\sigma = 0 \Leftrightarrow 'd\sigma \underline{N}_s d\sigma = 0$$
(5)
The constitutive equation can take the following form in a given tensorial zone\(^1\) and if expressed in principal axes:
$$\begin{bmatrix}
d\varepsilon_1 \\
d\varepsilon_2 \\
d\varepsilon_3
\end{bmatrix} = \begin{bmatrix}
\frac{1}{E_1} & -\frac{\nu_{21}}{E_2} & -\frac{\nu_{31}}{E_3} \\
-\frac{\nu_{12}}{E_1} & \frac{1}{E_2} & -\frac{\nu_{32}}{E_3} \\
-\frac{\nu_{13}}{E_1} & -\frac{\nu_{23}}{E_2} & \frac{1}{E_3}
\end{bmatrix} \begin{bmatrix}
d\sigma_1 \\
d\sigma_2 \\
d\sigma_3
\end{bmatrix}$$
(6)
where $E_i$ and $\nu_{ij}$ are, respectively, the tangent Young moduli and tangent Poisson’s ratios. From equation (5), we obtain the following expression:
$$\frac{d\sigma_1^2}{E_1} + \frac{d\sigma_2^2}{E_2} + \frac{d\sigma_3^2}{E_3} - \left(\frac{\nu_{12}}{E_1} + \frac{\nu_{21}}{E_2}\right)d\sigma_1 d\sigma_2 - \left(\frac{\nu_{32}}{E_3} + \frac{\nu_{23}}{E_3}\right)d\sigma_3 d\sigma_2 - \left(\frac{\nu_{13}}{E_1} + \frac{\nu_{31}}{E_2}\right)d\sigma_1 d\sigma_3 = 0$$
(7)
The left-hand side of equation (7) is a quadric, with neither constant terms nor terms of degree one according to $d\sigma_i$. Consequently, the solution of equation (7) is an elliptical cone if the quadric is not degenerated. The real nature of this solution depends on the positiveness of $\det(\underline{N}_s)$ and the four cases displayed on Fig.1 can be considered. If we assume that the eigenvalues, $\lambda_1$, $\lambda_2$, $\lambda_3$, are positive at the virgin state and evolve continuously with the loading parameter, the limit of the bifurcation domain (defined by the set of stress-strain states for which a unique unstable loading direction exists) is obtained with the first vanishing value of $\det(\underline{N}_s)$. This analysis is rigorously exact in the case of incrementally linear constitutive relations (i.e., linear or nonlinear hypoelasticity or hyperelasticity). In the case of elastoplastic models, solutions of equation (7) have to be looked for in each tensorial zone, and truncated if necessary. By denoting $u_0$ the eigenvector associated with the first vanishing eigenvalue $\lambda_0$, $Z_j$ the tensorial zone where the computation is performed, and $n$ the number of tensorial zones, the limit of the bifurcation domain is given by the following relation (Prunier, Nicot, Darve, Laouafa, & Lignon 2009):
$$\min_{i=1,...,n} \left(\det(\underline{N}_s^i)\right) = \det(\underline{N}_s^j) = 0 \text{ and } u_0 \subset Z_j$$
(8)
Fig.2 shows the 3D bifurcation domain obtained with Darve’s two constitutive models (Darve, Flavigny, & Meghachou 1995) and dense sand, and Fig.3 shows some 3D instability cones. These cones were obtained for stress states located along a drained triaxial test performed on dense Hostun sand. As a reminder, the octolinear model presents eight tensorial zones defined here by the three orthogonal principal stress planes. It is worth noting that these cones are situated before the plasticity limit, and their opening increases continuously with the loading parameter until plastic limit surface.
In conclusion, dual analyses (i.e. $d\sigma$ versus $d\varepsilon$ or $d\varepsilon$ versus $d\sigma$) can be performed without
---
\(^1\) A tensorial zone is a domain of the loading space in which the incremental constitutive relation is linear (Darve & Labanieh 1982). A classical elastoplastic model has two tensorial zones: one for loading and another one for unloading.
Fig. 1. Solutions of the equation: $\lambda_1 X^2 + \lambda_2 Y^2 + \lambda_3 Z^2 = 0$.
Fig. 2. Bifurcation domain plotted with octo and nonlinear models for dense Hostun sand. (a) corresponds to the limit of the bifurcation domain for the octolinear model, and (b) for the nonlinear model. (c) is the cut of these domains by the deviatoric plane.
any restriction on the constitutive tensor because of the strict equivalence between equation (5) and equation (4). For the limit plastic condition characterized by $\det(\underline{M}) = 0$, it happens that:
$$\det(\underline{M}) = 0 \neq \det(\underline{N}) = 0$$
(9)
But the equivalence is maintained for the symmetrical part of these matrices:
$$\det(\underline{M}_s) = 0 \iff \det(\underline{N}_s) = 0$$
(10)
In fact it can be shown that (Prunier, Laouafa, & Darve 2009):
$$\det(\underline{M}_s) = \frac{\det(\underline{N}_s)}{\left(\det(\underline{N})\right)^2},$$
(11)
In the case of associated materials, $\underline{M}_s = \underline{M}$ and $\underline{N}_s = \underline{N}$. Equation (11) gives $\det(\underline{M}) = 1/\det(\underline{N})$ and remains true, but equation (10) is no longer valid. The limit plastic condition can never be expressed in a dual manner by considering $\underline{M}$ or $\underline{N}$ indifferently.
3 ANALYSIS OF THE FINITE ELEMENT TANGENT STIFFNESS MATRIX
As seen in the previous section, the spectral analysis of the symmetric part of the constitutive matrix provides an interesting way to analyze bifurcation at the material point level. The aim of this section is to check whether the same analysis done on the global tangent stiffness matrix
leads to the same conclusion. The result presented below is the solution of a nonlinear boundary value problems, under the quasi-static assumption. The finite element code *Lagamine* (Lagamine 2007) developed at Liège University is used in the computations. The constitutive model considered in this code is an elastoplastic frictional pressure-sensitive relation developed for granular media (Barnichon 1998). It is based on the Van Eekelen (1980) yield criterion, it takes into account soil hardening, and the flow rule is non associated.
However it is not because some material points of a body are unstable that the global collapse actually occurs. In other words, local instability at some material points does not necessarily imply global instability. That is why it is necessary to consider the expression of the second-order work (equation (1)) integrated onto the whole body.
The relation between the integrated second-order work ($D^2W$) and the tangent stiffness matrix $\underline{K}$ is as follows (Prunier, Laouafa, Lignon, & Darve 2009):
$$D^2W = \int_V d^2WdV = 'dU \ dF = 'dU \ \underline{K} \ dU = 'dU \ \underline{K}_s \ dU$$
(12)
with $dF$ and $dU$ the global vectors of the incremental force and of the incremental displacement, respectively. This result makes analyzing the symmetrical part of $\underline{K}$ (denoted $\underline{K}_s$) pertinent.
The heuristic problem presented hereafter is the one of a shallow foundation resting on a soil body. The foundation is simulated by a pressure acting on the soil surface. Geometrical data, boundary conditions as well as the deformed mesh at the divergence of the computation are shown in Fig.4. Nodal displacements at the bottom are totally fixed, while lateral displacements are fixed only in the horizontal direction. The main parameters of the soil are displayed in Table 1.
Fig.5 presents the changes in the lowest eigenvalues of $\underline{K}_s$. This lowest eigenvalue $\Lambda_0$ vanishes at step 25, long before the divergence of the computation at step 41. Since $\Lambda_0$ vanishes, a loading direction in term of global displacement increment $dU$ may exist for which global failure can be expected. But this loading direction does not necessarily match the loading direction imposed at the boundaries of the problem. Furthermore, Fig.6 shows that $\Lambda_0$ vanishes even before
Table 1. Main parameters of the soil body
| $E$ | $\nu$ | $\rho$ | $C$ | $\phi$ | $\psi$ |
|-------|-------|------------|--------|--------|--------|
| 95 MPa | 0.21 | 2740 kg/m³ | 30 kPa | 15° | 0° |
Fig. 5. The smallest eigenvalues of $\underline{K}_s$ versus computation steps. On the right hand-side is a zoom around the first vanishing eigenvalue.
the first vanishing value of $d^2W_n$ at one of the integration points. Hence, knowing the change in eigenvalues of $\underline{K}_s$ can be valuable when the structure is potentially unstable, while the changes in $d^2W_n$ at each integration point gives the evolution in weakness zones along the loading program considered until the global collapse.
As for the eigenvector of $\underline{K}_s$, we denote by $\underline{V}_0$ the one linked to the first vanishing eigenvalue $\Lambda_0$, and by $d\underline{U}_f$ the incremental global displacement observed at the last converged step. Fig. 7 presents the qualitative deviation between $\underline{V}_0$ and $d\underline{U}_f$. As a reminder, for homogeneous cases (the discussion is based on the analysis of the constitutive tensor), the eigenvector associated with the first vanishing eigenvalue of $\underline{M}_s$ or $\underline{N}_s$ gives the current flow rule, which characterizes the potential failure mechanism. Furthermore, in the case of the present elastoplastic model, it was observed that this direction plotted in the strain space is relatively close to the ultimate flow rule (Prunier, Laouafa, Lignon, & Darve 2009). The figure Fig. 7 shows that this result is also qualitatively verified in this simulation. Quantitatively, we define the following function to measure the deviation between the directions of any two vectors ($\underline{V}_1$ and $\underline{V}_2$) of $\mathbb{R}^n$:
$$er(\underline{V}_1, \underline{V}_2) = \left(1 - \left|\frac{\langle \underline{V}_1, \underline{V}_2 \rangle}{\|\underline{V}_1\| \cdot \|\underline{V}_2\|}\right|\right) \cdot 100$$ \hspace{1cm} (13)
With this expression, when $er(\underline{V}_1, \underline{V}_2) = 100\%$, both vectors are orthogonal, while when $er(\underline{V}_1, \underline{V}_2) = 0\%$, both vectors are collinear. We denote by $\underline{V}_{min}$ the eigenvector associated with the lowest eigenvalue when all eigenvalues are positive, and to the highest negative eigenvalue when at least one of them is negative. How $er(\underline{V}_{min}, d\underline{U}_f)$ evolves throughout the loading program is shown in Fig. 8. It can be observed that the minimum of this function is obtained when $\det(\underline{K}_s)$
Fig. 6. Isovalues of $d^2 W_n = \frac{d^2 W}{||\delta e|| \ ||de||}$ at three characteristic computation steps: first vanishing of $\Lambda_0$, first vanishing of $d^2 W_n$, and divergence of the computation.
Fig. 7. $V_0$ (eigenvector associated to $\Lambda_0$, first vanishing eigenvalue) compared with $dU_f$ (ultimate incremental displacement field). On the right-hand side is a zoom on the zone affected by the loading conditions.
In conclusion, the analysis of eigenvalues and eigenvectors of the symmetrical part of a global tangent stiffness matrix \((\underline{K}_s)\) seems relevant and provides interesting information on the stability of a structure and the related nonhomogeneous failure mode.
4 CONCLUDING REMARKS
In this paper, an analysis of the second-order work criterion has been proposed at different levels, the material point levels and boundary value problem scales. As the vanishing of second-order work is related to a sudden regime transition from a static to a dynamic mode, the second-order work corresponds to a bifurcation criterion, as stated in section 2.
In the first part, the second-order work was studied in its local form. It was shown that its sign is strongly related to the changes in the eigenvalues of the symmetric part of the constitutive tensor \(M_s\) or \(N_s\). When \(\det\left(\underline{M}_s\right) \leq 0\), it was proved that loading directions for which \(d^2W = 0\) exist and constitute a cone. Furthermore, when the second-order work vanishes on a given loading path, a peak in a plane of conjugated variables (in the second-order work sense) is reached, and a bifurcation criterion as well as a generalized flow rule can be defined according to these conjugated variables. For a given constitutive model, loading directions that lead to \(d^2W = 0\) can be determined. The analytical equation of these elliptical instability cones was given for every incrementally piecewise linear model. Illustrations of these instability cones, as well as of the bifurcation domain in the 3D stress space, where presented for Darve’s two constitutive models. Finally, it was shown that \(\det\left(\underline{M}_s\right) = 0 \iff \det\left(\underline{N}_s\right) = 0\), which means that the boundary of the bifurcation domain (given by the occurrence of the first unstable direction) does not depend on the formalism chosen for the constitutive relation.
In the second part, the approach performed at the material point level was extended by analyzing the global tangent stiffness matrix stemming from a finite element simulation. The study of a soil body subjected to a flexible foundation was carried out. As shown in the past (Darve &
Laouafa 2000; Laouafa & Darve 2002), the local quantity $d^2W_n$ accurately describes the weakness zone in the soil during the loading program. Finally, it was also observed that, qualitatively, realistic failure modes can be detected largely before the collapse for a monotonous loading program, by using the eigenvector $\hat{V}_0$.
As a final remark, if the question of failure in geomaterials is now well treated at the material point level, with well-established results, this is not totally the case when investigating nonhomogeneous boundary value problems. Nevertheless, the study of the properties of the eigenvalues and eigenvectors of $(K_\varepsilon)$ seems to be promising to analyze bifurcation even in nonhomogeneous problems and particularly to characterize failure modes.
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Fiscal Policy Stance in the Euro Area
Marius-Corneliu Marinas
Candidate Ph.D. Assistant
Academy of Economic Studies, Bucharest
Abstract. The budgetary position in the euro area and the EU improved significantly in 2007 compared to the previous year. The headline deficit declined to 1.6% of GDP in 2006 and 1.1% of GDP in 2007, down from 2.5% of GDP in 2005. The structural budget deficit diminished from 2% of GDP in 2005 to 0.8% in 2007, reflecting a restrictive fiscal policy in euro area. The fiscal policy became pro-cyclically because the economy of euro area is characterized by a slightly negative output-gap (estimated at 0.2% of potential GDP in 2007).
Key words: euro area; Growth and Stability Pact; output-gap; structural budgetary balance; budgetary elasticity.
JEL Classification: E62, F36.
Fiscal policies in the euro area are national ones, but they have to respect the rules of Stability and Growth Pact, which represents an instrument of fiscal coordination. Its objective is the consolidation of the public finances in the euro area, by which to support the objective of price stability undertaken by the European Central Bank. By the reform of 2005, the Pact has a correction component (reduction of the budget deficit under 3% of GDP) and a preventive one that regards the membership states to assume a medium term objective (MTO) in connection with fixing the settlement of the public finances. In 2006, only two of the member states of euro area registered a deficit over 3% (Italy and Portugal), in comparison with five economies in the previous year. For 2007 year, The European Commission estimated that only Portugal will have an excessive deficit budget, of 3.1% from GDP, and in 2008 no economy will have a deficit over 3%.
The explanations of this favorable evolution of public finances in euro area are the follows:
- the output gap is slightly negative and reduced at beginning of 2006 year; in some economies such Germany and Austria, there is a positive output-gap;
- the labour market situation has improved rapidly. Two million new jobs were created in the euro area in 2006 and the euro area unemployment rate reached its lowest level in more than a decade. The fall in the unemployment rate is largely attributable to reducing of the unemployment gap. The Commission expects the situation on the labour market to continue to improve in 2008;
- Government revenues have increased much faster than nominal GDP in the last two years. This reflects the effect of favorable growth composition, as GDP has been supported by the dynamism of tax-rich components (domestic demand).
The prospects for continued economic growth are better than they have been for many years. This favorable outlook provides Member States with an opportunity to consolidate government finances and to progress towards sustainable budgetary positions.
The member states have registered progress with reference to the corrective of the Stability and Growth Pact, but not in the preventive arm, because the fiscal consolidation process is still slightly despite of a favorable economic context (good times). A possible explanation may be using of the budgetary revenues surplus to finance the budgetary spending increase. In the euro area the
indirect taxes were increased and the corporate tax rate and the tax on the higher salaries were reduced. The social contribution registered a decline followed by the cutting down in the spending of the social assistance. In order to sustain the economic growth process, the budgetary spending for research-development activities, infrastructure and education have increased.
According to the Stability and Growth Pact reform, the increase of structural budgetary balance should be higher than the benchmark of 0.5% of GDP. This variable represents cyclically-adjusted budget balance (CAB), derived as the difference between the nominal balance and the cyclical component of the budget.
It is used for defining the fiscal policy stance, because the budget balance is influenced by cyclical and structural factors. The cyclical factors are relates to variations caused by cyclical developments in GDP, while structural component it refer to change of the budget balance, if the economy would produce at potential GDP. Identification of the two components is essential to establish the orientation of fiscal policy makers in the coming years. The cyclical component of the actual budget balance is determined by the sensitivity of the budget balance to the economic cycle, because tax revenues are dependent on the level of national income. In the euro area, approximately 90% of budget revenues are from fiscal taxes, such as tax revenues are automatically lower when reduced economic activity and increase when there is an economic expansion. In terms of public spending, only those on unemployment benefits are sensitive to the evolution of GDP and their share is only 5%. Most public spending such as investments, acquisitions and wages do not depend on the evolution of economic activity, being discretionary ones. It results that the cyclical variation of the budget balance is explained in the highest proportion by the budget revenues change.
The identification of the structural budget balance requires:
- measuring the nature and intensity of an economy’s business cycle, as the difference between actual GDP and potential GDP (ie the output gap);
- finding budget balance sensitivity depending on the cyclical evolution of the economy (the change in percentage points of the budget by one percentage point change of the output gap).
In this study, I pointed out the graphic and the analytic way in which the budgetary balance is cyclically adjusted. According to this, I established the nature of the fiscal policy promoted in the euro area between 1999 and 2008.
**Understanding the structural budgetary balance**
The output-gap is calculated as the difference between actual GDP ($Y_a$) and potential GDP ($Y_p$):
$$\Delta Y = Y_a - Y_p \Rightarrow Y_s = Y_p + Y.$$
Actual output includes two components – the potential and the cyclic ones. According to this relation, the decomposition of the actual budget balance can be done, like this:
$$ABB = SBB + CBB,$$
where:
- $ABB$ – actual budgetary balance;
- $SBB$ (or $CAB$) – structural budgetary balance (corresponding of potential GDP);
- $CBB$ – the cyclical component of the budgetary balance (corresponding of output-gap).
Actual budgetary balance is calculated as the difference between the budgetary revenues (from $T$ - taxes) and the budgetary spending (including transfers), thus:
$$ABB = T - (G+TR)$$
The function of taxes includes an independent component (autonomous taxes – $n$) and a dependent component ($t \times Y$, where $t$ represents the marginal taxation rate in the economy).
$$ABB = (t \times Y_p - (G + TR - n));$$
$$SBB = (t \times Y_p - (G + TR - n)).$$
In order to explain the decomposition of the actual budgetary balance, I built two graphics, one of them reflecting the situation of budgetary deficit and the other showing a budgetary surplus (both for the economic recession situation).
In the following table, I showed the relations between actual and structural budgetary balance, as they result from the figures above.
The expansive/restrictive character of a fiscal policy results from the estimation of the structural budgetary balance. If a government adopts a restrictive fiscal policy (for example, the increase in taxation), then the structural budgetary balance will increase ($\Delta SBS > 0$). If this registers a decrease, then the stance of the fiscal policy was expansive. The Stability and Growth Pact recommends the adjustment of the economy only by the working of the automatic stabilisers, and so avoiding the promotion of active fiscal measures. In these circumstances, the fiscal policy is considered neutral and the variation of the budgetary balance to the adjustment of output-gap is not statistically significant. Cimadomo (2005) estimated that the fiscal policy is neutral for small variations of the structural budgetary balance (between -0.2 and 0.2 percentage points). The fiscal policy can be considered pro-cyclical if it is restrictive in the situation of negative output-gap of economy and countercyclical if it is expansive in the presence of positive output-gap.
Structural budget balance (or cyclically-adjusted budget balance) is calculated as difference between actual budgetary balance (ABB) and the cyclical component of the budget (CBB). This one is the $\alpha$ angle’s opposed catheter in figure 1 and can be calculated as:
$$\text{tg} \alpha = \frac{\text{CBB}}{\Delta Y} \Rightarrow \text{CBB} = \text{tg} \alpha \times \Delta Y.$$
The tangent represents the budget sensitivity at GDP variation, noted $\varepsilon$. This parameter is given by the difference between the sensitivities of revenues ($\varepsilon_R$) and of expenditures ($\varepsilon_G$).
$$SBS = \frac{\text{SBA}}{Y_a} - \varepsilon \times \Delta Y;$$
$$\Delta Y = \frac{Y_a - Y_p}{Y_p} \Rightarrow SBS = \frac{\text{SBA}}{Y_a} - \varepsilon \times \frac{Y_a - Y_p}{Y_p}$$
(1)
$$\varepsilon = \varepsilon_R - \varepsilon_G \Rightarrow \frac{\partial \text{SBA}}{\partial Y_a} = \frac{\partial V}{\partial Y_a} - \frac{\partial G}{\partial Y_a}$$
(2)
The budgetary sensitivity $\varepsilon$ is derived from budgetary elasticities measuring the percentage change in budgetary items associated with a percentage change in GDP:
$$\varepsilon_R = \eta_R \times \frac{R}{Y}; \quad \varepsilon_G = \eta_G \times \frac{G}{Y},$$
where:
$\eta_G$, $\eta_R$ denote, respectively, the elasticities of revenues (R) and expenditures (G) with respect to output produced;
$R/Y$, $G/Y$ – shares of budgetary revenues and expenditures in current GDP.
$$\eta_G \Rightarrow \frac{\partial G}{\partial Y_a} \times \frac{Y_a}{G}; \quad \eta_R \Rightarrow \frac{\partial R}{\partial Y_a} \times \frac{Y_a}{R}$$
(3)
The unemployment related expenditures are cyclically-sensitive at output variation; thus, the expenditure elasticity $\eta_S$ can be expressed as:
$$\eta_G = \eta_S \times \frac{G_s}{G}$$
(4)
where:
$\eta_S$ is the elasticity of unemployment-related expenditures and the $G_s/G$ is the share of unemployment related expenditure on total current expenditure.
The elasticity of budget revenues is influenced by the structure of the tax system and by tax share of each category in total budget revenues. For proportional taxes (such as indirect taxes) elasticity is equal to 1 for the upper unity is progressive and regressive for the lower than 1. Budgetary income elasticity is obtained as the aggregate sum of the four taxes categories elasticities (corporate tax, income tax, indirect taxes and social contributions), weighted by their share in total revenue (Ri/R) as in the relationship (5):
$$\eta_R = \sum_{i=1}^{4} \eta_{R,i} \times \frac{R_i}{R}$$
(5)
The structural budgetary balance (SBB) has the following formula, using equations (1) – (5):
$$SBS = \frac{\text{SBA}}{Y_a} - \varepsilon \times \frac{Y_a - Y_p}{Y_p} =$$
$$= \frac{\text{SBA}}{Y_a} - \left( \sum_{i=1}^{4} \eta_{V,i} \times \frac{V_i}{V} \right) \times \frac{V}{Y_a} - \eta_G \times \frac{G}{Y} \times \frac{Y_a - Y_p}{Y_p}$$
(6)
The elasticity of the budgetary revenues estimated in the 2005 year was 1.04, which is the weighted sum of the following tax elasticities: 1.48 for income tax rate, 1.43 for the corporate tax rate, 1.00 for indirect taxes and 0.74 in the case of social contributions. The elasticity of unemployment-related expenditures is negative (-0.15), because the decrease of production is accompanied by the increase of the unemployment and by the growth of these spending. The sensitivities of budgetary revenues and expenditures ($\varepsilon_{r}, \varepsilon_{e}$) were calculated taking into consideration their average shares in GDP between 1992 and 2004. The total sensitivity ($\varepsilon$) was 0.48 (calculated as the difference between 0.42 and -0.06). It results that the increase with 1 percentage point of GDP generated the improvement with 0.48 percentage points of the actual budgetary balance. The cyclical budgetary balance (CBB) is equal to the product between the precedent sensitivity ($\hat{\varepsilon}$) and output-gap estimated at -1.2% of potential PIB, which means -0.6%. In 2005, the structural budgetary balance (SBB) of the euro area was -1.9% and the actual budgetary deficit was 2.5% of GDP. Starting with 2003, the cyclical component of the budgetary balance was negative, which is specific to a negative output-gap (table 1).
**The fiscal policy framework in the euro area**
In the euro area, the structural budgetary balance grew by 0.9 percentage points (p.p.) in 2006 year from 2005 year and only with 0.3 p.p. in 2007 from 2006 year. The positive evolution of this variable is a proof of restrictive fiscal policy stance in the euro area. The output-gap of the euro area with 15 members (Malta and Cyprus adopting the euro from 1 January 2008), calculated on the bases of the production function, registered a decrease since 2005. This is maintained slightly negative, being estimated at 0.2% in 2007 and 0.1 of potential GDP in 2008. Under these circumstances, the fiscal policy of euro area, determined by the evolution of the structural budgetary balance, is a restrictive and procyclic one (under the circumstances of a negative output-gap).
In the next diagram I analyzed the fiscal policy stance of the euro area between 1999-2008 (for 2007 and 2008 the dates are estimated by European Commission), depending on the output-gap registered. The variable represented on the vertical axis is estimated as the variation of the structural budgetary balance (in percentage points from the preceding year). Its evolution represents a sign of the fiscal policy stance that was adopted in the euro area. Thus, the structural budgetary balance decreased in 2001 and 2002, which corresponds to an expansive fiscal policy. Starting from 2003, the character of the fiscal policy was a restrictive one, the structural budgetary balance increasing with 2 p.p. between 2005 and 2008. The fiscal policy stance promoted in the context of a negative output-gap (from 2003 year) was first neutral and after pro-cyclical. In 2001 and 2002 it had a pro-cyclical character because it was promoted an expansive fiscal policy in the context of economic expansion.
**Figure 3. The fiscal policy stance in the euro area and the evolution of the output-gap**
The restrictive and pro-cyclical stance of the fiscal policy is influenced by the application of the rules of Stability and Growth Pact. Thus, the most important economies of the euro area have promoted restrictive fiscal policies (the increase of taxes, the decrease of the social transfers) to eliminate the excessive budgetary deficit (Germany between 2002 and 2005, France between 2002 and 2004, Italy between 2003 and 2006 registered budgetary deficits higher than 3%).
Cimadomo (2005) estimated the fiscal policy stance in the euro area and observed that Growth and Stability Pact seems to have strengthened the pro-cyclicality of the fiscal
policy. This tendency slightly increases in the euro area in periods characterized by recession (sensitivity of SBB with respect of output-gap decreases from -0.03 between 1981 and 2005 to -0.07 between 1999 and 2005) but it was not statistically significant. Thus, he labeled the fiscal policy as neutral. In the periods characterized by large expansions (with output-gaps higher than 3% of potential GDP), he found that the stance of euro area fiscal policy has still been neutral between 1981 and 2005 years but has turned clearly and significantly pro-cyclical after the 1999. In this interval, for each percentage point increase of output gap, the structural balance deteriorated by 0.26 percentage points in the euro area.
Analyzing the fiscal policies stance in the member states of the euro area (EMU-12), I found that the most of economies have promoted a restrictive and pro-cyclical fiscal policy between 2004 and 2006. All the countries, excepting Greece, have registered a negative output-gap in this period, which would have implied an expansive fiscal policy, for stimulating the internal demand, in the context of restrictive monetary policy of European Central Bank. For 2008, European Commission estimated that only Germany, Finland and Netherlands will have a pro-cyclical fiscal policy, the first two being characterized by a positive output-gap.
| | 1999 | 2000 | 2001 | 2002 | 2003 | 2004 | 2005 | 2006 | 2007 | 2008 |
|-------|------|------|------|------|------|------|------|------|------|------|
| Belgium | E.P. | N.(D) | R.A. | E.P. | R.P. | E.A. | E.A. | R.P. | E.A. | N.(D) |
| Germany | R.P. | R.A. | E.P. | N.(DR) | R.P. | R.P. | R.P. | R.P. | R.A. | E.P. |
| Ireland | E.P. | R.A. | E.P. | E.P. | R.A. | R.P. | N.(DR) | R.P. | E.P. | E.A. |
| Greece | R.P. | E.A. | E.P. | N.(DR) | E.P. | E.P. | R.A. | R.A. | E.A. | R.A. |
| Spain | R.A. | N.(D) | R.A. | R.A. | R.A. | N.(DR) | R.P. | R.P. | N.(DR) | E.A. |
| France | R.A. | E.P. | N.(D) | E.P. | E.A. | R.A. | R.P. | R.P. | N.(DR) | N.(DR) |
| Italy | R.A. | N.(D) | E.P. | R.A. | N.(DR) | R.P. | N.(DR) | E.A. | R.P. | N.(DR) |
| Luxembourg | E.P. | R.A. | R.A. | E.P. | E.A. | E.A. | R.P. | N.(DR) | R.P. | N.(DR) |
| Netherlands | R.A. | R.A. | E.P. | E.A. | N.(DR) | R.P. | R.P. | R.P. | E.A. | R.P. |
| Austria | E.P. | R.A. | R.A. | N.(DR) | E.A. | N.(DR) | E.A. | E.A. | N.(D) | N.(D) |
| Portugal | N.(D) | E.P. | E.P. | R.A. | R.P. | E.A. | E.A. | R.P. | R.P. | N.(DR) |
| Finland | N.(D) | R.A. | E.P. | N.(DR) | E.A. | E.A. | R.P. | R.P. | R.A. | E.P. |
**Note:**
E.P. – expansive and pro-cyclical fiscal policy;
E.C. – expansive and countercyclical fiscal policy;
R.P. – restrictive and pro-cyclical fiscal policy;
**Database:** European Commission, DG ECFIN, 2007.
Even if starting with 2006 year the most of euro area member states have registered a favorable economic evolution still the progresses in reduction of structural budgetary deficits are more insignificantly. There is rather a bias for a neutral or expansive fiscal policy in the euro area. Thus, those economies will have difficulties in fulfilling the medium term objective (MTO) of fiscal policy, according to the structural budgetary balance level (represented on the vertical axis of the figure 4 and expressed in percentage of GDP).
In particular, some Member States which have achieved their MTO seem to be pursuing pro-cyclical fiscal policies while others not yet at their MTO are not pursuing an annual structural adjustment of at least 0.5% of GDP. This runs counter to the spirit and the letter of the preventive part of the Pact.
The following classification of the euro area member states results from the figure 4:
a) the member states currently at their MTO are expected to loosen their fiscal stance in 2008 in comparison with 2006 (without Luxemburg). The fiscal stance will be expansionary what generate a worsening of CAB. It will diminish with 0.5 percentage points in Spain (ES), 0.6 p.p. in Netherlands (NL), with 2.9 p.p. in Ireland (IE) respectively;
b) the economies with their CAB less than MTO should adopt a restrictive fiscal policy. According to the European Commission, Italy and Germany registered a significant increase of CAB in 2007 (2 p.p., respectively 1.3 p.p.), but for 2008 it forecast a finishing of this positive evolution. In France, in the absence of offsetting measures, the announced tax-reduction measures will generate a slightly reduction of the CAB (0.1 p.p. in 2008). Greece adopted a restrictive fiscal policy between 2005 and 2007 years, which determined reduction both the budgetary deficit (under 3%) and the structurally deficit (3% in 2006 and 2.4% in 2008).
**Conclusions**
The budgetary position expected for 2008 year presents common features with the period of economic expansion between 1999 and 2002, because the medium-term budgetary objectives are established on the basis of optimistic expectations on the evolution of the economy, which is reflected in the increase of the future budgetary revenues. Promoting an expansionary fiscal policy, as in 2001 (table 2), it may generate a rapid deterioration of budget balances in the case of the reversals of economic developments trend. To not generate effects similar to those of the recent past, euro area governments should not adopt expansionary discretionary policy, but further fiscal consolidation (by increasing the structural budget balance), leading to greater strength of the economy in the bad times.
---
**References**
Buti, M.; Van den Noord, P., „Fiscal policy in EMU: Rules, discretion and political incentives”, *European Economy*, nr. 206, 2004, Comisia Europeană
Cimadomo, J., „Has the Stability and Growth Pact Made Fiscal Policy more Pro-Cyclical?”, *La Lettre du CEPII*, nr. 247, 2005
Cimadomo, J. (2005) „Testing non-linearity in fiscal policy: new evidence from real-time data”, *CEPII Publication*, www.cepii.fr
Comisia Europeană, „New and updated budgetary sensitivities for the EU budgetary surveillance”, *DG ECFIN*, 2005
Comisia Europeană, „Cyclical adjustment of budget balances”, *DG ECFIN Economic Forecasts*, 2007
Comisia Europeană, „Public finances in EMU – 2007”, *DG ECFIN*, 2007
Comisia Europeană, „Quarterly report on the euro area”, *DG ECFIN*, volume 6, nr. 2, 2007
Girouard, N., André, C. (2005) „Measuring Cyclically-Adjusted Budget Balances for OECD Countries”, *OECD Economics Department Working Papers*, nr. 434, 2005
Hein, E., Truger, A., „Fiscal policy and macroeconomic performance in the euro area – lessons for the future”, *IMK Working paper*, nr. 7, 2006
Morris, R., Ongena, H., Schuknecht, L., „The reform and implementation of the Stability and Growth Pact”, *Occasional paper series*, nr. 47, European Central Bank, 2006
OECD, „Economic survey of the euro area”, *Policy brief*, 2007
Taylor, J., „Reassessing Discretionary Fiscal Policy”, *Journal of Economic Perspectives*, American Economic Association, vol. 14(3), 2000 |
The IOC consensus statement: beyond the Female Athlete Triad—Relative Energy Deficiency in Sport (RED-S)
Margo Mountjoy,1 Jorunn Sundgot-Borgen,2 Louise Burke,3 Susan Carter,4 Naama Constantini,5 Constance Lebrun,6 Nanna Meyer,7 Roberta Sherman,8 Kathrin Steffen,2,9 Richard Budgett,9 Arne Ljungqvist9
ABSTRACT
Protecting the health of the athlete is a goal of the International Olympic Committee (IOC). The IOC convened an expert panel to update the 2005 IOC Consensus Statement on the Female Athlete Triad. This Consensus Statement replaces the previous and provides guidelines to guide risk assessment, treatment and return-to-play decisions. The IOC expert working group introduces a broader, more comprehensive term for the condition previously known as ‘Female Athlete Triad’. The term ‘Relative Energy Deficiency in Sport’ (RED-S), points to the complexity involved and the fact that male athletes are also affected. The syndrome of RED-S refers to impaired physiological function including, but not limited to, metabolic rate, menstrual function, bone health, immunity, protein synthesis, cardiovascular health caused by relative energy deficiency. The cause of this syndrome is energy deficiency relative to the balance between dietary energy intake and energy expenditure required for health and activities of daily living, growth and sporting activities. Psychological consequences can either precede RED-S or be the result of RED-S. The clinical phenomenon is not a ‘triad’ of the three entities of energy availability, menstrual function and bone health, but rather a syndrome that affects many aspects of physiological function, health and athletic performance. This Consensus Statement also recommends practical clinical models for the management of affected athletes. The ‘Sport Risk Assessment and Return to Play Model’ categorises the syndrome into three groups and translates these classifications into clinical recommendations.
INTRODUCTION
Protecting the health of the athlete is one of the goals of the International Olympic Committee (IOC).1 The Olympic Movement Medical Code, which governs the actions of the IOC Medical Commission and sport organisations, also emphasises the importance of protecting the health of the athlete.2 In 2005, the IOC published the Consensus Statement (Consensus Statement) and the IOC Position Stand (Position Stand)3 on the Female Athlete Triad.4 Based on scientific evidence published in the intervening period, this Consensus Statement serves to update and replace these documents and provide guidelines to the athlete health support team to guide risk assessment, treatment and return-to-play decisions for affected athletes.
Relative energy deficiency in sport
In the 2005 IOC Consensus Statement,4 the Female Athlete Triad (Triad) was defined as ‘the combination of disordered eating (DE) and irregular menstrual cycles eventually leading to a decrease in endogenous oestrogen and other hormones, resulting in low bone mineral density (BMD) based on the original scientific evidence of Drinkwater et al.’5 In 2007, following progress in scientific understanding, the American College of Sports Medicine redefined the Triad as a clinical entity that refers to the ‘relationship between three inter-related components: energy availability (EA), menstrual function and bone health’.6 Added was an understanding of the pathophysiology describing the concept that over a period of time, the athlete moves along on a continuous spectrum ranging from the healthy athlete with optimal EA, regular menses and healthy bones to the opposite end of the spectrum characterised by amenorrhoea, low EA and osteoporosis.7
Since 2007, scientific evidence and clinical experience show that the aetiological factor underpinning the Triad is an energy deficiency relative to the balance between dietary energy intake (EI) and the energy expenditure required to support homeostasis, health and the activities of daily living, growth and sporting activities. It is also evident that the clinical phenomenon is not a triad of three entities of EA, menstrual function and bone health, but rather a syndrome resulting from relative energy deficiency that affects many aspects of physiological function including metabolic rate, menstrual function, bone health, immunity, protein synthesis, cardiovascular and psychological health. In addition, it is evident that relative energy deficiency also affects men. Therefore, a new terminology is required to more accurately describe the clinical syndrome originally known as the Female Athlete Triad. Based on its interdisciplinary expertise, the IOC Consensus group introduces a more comprehensive, broader term for the overall syndrome, which includes what has so far been called the ‘Female Athlete Triad’: Relative Energy Deficiency in Sport (RED-S).
The syndrome of RED-S refers to impaired physiological function including, but not limited to, metabolic rate, menstrual function, bone health, immunity, protein synthesis, cardiovascular health caused by relative energy deficiency.
The underlying problem of RED-S is an inadequacy of energy to support the range of body functions involved in optimal health and performance. EA is calculated as EI minus the energy cost of exercise relative to fat-free mass (FFM) and in healthy adults, a value of 45 kcal/kg FFM/day equates energy balance.\textsuperscript{7} Low EA, which occurs with a reduction in EI and/or increased exercise load, causes adjustments to body systems to reduce energy expenditure, leading to disruption of an array of hormonal, metabolic and functional characteristics.\textsuperscript{6} DE underpins a large proportion of cases of low EA, but other situations, such as a mismanaged programme to quickly reduce body mass/fat or an inability to track EI with an extreme exercise commitment, may occur without such a psychological overlay.
Although the literature on low EA has focused on female athletes, it has also been reported to occur in male athletes.\textsuperscript{8} Prevalence studies of low EA in male athletes have been few, however, low EA appears to occur among the same at risk sports as for female athletes: the weight sensitive sports in which leanness and/or weight are important due to their role in performance, appearance or requirement to meet a competition weight category.\textsuperscript{8}
Although simple messages about optimal, tolerable and unsafe levels of EA have been provided\textsuperscript{9} there are some caveats in the science. First, the complex dose–response relationship between reduction in EA and the disruption of various hormones\textsuperscript{10} and bone formation markers\textsuperscript{11} vary in nature and thresholds. Therefore, the cost of any energy mismatch should be carefully considered before it is implemented. A second caveat is that it is now known that the resting metabolic rate in athletes of small body size is underestimated in the linear scaling of EA relative to LBM/FFM.\textsuperscript{12} Finally, findings from laboratory settings may not apply as cleanly to free-living athletes. Numerous studies in female athletes have failed to find clear thresholds or associations between field determinations of low EA and objective measures of energy conservation such as metabolic hormones\textsuperscript{13} and menstrual disturbances.\textsuperscript{14} It is possible that other factors seen in free-living populations such as psychological stress, greater variability in between-day and within-day energy deficiency or dietary characteristics interact with each other to alter the effects of low EA.
Disordered eating
The disordered eating (DE) continuum starts with appropriate eating and exercise behaviours, including healthy dieting and the occasional use of more extreme weight loss methods such as short-term restrictive diets (<30 kcal/kg FFM/day).\textsuperscript{15} The continuum ends with clinical eating disorders (EDs), abnormal eating behaviours, distorted body image, weight fluctuations, medical complications and variable athletic performance. The Diagnostic and Statistical Manual of Mental Disorders (DSM-5) diagnostic classifications for EDs include anorexia nervosa, bulimia nervosa, binge ED and other specified and unspecified feeding or ED.\textsuperscript{16} These EDs have many features in common, and athletes frequently move among them.\textsuperscript{6} The pathogenesis of EDs is multifactorial with cultural, familial, individual and genetic/biochemical factors playing roles.\textsuperscript{17} In addition, factors specific to sport such as dieting to enhance performance, personality factors, pressure to lose weight, frequent weight cycling, early start of sport-specific training, overtraining, recurrent and non-healing injuries, inappropriate coaching behaviour and regulations in some sports have been suggested.\textsuperscript{6} The prevalence of DE is about 20% and 13% among adult and adolescent female elite athletes, and 8% and 3% in adult and adolescent male elite athletes, respectively.\textsuperscript{15} \textsuperscript{18} The prevalence differs significantly among sports.\textsuperscript{15}
Hormonal and metabolic imbalance
Eumenorrhoea is defined as regular cycles occurring at intervals between 21 and 35 days. In adolescents, the cycles range between 21 and 45 days.\textsuperscript{19} Primary amenorrhoea is defined as no menarche by age 15 years.\textsuperscript{20} Secondary amenorrhoea refers to an absence of three consecutive cycles post-menarche. Oligomenorrhea is defined as a cycle length greater than 45 days. Estimates of the prevalence of menstrual disorders in athletes vary widely.\textsuperscript{21} Secondary amenorrhoea prevalence is estimated in collegiate women from 2% to 5% and as high as 69% in dancers,\textsuperscript{22} and 65% in long-distance runners.\textsuperscript{23} Primary amenorrhoea in collegiate athletes was found to be 7% overall, and was higher (22%) in cheerleading, diving and gymnastics.\textsuperscript{24} Subtle menstrual dysfunction, such as very light bleeding, mildly extended menstrual interval and premenstrual and postmenstrual spotting may occur, and may be underestimated by routine screening.\textsuperscript{23}
Abnormal levels of hormones,\textsuperscript{25} LH pulsatility, inadequate body fat stores, low EA and exercise stress may be aetiological factors in menstrual disorders in athletes. Marked reduction in EA may disrupt the LH pulsatility by affecting the hypothalamic hormone gonadotropin-releasing hormone output\textsuperscript{27} which subsequently alters the menstrual cycle. This is known as Functional Hypothalamic Amenorrhoea (FHA). Rapid or significant fat mass reduction, even over as short as a 1-month period, may compromise menstrual function. Low EA alters levels of metabolic hormones and substrates, for example, insulin, cortisol, growth hormone, insulin-like growth factor-I (IGF-I), 3,3,5-triiodothyronine, ghrelin, leptin, peptide tyrosine–tyrosine, glucose, fatty acids and ketones.\textsuperscript{28}
Health and performance consequences of RED-S
RED-S can have serious implications for many body systems, resulting in short-term and long-term compromise of optimal health and performance. Athletes who suffer from long-term low EA may develop nutrient deficiencies (including anaemia), chronic fatigue and increased risk of infections and illnesses, all of which have the potential to harm health and performance.\textsuperscript{6} Physiological and medical complications involve the cardiovascular, gastrointestinal, endocrine, reproductive, skeletal, renal and central nervous systems.\textsuperscript{4} Psychological stress and/or depression can result in low EA and EDs and can also be a result of low EA.\textsuperscript{17} Research indicates that muscle protein synthesis is reduced even at EA of 30 kcal/kg FFM/day.\textsuperscript{29} Low EA causes unfavourable lipid profiles and endothelial dysfunction, thereby increasing cardiovascular risk.\textsuperscript{30} Hormonal and metabolic abnormalities caused by RED-S and carbohydrate deficiency can result in a reduction in glucose utilisation, mobilisation of fat stores, slowing of metabolic rate and a decreased production of growth hormone.\textsuperscript{31}
Irregular or absent menses may have significant emotional impact creating anxiety and an altered perception of self-normalcy.\textsuperscript{32} It may also confound conception, leading to unexpected pregnancy as well as inaccurate dating of pregnancy. Long-term reproductive repercussions of RED-S for women and men are unknown.
RED-S also has adverse health consequences for bone. Peak bone mass occurs around 19 years in women and 20.5 years in men.\textsuperscript{33} Oestrogen increases uptake of calcium into blood and deposition into bone, while progesterone facilitates the actions of oestrogen through multiple complex mechanisms.\textsuperscript{34} Even silent oestrogen/progesterone imbalance, as seen in subclinical
ovulatory disturbances with low EA may produce negative changes in bone.\textsuperscript{35} In men and women, testosterone has anabolic effects on bone, stimulating osteoclasts and increasing bone formation and calcium absorption.\textsuperscript{36} Low-testosterone levels have been associated with low BMD in male athletes.\textsuperscript{37} Endogenous oestrogens and androgens have independent effects on bone development in both sexes.\textsuperscript{38–40} Increases in the stress hormones, catecholamines and cortisol, concomitant with low EA, have a negative effect.\textsuperscript{40} The bones of athletes with chronic amenorrhoea, benefit less from the osteogenic effects of exercise.\textsuperscript{41} Although low BMD was first attributed to hypoestrogenism of menstrual dysfunction, low EA is now recognised as an independent factor of poor bone health at all levels of energy deficiency due to decreased Igf-1 and bone formation markers levels.\textsuperscript{42} Bone loss in these athletes may be irreversible.\textsuperscript{43}
Changes in bone structure lead to an increased risk of stress fractures.\textsuperscript{44} Dietary insufficiencies increase the risk of stress fractures in both sexes.\textsuperscript{45, 46} Additional risk factors include menstrual dysfunction,\textsuperscript{47} compulsive exercise, underlying poor bone health\textsuperscript{48, 49} low body mass index, prior fracture\textsuperscript{50} and eating psychopathology.\textsuperscript{50–51} High-risk stress fractures (ie, femoral neck) occur in adolescent athletes with the RED-S, and can have serious long-term consequences\textsuperscript{52, 53} (figure 1). RED-S can also affect athletic performance. Functional impairments associated with low energy availability include a greater prevalence of viral illnesses,\textsuperscript{53} injuries\textsuperscript{56} and most critically reduced responsiveness to training and subsequent performance.\textsuperscript{57} Further studies of performance effects of low energy availability are likely to provide significant incentive to change damaging behaviours. Such studies should confirm under which situations these effects occur (figure 2). In addition, some athletes with disordered eating/eating disorders practise extreme weight control methods (fasting, vomiting, diuretic and laxative abuse) that have possible health and performance consequences such as dehydration and electrolyte imbalances, and gastrointestinal problems, including esophagitis and oesophageal perforation from vomiting. Diuretics and some diet pills may contain WADA prohibited substances.\textsuperscript{58}
**Male athletes**
Although there is a dearth of prevalence studies in low EA in male athletes, Vogt \textit{et al.}\textsuperscript{59} showed that male cyclists had severely reduced EA of 8 kcal/kg/FFM/day and Müller \textit{et al.}\textsuperscript{60} have reported high prevalence of underweight international level ski jumpers. Although male athletes are at lower risk for developing DE/EDs,\textsuperscript{61} the prevalence in elite male athletes is high in cycling (50%),\textsuperscript{62} gravitational (24%) and weight class sports (18%).\textsuperscript{13} DE/EDs in male jockeys are associated with low BMD.\textsuperscript{63} Even in the absence of DE/EDs, male endurance athletes in running\textsuperscript{64, 65} and in non-weight bearing sports such as cycling,\textsuperscript{66–68} are at high risk for low BMD. Low EA alters endocrine function\textsuperscript{14} and direct and indirect impacts on bone may occur in male athletes.\textsuperscript{69}
**Athletes of non-caucasian ethnicity**
The prevalence of low EA has been studied mainly in females of Caucasian, European or European American descent. Whether race plays a role in the incidence and underlying aetiology of the RED-S remains speculative.
Race is a significant variable for several of the individual Triad components in non-athletic women. For example, a lower risk of ED is shown in African-American than Caucasian women,\textsuperscript{71} even among adolescent athletes.\textsuperscript{72} Whether the prevalence of menstrual disorders differs among racially diverse, athletic groups is currently unknown. In non-athletes, menarche occurs significantly earlier in African-American than in Caucasian or European American women.\textsuperscript{73} The BMD of African-American non-athletic females is significantly greater than that of Caucasian women, with a lower risk of osteoporosis and fracture.\textsuperscript{74} In athletes, little is known...
about the differences in BMD among ethnic groups, especially in the presence of low EA, DE/EDs and hormonal and metabolic imbalances. Stress fractures in African-American military recruits are lower than in Caucasian recruits.\textsuperscript{73} Based on preliminary data of a multicentre study, African-American and African black athletes exhibit similar symptoms of low EA, with Caucasian athletes showing greater risk of DE/EDs and menstrual dysfunction\textsuperscript{76} and no advantage for BMD in African black athletes.\textsuperscript{77} There are no published scientific studies in Hispanic and limited evidence on Asian athletes.\textsuperscript{78}
**Athletes with a disability**
At present there are no data available on low EA in athletes with disabilities. Individuals with spinal cord injuries, suffer from osteoporosis due to the lack of skeletal loading.\textsuperscript{79} While no data exist on EA or DE/ED patterns in athletes with a disability, their occurrence should not be overlooked. RED-S in athletes with a disability should be taken seriously due to possible comorbidities. Athletes with an amputation and who ambulate may have additional energetic challenges due to the inefficiency of movement,\textsuperscript{80} thus increasing their risk for inadvertent energy deficiency.\textsuperscript{81}
**Screening and diagnosis**
Relative energy deficiency and EDs in sport
The screening and diagnosis of RED-S is challenging, as symptomatology can be subtle. A high index of suspicion of the athlete at risk is needed. Early detection is crucial to improve performance and prevent long-term health consequences. Screening for RED-S should be undertaken as part of an annual Periodic Health Examination (PHE) and when an athlete presents with DE/ED, weight loss, lack of normal growth and development, menstrual dysfunction, recurrent injuries and illnesses, decreased performance or mood changes. Although various screening instruments exist,\textsuperscript{16–82,83} they have not been validated and there is no consensus on which screening tool has the best efficacy.\textsuperscript{84,85} Furthermore, these tools exclude men, disabled athletes and are not ethnically diverse.
Since low EA plays a pivotal role in the development of the RED-S, diagnosis should focus on identification of the presence and causes of the low EA. Unfortunately, there are no standardised guidelines to determine EA. EA is equivalent to EI minus the cost of exercise energy expenditure (EEE) relative to FFM or lean body mass: \( \text{EA (kcal/kg FFM/day)} = (\text{EI (kcal/day)} - \text{EEE (kcal/day)}) \). Measurement of each of these components requires expertise and is generally imprecise. EI can be assessed by retrospective (recall) or prospective (written or electronic food diary) methods.\textsuperscript{86} EEE is usually assessed by an exercise log and tables of energy expenditure associated with sports/exercise activities, but may be supplemented where available by data collected via modern sports technology (eg, Global Positioning System Units, Heart Rate Monitors or Power Meters). Ideally, EI and EEE are measured over a similar time period that is representative of habitual practices. FFM can be quantified by methods such as dual-energy X-ray absorptiometry (DXA) and anthropometry.\textsuperscript{87} A measurement of resting metabolic rate via indirect calorimetry may provide confirmation of suppressed metabolism secondary to low EA. Underpinning factors related to an unintentional mismatch between EI and large training/competition volume, intensity or misguided weight loss practices may be relatively easy to diagnose.
The Brief Eating Disorder in Athletes Questionnaire (BEDA-Q) is a validated screening tool that shows promising results in terms of distinguishing between female elite athletes with and without ED/DE.\textsuperscript{88} The Gold Standard for the diagnosis of EDs is the Eating Disorder Examination interview (EDE-16).\textsuperscript{89} For diagnostic criteria for ED see APA.\textsuperscript{16}
**Menstrual dysfunction**
FHA is a diagnosis of exclusion. Assessment of irregular menses should include a menstrual history assessing age of menarche, regularity of menses, use of medications, the presence of other health issues and a family menstrual history. Physical examination includes assessment of anthropometry, pubertal stage, signs of ED and secondary causes of amenorrhoea.\textsuperscript{83} Pelvic examination may reveal pregnancy or hypoestrogen-related vaginal atrophy. Laboratory assessment of haemoglobin, luteinising hormone, follicle stimulating hormone, prolactin, oestradiol, T4, thyroid stimulating hormone, pregnancy and androgen profile may be indicated. More extensive testing might include a pelvic ultrasound and endometrial sampling to rule out other gynaecological pathologies.
**Bone health**
In athletes with low EA, DE, ED or amenorrhoea of over 6 months, BMD should be measured by DXA.\textsuperscript{90,91} In the adolescent, DXA should include the whole body (head excluded) in addition to the lumbar spine.\textsuperscript{6,92} As athletes in weight-bearing sports should have 5–15% higher BMD than non-athletes\textsuperscript{93,94} a BMD Z-score <−1.0 SD warrants further attention. In the athlete population, low BMD is defined as a Z-score between −1.0 and −2.0 SD, together with a history of nutritional deficiencies, hypoestrogenism, stress fracture or other secondary clinical risk factors for fracture. A value below −2.0 SD is considered as osteoporosis with the presence of secondary clinical risk factors.\textsuperscript{6} The recommended interval to reassess BMD via DXA scan for athletes at risk, or who are being treated for low BMD is 12 months in adults and a minimum of 6 months in adolescents.\textsuperscript{95}
**Treatment strategies of RED-S**
**Treatment strategies for low EA**
The treatment of low EA should involve an increase in EI, reduction in exercise or a combination of both. The only strategy to have received scientific scrutiny is the addition of an energy-rich supplement (eg, liquid meal product) to habitual intake and a small reduction in, or introduction of a rest day to the weekly training programme.\textsuperscript{96–98} Despite the small sample size, this intervention was successful,\textsuperscript{96,97} however, not in all studies\textsuperscript{98} as this strategy may fail to address many underlying dietary and psychological factors. While developing a strategy to implement a diet of known and appropriate EA may be logical, it is usually impractical due to the challenges of measuring EA in the field. Therefore, a practical treatment approach to address low EA is to implement an eating plan that increases current EI by ~300–600 kcal/day (1.2–2.4 MJ/day) and addresses suboptimal practices related to energy spread over the day and around exercise sessions, dietary composition and food-related stress.
**Treatment strategies for low EA-associated menstrual dysfunction**
In collegiate athletes, weight gain is the strongest predictor of recovery of normal menstrual function.\textsuperscript{99–101} Adequate protein and carbohydrate intake is recommended to restore liver glycogen to facilitate LH pulsatility.\textsuperscript{102,103} The time frame for the resumption of menses varies according to the severity of the energy deficiency and the duration of the menstrual dysfunction.\textsuperscript{100}
Although oral contraceptives (OCs) may be considered for athletes requiring contraception,\textsuperscript{103} these may mask the low EA,
menstrual dysfunction and perpetuate bone loss. Injectable depot medroxyprogesterone, another form of contraception, can cause amenorrhoea and hence prolonged use can adversely affect BMD\textsuperscript{104} and adolescent bone mass accrual,\textsuperscript{105} which is reversible to a certain extent on discontinuation.\textsuperscript{106} Many physicians prescribe low-dose OCs as hormone replacement in the amenorrheic athlete, however, this intervention does not correct the aetiological cause of relative energy deficiency and may compromise the attainment of peak bone density.\textsuperscript{107}
Treatment options to restore fertility may include increasing EA. Pharmacological agents may be necessary to stimulate ovulation in luteal phase deficiency.\textsuperscript{27} Attention must be paid to infertility treatments identified in the WADA Prohibited List.\textsuperscript{38}
**Treatment strategies to optimise bone health**
Strategies to reverse bone loss in women with FHA parallel those used for amenorrhoeic women with anorexia.\textsuperscript{108} In the latter population, weight gain with or without the subsequent resumption of menses restores the coupling of bone formation and resorption\textsuperscript{109–110} and improves BMD.\textsuperscript{109} However, full recovery may not be feasible, as bone microarchitecture is also impaired.\textsuperscript{111} EI alone increases bone mass by 1–10% in women with anorexia.\textsuperscript{110–112} It is essential to restore the energy and oestrogen-dependent mechanisms of bone loss in order to improve mineralisation of trabecular bone and growth of cortical bone.\textsuperscript{113} Mechanical loading and high-impact sports are known to positively affect BMD\textsuperscript{113–114} as well as bone geometry.\textsuperscript{115} Programmes of high-impact loading and resistance training should be implemented at least 2–3 days/week for athletes in non-weight bearing sports and/or those with decreased BMD.\textsuperscript{6}
The athlete diet should include 1500 mg/day of calcium through dietary sources with supplementation if required.\textsuperscript{117} The Endocrine Society Guideline (2011) recommends maintaining vitamin D [25(OH)D] blood levels above 32–50 ng/mL, with 1500–2000 IU/day of vitamin D.\textsuperscript{118} Vitamin D deficiency is common in northern latitudes, especially during winter when there are fewer hours of sunlight and among athletes who train indoors.\textsuperscript{120,121} Other factors include dark pigmented skin, and the use of sunscreen. A recent meta-analysis of vitamin D supplementation found a positive effect in femoral and hip BMD, with no effect in the spine.\textsuperscript{122}
Transdermal oestradiol (given with cyclic progesterone) has shown some success in increasing BMD in patients with anorexia.\textsuperscript{123} In some studies, combination OCs containing 20–35 µg of oestradiol have maintained or improved BMD in amenorrhoeic athletes.\textsuperscript{124,125} However, use of the OCP in athletes with FHA have been reported to have a detrimental effect on BMD through the suppression of androgen secretion and cause premature closure of the epiphyses compromising growth of the long bones in adolescents.\textsuperscript{126}
Bisphosphonates, which inhibit the resorption of bone, are not recommended for women of reproductive age, as they are stored in bone for prolonged amounts of time and have been shown to be teratogenic.\textsuperscript{127–128} Other therapies including raloxifene (a selective oestrogen receptor modulator or SERM), parathyroid hormone peptides, teriparatide and calcitonin, are also not approved for use in premenopausal women. Some novel potential therapies are being developed, but clinical trials are lacking.\textsuperscript{129–130} These include insulin-derived growth factor (a bovine anabolic agent)\textsuperscript{131,132} and leptin which can be used to stimulate appetite, thus effecting resumption of menses and subsequent improvement in BMD.\textsuperscript{133–135}
In men, detection and correction of any underlying pathology is essential, including testosterone therapy with hypogonadism and osteoporosis. Bisphosphonates may be used as monotherapy, as consolidative therapy after a course of teriparatide administration or in combination with hormonal replacement.\textsuperscript{136} Denosumab and strontium ranelate also increase BMD in men with osteoporosis.\textsuperscript{137}
**Treatment strategies for psychological sequelae**
If an athlete will not or cannot follow the treatment plan, a psychological factor is generally present. Athlete resistance to treatment usually increases with the severity of the eating problem.\textsuperscript{138} Treatment should be provided by a mental health professional knowledgeable about the management of EDs in athletes. The frequency, types, intensity and duration of psychological treatment depend on the severity, chronicity and the medical and psychological complications of the eating problem,
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**Table 1** Relative Energy Deficiency in Sport risk assessment model (modified from Skärderud et al)\textsuperscript{140}
| High risk: no start red light | Moderate risk: caution yellow light | Low risk: green light |
|------------------------------|-----------------------------------|-----------------------|
| ► Anorexia nervosa and other serious eating disorders | ► Prolonged abnormally low % body fat measured by DXA or anthropometry using The International Society for the Advancement of Kinanthropometry ISAK\textsuperscript{141} or non-ISAK approaches\textsuperscript{142} | ► Healthy eating habits with appropriate energy availability |
| ► Other serious medical (psychological and physiological) conditions related to low energy availability | ► Substantial weight loss (5–10% body mass in 1 month) | |
| ► Extreme weight loss techniques leading to dehydration induced haemodynamic instability and other life-threatening conditions | ► Attenuation of expected growth and development in adolescent athlete | |
| | ► Abnormal menstrual cycle: FHA amenorrhoea >6 months | ► Normal hormonal and metabolic function |
| | ► Menarche >16 years | |
| | ► Abnormal hormonal profile in men | |
| | ► Reduced BMD (either from last measurement or Z-score < −1 SD). | |
| | ► History of 1 or more stress fractures associated with hormonal/menstrual dysfunction and/or low EA | |
| | ► Athletes with physiopsychological complications related to low EA | |
| | ► Disordered eating behaviour negatively affecting other team members | |
| | ► Lack of progress in treatment and/or non-compliance | |
BMD, bone mineral density; DXA, dual-energy X-ray absorptiometry; EA, energy availability; FHA, functional hypothalamic amenorrhoea; ISAK, International Society for the Advancement of Kinanthropometry
as well as the comorbid psychological disorders that often accompany such problems. Ideally, eating problems can be treated on an outpatient basis. Medical complications, risk of self-harm and lack of progress in outpatient treatment indicate a need for more intensive treatment regimens including inpatient, residential, partial hospitalisation and intensive outpatient programmes. Treatment is usually required for several months. Treatment modalities might include cognitive behavioural therapy, dialectical behaviour therapy or family-based therapy. Comorbid conditions, such as depression, anxiety and other psychological problems also need to be addressed. Pharmacotherapy may also be recommended; antidepressants are the class of medications most often prescribed.\textsuperscript{139}
**Clinical models for sport participation and return-to-play**
**Risk assessment for sport participation**
There are limited evidence-based guidelines to assist the athlete healthcare team in the assessment for sport participation clearance with RED-S. Based on the guidelines from the Norwegian Olympic Training Center\textsuperscript{140} and the collective expertise of the IOC Consensus group, a new model of criteria to assess risk for sport participation has been developed (table 1). This model can be incorporated into the PHE. The criteria for this model are based on those used at the Norwegian Olympic Training Center,\textsuperscript{140} and also recommended by the IOC Body Composition, Health and Performance Working group.\textsuperscript{8}
It is recommended that athletes in the ‘High Risk—Red Light’ risk category should not be cleared to participate in sport. Owing to the severity of their clinical presentation, sport participation may pose serious jeopardy to their health and may also distract the athlete from devoting the attention needed for treatment and recovery.\textsuperscript{138} These athletes should receive treatment using a written treatment contract (see online supplementary appendix 1). Athletes in the ‘Moderate Risk—Yellow Light’ risk category should be cleared for sport participation only with supervised participation and a medical treatment plan. Re-evaluation of the athlete’s risk assessment should occur at regular intervals of 1–3 months depending on the clinical scenario to assess compliance and to detect changes in clinical status.
**Return-to-play**
Decision-making regarding return-to-play (RTP) following time away from sport for recovery from injury and/or illness is based on the assessment of the athlete’s health and the requirements of his/her sport.\textsuperscript{143,144} Table 3 adapts Creighton’s RTP Model and the guidelines from the Norwegian group\textsuperscript{140} to the athlete with RED-S through the addition of RED-S specific criteria.
The RED-S Risk Assessment Model is adapted to aid clinicians’ decision-making for determining an athlete’s readiness to return to sport. Following clinical reassessment utilising the three-step evaluation outlined in table 2, athletes can be reclassified into the ‘High Risk—Red Light’, ‘Moderate Risk—Yellow Light’ or ‘Low Risk—Green Light’ categories. The RED-S return-to-play model (table 3) outlines the sport activity recommended for each risk category.
**Recommendations to address RED-S**
The following recommendations are formulated based on a review of the scientific evidence and the collective expertise of the IOC Consensus group relating to the RED-S.
**Athlete entourage recommendations**
The athlete’s entourage can prevent RED-S through implementation of the following strategies:
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**Table 2** The Relative Energy Deficiency in Sport Decision-based Return-to-Play Model (modified from Creighton et al)\textsuperscript{43}
| Steps | Risk modifiers | Criteria | Red-S-specific criteria |
|-------|----------------|----------|-------------------------|
| Step 1 Evaluation of health status | Medical factors | Patient demographics Symptoms Medical history Signs Laboratory tests Psychological health Potential seriousness | Age, sex (see Yellow light column of table 1) Recurrent dieting, menstrual health, bone health Weight loss/fluctuations, weakness Hormones, electrolytes, ECG and DXA Depression, anxiety, disordered eating/eating disorder Abnormal hormonal and metabolic function Stress, fracture |
| Step 2 Evaluation of participation risk | Sport risk modifiers | Type of sport Position played Competitive level | Weight sensitive, leanness sport Individual vs team sport |
| Step 3 Decision modification | Decision modifiers | Timing and season Pressure from athlete External pressure Conflict of interest Fear of litigation | Elite vs Re-creational In/out of season, travel, environmental factors Desire to compete Coach, team owner, athlete family and sponsors If restricted from competition |
DXA, dual-energy X-ray absorptiometry.
---
**Table 3** The Relative Energy Deficiency in Sport Return-to-Play Model (modified from Skårerud et al, 2012)\textsuperscript{140}
| High risk red light | Moderate risk yellow light | Low risk: green light |
|---------------------|----------------------------|-----------------------|
| ▶ No competition | ▶ May compete once medically cleared under supervision | ▶ Full sport participation |
| ▶ Supervised training allowed when medically cleared for adapted training | ▶ May train as long as is following the treatment plan | |
| ▶ Use of written contract (see supplementary appendix 1) | | |
Educational programmes on RED-S, healthy eating, nutrition, EA, the risks of dieting and how these affect health and performance.
- Reduction of emphasis on weight, emphasising nutrition and health as a means to enhance performance.
- Development of realistic and health-promoting goals related to weight and body composition.
- Avoidance of critical comments about an athlete’s body shape/weight.
- Use of reputable sources of information.
- Promotion of awareness that good performance does not always mean the athlete is healthy.
- Encouragement and support of appropriate, timely and effective treatment.
Healthcare professional recommendations
HealthCare professionals can decrease the health implications of RED-S through the following interventions:
- Identification of a multidisciplinary athlete health support team including sports physician, nutritionist, psychologist, physiotherapist and physiologist.
- Education of the medical team in the detection and treatment of the RED-S.
- Implementation of the RED-S Risk Assessment Model in the PHE and the RED-S RTP Model.
Sport organisation recommendations
Sport organisations such as International Federations, National Olympic Committees and National Sport Federations can prevent RED-S through the implementation of:
- Preventative educational programmes;
- Rule modifications/changes to address weight-sensitive issues in sport;
- Policies for coaches on the healthy practice of managing athlete eating behaviour, weight and body composition.
Research recommendations
Research institutions should focus on research and evaluation of:
- The aetiology and treatment of athletes with RED-S including males, ethnic and disabled populations;
- Design and validation of tools to accurately measure EA in the clinical setting;
- The validation of screening tools and treatment programmes such as the RED-S Risk Assessment Model and RED-S RTP Model.
What is already known on this topic?
- The International Olympic Committee (IOC) has published a Consensus Statement and Position Stand (2005) on the Female Athlete Triad outlining the pathophysiology and prevalence of this syndrome.
- Low energy availability is the aetiological process underpinning the development of the Female Athlete Triad.
- Prevalence measures of the Triad indicate that female athletes are particularly vulnerable to this syndrome in sports where leanness and/or weight are important due to their role in performance, appearance or requirement to meet a competition weight category.
How might this IOC consensus statement impact on clinical practice in the near future?
- Scientific evidence and clinical experience around the effects of low energy availability shows that several body systems in addition to the reproductive and musculoskeletal systems are affected, and that men are at risk as well as women.
- Based on the evidence, a broader term, which includes what has so far been called the ‘Female Athlete Triad’, is introduced: Relative Energy Deficiency in Sport (RED-S).
- Owing to the potential serious health consequences of this syndrome, there is a need in the clinical realm to establish a ‘Sport Risk Assessment’ model to protect the health and well-being of athletes with this syndrome.
- ‘Return-to-Play’ guidelines will assist the athlete health support team in the safe return of the affected athlete to sport participation.
- Recommendations for sport organisations, athlete entourage and research institutions will result in future awareness, understanding and further evidence-based knowledge of the RED-S.
Author affiliations
1Department of Family Medicine, Michael G. DeGroote School of Medicine, McMaster University, Hamilton, Ontario, Canada
2Department of Sports Medicine, The Norwegian School of Sport Sciences, Oslo, Norway
3Department of Sports Nutrition, Australian Institute of Sport, Belconnen, Australia
4University of Northern Colorado, University of Colorado Medical School, Lakewood, Colorado, USA
5Orthopedic Department, Hadassah-Hebrew University Medical Center, Jerusalem, Israel
6Department of Family Medicine, Faculty of Medicine & Dentistry, Glen Sather Sports Medicine Clinic, University of Alberta, Edmonton, Alberta, Canada
7Health Sciences Department and United States Olympic Committee, University of Colorado, Colorado Springs, Colorado, USA
8The Victory Program at McCallum Place, St. Louis, Missouri, USA
9IOC Medical and Scientific Department, Lausanne, Switzerland
Acknowledgements
The authors would like to acknowledge the work of Barbara Drinkwater in the field of the Female Athlete Triad, and for her ongoing support of the advancement of science in this domain.
Contributors
MM and JS-B were involved in the substantial contributions to conception and design, co-coordinator of IOC Expert Group + Consensus meeting, drafting and revising the manuscript and final revision to be published. LB, SC NC, CM, KS and RS were members of IOC Expert Group + contribution to consensus meeting, substantial contribution to drafting and final revision of the manuscript to be published. KS was the contributor at Consensus meeting, final revision of the manuscript to be published. RB was the Director IOC Medical & Scientific Department, participant at Consensus meeting, final revision of the manuscript to be published. AL was the Chairman of IOC Medical Commission, participant at Consensus meeting, final revision of the manuscript to be published.
Funding
The Consensus meeting was funded by the International Olympic Committee.
Competing interests
None.
Provenance and peer review
Commissioned; internally peer reviewed.
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The IOC consensus statement: beyond the Female Athlete Triad—Relative Energy Deficiency in Sport (RED-S)
Margo Mountjoy, Jorunn Sundgot-Borgen, Louise Burke, et al.
*Br J Sports Med* 2014 48: 491-497
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MULTIDIMENSIONAL FEM-TVD PARADIGM FOR CONVECTION-DOMINATED FLOWS
Dmitri Kuzmin* and Stefan Turek
Institute of Applied Mathematics (LS III), University of Dortmund
Vogelpothsweg 87, D-44227, Dortmund, Germany
*e-mail: firstname.lastname@example.org, web page: http://www.mit.jyu.fi/kuzmin
Key words: Convection-Dominated Flows, Navier-Stokes Equations, $k-\varepsilon$ Turbulence Model, High-Resolution Schemes; Finite Elements; Unstructured Meshes
Abstract. An algebraic approach to the design of multidimensional high-resolution schemes is introduced and elucidated in the finite element context. A centered space discretization of unstable convective terms is rendered local extremum diminishing by a conservative elimination of negative off-diagonal coefficients from the discrete transport operator. This modification leads to an upwind-biased low-order scheme which is nonoscillatory but overly diffusive. In order to reduce the incurred error, a limited amount of compensating antidiffusion is added in regions where the solution is sufficiently smooth. A node-oriented flux limiter of TVD type is designed so as to control the ratio of upstream and downstream edge contributions to each node. Nonlinear algebraic systems are solved by an iterative defect correction scheme preconditioned by the low-order evolution operator which enjoys the M-matrix property. The diffusive and antidiffusive terms are represented as a sum of antisymmetric internodal fluxes which are constructed edge-by-edge and inserted into the global vectors. The new methodology is applied to the equations of the $k-\varepsilon$ turbulence model and relevant implementation aspects are addressed. Numerical results are presented for the three-dimensional incompressible flow over a backward facing step.
1 INTRODUCTION
The class of total variation diminishing (TVD) methods was introduced by Harten [6] two decades ago and carried over to unstructured grid finite element methods in [10], [11]. A node-oriented flux limiter of TVD type was designed so as to render an oscillatory high-order discretization local extremum diminishing (LED) via conservative matrix manipulations. This straightforward ‘postprocessing’ technique is applicable to discrete operators of any origin regardless of the underlying mesh and of the time-stepping scheme. Moreover, it is readily portable to multidimensions and can be integrated into existing CFD codes as a modular extension to the matrix assembly routine. In the present paper, we apply the FEM-TVD algorithm to incompressible flow problems and dwell on the implementation of the $k-\varepsilon$ turbulence model. Three-dimensional numerical examples illustrate the performance of the proposed simulation tools. An extension of the algebraic flux correction paradigm to the Euler equations of gas dynamics is presented in [11].
2 ALGEBRAIC CONSTRAINTS
First of all, let us introduce the algebraic constraints which should be imposed on the discrete operators to prevent the formation of spurious undershoots and overshoots in the vicinity of steep gradients. As a model problem, consider the continuity equation
$$\frac{\partial u}{\partial t} + \nabla \cdot (\mathbf{v}u) = 0$$
(1)
discretized in space by a numerical method which yields an ODE system of the form
$$\frac{\text{d}u_i}{\text{d}t} = \sum_{j \neq i} c_{ij}(u_j - u_i), \quad \forall i.$$
(2)
It was shown by Jameson [7] that if the coefficients $c_{ij}$ are nonnegative, then the semi-discrete scheme is local extremum diminishing (LED). Indeed, if a maximum is attained at node $i$, then each term in the sum over $j \neq i$ is less than or equal to zero and so is the time derivative of the nodal value $u_i$. So a maximum cannot increase, and in much the same way one can show that a minimum cannot decrease. For three-point finite difference methods, this requirement reduces to Harten’s TVD conditions. Therefore, LED schemes are total variation diminishing in the 1D case. At the same time, Jameson’s criterion is more general and turns out to be very handy in multidimensions, since the sign of matrix entries is easy to verify for arbitrary discretizations on unstructured meshes.
After the time discretization, an additional constraint should be imposed to make sure that quantities like densities, temperatures or concentrations remain nonnegative. In general, a fully discrete scheme is positivity-preserving if it admits the representation
$$Au^{n+1} = Bu^n,$$
(3)
where $B = \{b_{ij}\}$ has no negative entries and $A = \{a_{ij}\}$ is a so-called $M$-matrix defined as a nonsingular discrete operator such that $a_{ij} \leq 0$ for $j \neq i$ and all the coefficients of its
inverse are nonnegative. These properties imply that the positivity of the old solution $u^n$ carries over to $u^{n+1} = A^{-1}Bu^n$. As a useful byproduct, this algebraic criterion yields a readily computable upper bound for admissible time steps. In particular, LED schemes of the form (2) are unconditionally positivity-preserving for $\theta = 1$ (backward Euler method) and subject to the following CFL-like condition otherwise [9]
$$\max_i |c_{ii}^n| \Delta t \leq \frac{1}{1 - \theta}, \quad \text{for} \quad 0 \leq \theta < 1.$$
(4)
Note that this estimate is based solely on the magnitude of the diagonal coefficients $c_{ii}^n$.
3 DESIGN OF HIGH-RESOLUTION SCHEMES
The basic idea for the derivation of an algebraic high-resolution scheme is rather simple. It can be traced back to the concepts of flux-corrected transport introduced by Boris and Book in the early 1970s [1]. Roughly speaking, the governing equation is discretized in space by an arbitrary linear high-order method (e.g. central differences or Galerkin FEM) and the resulting matrices are modified a posteriori so as to enforce the above algebraic constraints at the (semi-)discrete level. The flow chart of required algebraic manipulations is sketched in Fig. 1. The time step $\Delta t$ should be chosen so as to satisfy condition (4).
First, the consistent mass matrix $M_C$ is replaced by its lumped counterpart $M_L$ and the high-order operator $K$ is transformed into a nonoscillatory low-order one by adding a discrete diffusion operator $D$ designed so as to get rid of all negative off-diagonal coefficients. In accordance with the well-known Godunov theorem, this manipulation results in a global loss of accuracy. In order to prevent excessive smearing in smooth regions, it is necessary to remove as much artificial diffusion as possible without generating wiggles. To this end, a limited amount of compensating antidiffusion $F$ is added in the next step. Even though the final transport operator $K^*$ does have negative off-diagonal coefficients, they are harmless as long as there exists an equivalent LED representation of the modified scheme. For a given solution vector $u$, there should exist a matrix $L^*$ such that all off-diagonal entries $l_{ij}^*$ are nonnegative and $L^*u = K^*u$. Following these guidelines, let us derive the operators $D$ and $F$ for a multidimensional FEM-TVD algorithm.
4 DISCRETE UPWINDING
Let us perform mass lumping in the left-hand side of the Galerkin scheme and represent the semi-discretized equation for the nodal value $u_i$ as follows
$$m_i \frac{du_i}{dt} = \sum_{j \neq i} k_{ij}(u_j - u_i) + \delta_i u_i, \quad \delta_i = \sum_j k_{ij}. \tag{5}$$
The elimination of negative off-diagonal coefficients does not affect the term $\delta_i u_i$ which vanishes for divergence-free velocity fields and is responsible for a physical growth of local extrema otherwise [11]. The artificial diffusion operator $D$ is designed to be a symmetric matrix with zero row and column sums. Therefore, the diffusive term $Du$ can be decomposed into a sum of antisymmetric numerical fluxes between neighboring nodes
$$(Du)_i = \sum_{j \neq i} f_{ij}^d, \quad \text{where} \quad f_{ij}^d = d_{ij}(u_j - u_i), \quad f_{ji}^d = -f_{ij}^d. \tag{6}$$
In practice, we start with the high-order operator $L := K$ and examine each pair of nonzero off-diagonal coefficients $k_{ij}$ and $k_{ji}$ which corresponds to an edge $\overline{ij}$ of the sparsity graph. The ‘optimal’ artificial diffusion coefficient $d_{ij}$ is given by [8],[9]
$$d_{ij} = \max\{0, -k_{ij}, -k_{ji}\}. \tag{7}$$
If the smaller off-diagonal coefficient, say $k_{ij}$, is negative, then $l_{ij} = k_{ij} + d_{ij}$ is equal to zero and three other entries are modified so as to restore the row/column sums
$$l_{ii} := l_{ii} - d_{ij}, \quad l_{ij} := l_{ij} + d_{ij},$$
$$l_{ji} := l_{ji} + d_{ij}, \quad l_{jj} := l_{jj} - d_{ij}. \tag{8}$$
The edge is oriented so that $l_{ji} \geq l_{ij} = \max\{0, k_{ij}\}$. This convention implies that node $i$ is located ‘upwind’, which enables us to derive an upwind-biased scheme of TVD type.
5 ALGEBRAIC FLUX CORRECTION OF TVD TYPE
The elimination of negative off-diagonal matrix entries corresponds to the upwind difference approximation in the 1D case [9],[11]. This is why it is called ‘discrete upwinding’. By construction, the resulting scheme is the least diffusive linear LED counterpart of the original Galerkin discretization. Nevertheless, its accuracy leaves a lot to be desired and should be enhanced by adding a nonlinear antidiffusive correction to the low-order operator. The task of the flux limiter is to make sure that the final transport operator $K^* = L + F = K + D + F$ admits an equivalent LED representation (see Fig. 1).
In practice, the antidiffusive term $Fu$ is assembled edge-by-edge as follows
$$ (Fu)_i = \sum_{j \neq i} f^a_{ij} \quad \text{such that} \quad f^a_{ji} = -f^a_{ij}, $$
(9)
where the limited antidiffusive flux $f^a_{ij}$ from node $j$ into its upwind (in the sense of our orientation convention) neighbor $i$ depends on the diffusion coefficient $d_{ij}$ for discrete upwinding and on the entry $l_{ji} = \max\{k_{ji}, k_{ji} - k_{ij}\}$ of the low-order transport operator
$$ f^a_{ij} := \min\{\Phi(r_i)d_{ij}, l_{ji}\}(u_i - u_j). $$
(10)
Here $\Phi$ is a standard TVD limiter (e.g. minmod, Van Leer, MC, superbee) applied to a suitable smoothness indicator $r_i$ (to be specified below). At the same time, the antidiffusive flux into node $j$ is defined as $f^a_{ji} := -f^a_{ij}$ so that mass conservation is guaranteed.
Let us derive a sufficient condition for the modified scheme to be local extremum diminishing. If $\Phi(r_i) = 0$ or $d_{ij} = 0$, the antidiffusive flux $f^a_{ij}$ vanishes and does not pose any hazard. Therefore, we restrict ourselves to the nontrivial case $f^a_{ij} \neq 0$ which implies that both $\Phi(r_i)$ and $d_{ij}$ are strictly positive. The symmetry property of TVD limiters [7] makes it possible to represent the antidiffusive flux in the form
$$ f^a_{ij} = \Phi(r_i)a_{ij}(u_i - u_j) = \Phi(1/r_i)a_{ij}\Delta u_{ij}, $$
(11)
where the antidiffusion coefficient $a_{ij}$ and the upwind difference $\Delta u_{ij}$ are defined as follows
$$ a_{ij} := \min\{d_{ij}, l_{ji}/\Phi(r_i)\}, \quad \Delta u_{ij} := r_i(u_i - u_j). $$
(12)
The assumption $d_{ij} > 0$ implies that $k_{ij} < 0$ and $l_{ij} = 0$ for the edge $\overrightarrow{ij}$ which links an upwind node $i$ and a downwind node $j$. Therefore, the edge contributions to the two components of the modified convective term $K^*u$ can be written as
$$ k^+_{ij}(u_j - u_i) = f^a_{ij}, \quad k^-_{ji}(u_i - u_j) = l_{ji}(u_i - u_j) - f^a_{ij}. $$
(13)
The increment to node $j$ is obviously of diffusive nature and satisfies the LED criterion, since the coefficient $k^+_{ji} = l_{ji} - \Phi(r_i)a_{ij}$ is nonnegative by construction (see the definition of $a_{ij}$). Furthermore, it follows from relation (11) that the negative off-diagonal entry
\( k^*_i = -\Phi(r_i) a_{ij} \) of the nonlinear operator \( K^* \) is acceptable provided that the auxiliary quantity \( \Delta u_{ij} \) admits the following representation
\[
\Delta u_{ij} = \sum_{k \neq i} \sigma_{ik} (u_k - u_i), \quad \text{where} \quad \sigma_{ik} \geq 0, \quad \forall k \neq i.
\]
(14)
In other words, the limited antidiffusive flux \( f^a_{ij} \) from node \( j \) into node \( i \) should be interpreted as a sum of diffusive fluxes contributed by other neighbors.
### 5.1 NODE-ORIENTED FLUX LIMITER
Let us introduce a fully multidimensional limiting strategy which is akin to that proposed by Zalesak [20] in the framework of flux-corrected transport (FCT) methods. The incompressible part of the original convective term \( Ku \) can be decomposed into a sum of edge contributions with negative coefficients and a sum of those with positive coefficients
\[
P_i = \sum_{j \neq i} \min\{0, k_{ij}\} (u_j - u_i), \quad Q_i = \sum_{j \neq i} \max\{0, k_{ij}\} (u_j - u_i)
\]
(15)
which are due to mass transfer from the downstream and upstream directions, respectively. The sum \( P_i \) is composed from the *raw antidiffusive fluxes* which offset the error incurred by elimination of negative matrix entries in the course of discrete upwinding. They are responsible for the formation of spurious wiggles and must be securely limited. At the same time, the constituents of the sum \( Q_i \) are harmless since they resemble diffusive fluxes and do satisfy the LED criterion. Thus, it is natural to require that the net antidiffusive flux into node \( i \) be a limited average of the original increments \( P_i \) and \( Q_i \). Furthermore, it is worthwhile to distinguish between the positive and negative edge contributions
\[
P_i = P^+_i + P^-_i, \quad P^\pm_i = \sum_{j \neq i} \min\{0, k_{ij}\} \min_{\max} \{0, u_j - u_i\},
\]
(16)
\[
Q_i = Q^+_i + Q^-_i, \quad Q^\pm_i = \sum_{j \neq i} \max\{0, k_{ij}\} \max_{\min} \{0, u_j - u_i\}
\]
(17)
and limit the positive and negative antidiffusive fluxes separately. To this end, we pick a standard TVD limiter \( \Phi \) and compute the *nodal correction factors*
\[
R^\pm_i = \Phi(Q^\pm_i / P^\pm_i)
\]
(18)
which determine the percentage of \( P^\pm_i \) that can be retained without violating the LED constraint for row \( i \) of the modified transport operator \( K^* \).
For each edge \( ij \) of the sparsity graph, the antidiffusive flux \( f^a_{ij} \) from its downwind node \( j \) into the upwind node \( i \) is constructed as follows [10]
\[
f^a_{ij} := \begin{cases}
\min\{R^+_i d_{ij}, l_{ji}\} (u_i - u_j) & \text{if } u_i \geq u_j; \\
\min\{R^-_i d_{ij}, l_{ji}\} (u_i - u_j) & \text{if } u_i < u_j,
\end{cases} \quad f^a_{ji} := -f^a_{ij}.
\]
(19)
Importantly, the same correction factor $R_i^\pm$ is applied to all positive/negative antidiffusive fluxes which represent the interactions of node $i$ with its neighbors located downstream.
The node-oriented limiting strategy makes it possible to control the combined effect of antidiffusive fluxes acting in concert and prove the LED property. The equivalence of (10) and (19) reveals that the smoothness indicator $r_i$ is implicitly defined by
$$r_i = \begin{cases}
Q_i^+/P_i^+ & \text{if } u_i \geq u_j, \\
Q_i^-/P_i^- & \text{if } u_i < u_j.
\end{cases}$$ \hspace{1cm} (20)
It is easy to verify that $\Delta u_{ij} = r_i(u_i - u_j)$ satisfies condition (14) since all coefficients in the sum of upwind contributions $Q_i^\pm$ are nonnegative and
$$\Delta u_{ij} = \sigma_{ij} Q_i^\pm, \quad \text{where} \quad \sigma_{ij} = \frac{\max}{\min} \{0, u_i - u_j\}/P_i^\pm \geq 0.$$ \hspace{1cm} (21)
Remarkably, the new limiter extracts all information from the original matrix $K$ and does not need the coordinates of nodes or other geometric details. For the one-dimensional convection equation with a constant velocity, a classical TVD scheme is recovered [10].
6 ITERATIVE DEFECT CORRECTION
After an implicit time discretization, one obtains a nonlinear algebraic system
$$M_L \frac{u^{n+1} - u^n}{\Delta t} = \theta K^*(u^{n+1})u^{n+1} + (1 - \theta)K^*(u^n)u^n, \quad 0 < \theta \leq 1$$
which can be solved iteratively by the fixed-point defect correction scheme [10]
$$u^{(m+1)} = u^{(m)} + A^{-1}r^{(m)}, \quad m = 0, 1, 2, \ldots$$ \hspace{1cm} (22)
where $r^{(m)}$ denotes the residual for the $m$-th cycle and $A$ is a suitably chosen ‘preconditioner’ which should be easy to ‘invert’ by solving the linear subproblem
$$A\Delta u^{(m+1)} = r^{(m)}, \quad m = 0, 1, 2, \ldots$$ \hspace{1cm} (23)
and applying the resulting solution increment $\Delta u^{(m+1)}$ to the last iterate
$$u^{(m+1)} = u^{(m)} + \Delta u^{(m+1)}, \quad u^{(0)} = u^n.$$ \hspace{1cm} (24)
The low-order evolution operator $A = M_L - \theta \Delta t L$ constructed by resorting to discrete upwinding ($L = K + D$) constitutes an excellent preconditioner for it was designed to be an M-matrix. The defect vector and the constant right-hand side are given by
$$r^{(m)} = b^n - [A - \theta \Delta t F(u^{(m)})]u^{(m)}, \quad b^n = M_L u^n + (1 - \theta)\Delta t[L + F(u^n)]u^n.$$ \hspace{1cm} (25)
Both expressions consist of a low-order contribution augmented by the sum of limited antidiffusive fluxes which are evaluated edge-by-edge and inserted into the global vectors.
7 FEM-TVD FOR THE $k-\varepsilon$ MODEL
High-resolution schemes like FEM-TVD play an increasingly important role in the numerical simulation of turbulent flows. The flow structures that cannot be resolved on the computational mesh activate the flux limiter which curtails the raw antidiffusion so as to filter out the small-scale fluctuations. Interestingly enough, the residual artificial viscosity provides an excellent subgrid scale model for the Monotonically Integrated Large Eddy Simulation (MILES) [2]. RANS turbulence models constitute a cost-effective alternative to this approach and also call for the use of a positivity-preserving discretization.
In particular, the evolution of the turbulent kinetic energy $k$ and of its dissipation rate $\varepsilon$ is governed by two convection-dominated transport equations
\begin{align}
\frac{\partial k}{\partial t} + \nabla \cdot \left( k \mathbf{u} - \frac{\nu_T}{\sigma_k} \nabla k \right) &= P_k - \varepsilon, \\
\frac{\partial \varepsilon}{\partial t} + \nabla \cdot \left( \varepsilon \mathbf{u} - \frac{\nu_T}{\sigma_\varepsilon} \nabla \varepsilon \right) &= \frac{\varepsilon}{k} (C_1 P_k - C_2 \varepsilon),
\end{align}
where $\mathbf{u}$ denotes the averaged velocity, $\nu_T = C_\mu k^2 / \varepsilon$ is the turbulent eddy viscosity and $P_k = \frac{\nu_T}{2} |\nabla \mathbf{u} + \nabla \mathbf{u}^T|^2$ is the production term. For the standard $k-\varepsilon$ model, we have
$$C_\mu = 0.09, \quad C_1 = 1.44, \quad C_2 = 1.92, \quad \sigma_k = 1.0, \quad \sigma_\varepsilon = 1.3.$$
Note that the transport equations for $k$ and $\varepsilon$ are strongly coupled and nonlinear so that their numerical solution is anything but trivial. Implementation details and employed ‘tricks’ are rarely reported in the literature, so that a novice to this area of CFD research often needs to reinvent the wheel. Thus, we deem it appropriate to discuss the implementation of a FEM-TVD algorithm for the $k-\varepsilon$ model in some detail. The concomitant incompressible Navier-Stokes equations are solved by a discrete projection method from the family of Multilevel Pressure Schur Complement (MSPSC) schemes [19] implemented in the open-source software package FEATFLOW (see http://www.featflow.de).
7.1 Positivity-preserving linearization
The block-iterative algorithm proposed in [12] consists of nested loops so that the coupled PDE system is replaced by a sequence of linear subproblems. The coefficients are ‘frozen’ during each outer iteration and updated as new solution values become available. The quasi-linear transport equations can be solved by an implicit FEM-TVD scheme but the linearization procedure must be tailored to the need to preserve the positivity of $k$ and $\varepsilon$ in a numerical simulation. Due to the presence of sink terms in the right-hand side of both equations, the positivity constraint may be violated even if a high-resolution scheme is employed for the discretization of convective terms. It can be proved that the exact solution to the $k-\varepsilon$ model remains nonnegative for positive initial data [16], [17] and it is essential to guarantee that the numerical scheme will also possess this property.
Let us consider the following representation of the equations at hand [14]
\[
\frac{\partial k}{\partial t} + \nabla \cdot (k u - d_k \nabla k) + \gamma k = P_k, \tag{28}
\]
\[
\frac{\partial \varepsilon}{\partial t} + \nabla \cdot (\varepsilon u - d_\varepsilon \nabla \varepsilon) + C_2 \gamma \varepsilon = C_1 P_k, \tag{29}
\]
where the parameter \( \gamma = \frac{\varepsilon}{k} \) is proportional to the specific dissipation rate \( (\gamma = C_\mu \omega) \). The turbulent dispersion coefficients are given by \( d_k = \frac{\nu_T}{\sigma_k} \) and \( d_\varepsilon = \frac{\nu_T}{\sigma_\varepsilon} \). By definition, the source terms in the right-hand side are nonnegative. Furthermore, the parameters \( \nu_T \) and \( \gamma \) must also be nonnegative for the solution of the convection-reaction-diffusion equations to be well-behaved [3]. In our numerical algorithm, their values are taken from the previous iteration and their positivity is secured as explained below. This linearization technique was proposed by Lew et al. [14] who noticed that the positivity of the lagged coefficients is even more important than that of the transported quantities and can be readily enforced without violating the discrete conservation principle.
Applying an implicit FEM-TVD scheme to the above equations, we obtain two nonlinear algebraic systems which can be written in the generic form
\[
A(u^{(l+1)})u^{(l+1)} = B(u^{(l)})u^{(l)} + q^{(k)}, \quad l = 0, 1, 2, \ldots \tag{30}
\]
Here \( k \) is the index of the outermost loop in which the velocity \( u \) and the source term \( P_k \) are updated. The index \( l \) refers to the outer iteration for the \( k - \varepsilon \) model, while the index \( m \) is reserved for inner flux/defect correction loops of the form (22).
The structure of the involved matrices \( A \) and \( B \) is as follows:
\[
A(u) = M_L - \theta \Delta t(K^*(u) + T), \tag{31}
\]
\[
B(u) = M_L + (1 - \theta) \Delta t(K^*(u) + T), \tag{32}
\]
where \( K^*(u) \) is the LED transport operator incorporating nonlinear antidiffusion and \( T \) denotes the standard reaction-diffusion operator which is a symmetric positive-definite matrix with nonnegative off-diagonal entries. It is obvious that the discretized production terms \( q^{(k)} \) are also nonnegative. Thus, the positivity of \( u^{(l)} \) is inherited by the new iterate \( u^{(l+1)} = A^{-1}(Bu^{(l)} + q^{(k)}) \) provided that \( \theta = 1 \) (backward Euler method) or the time step is sufficiently small (satisfies the CFL-like condition for \( \theta < 1 \)). Another important prerequisite is the convergence of nonlinear iterations for the system at hand.
### 7.2 Positivity of coefficients
The predicted values \( k^{(l+1)} \) and \( \varepsilon^{(l+1)} \) are used to recompute the parameter \( \gamma^{(l+1)} \) for the next outer iteration (if any). The turbulent eddy viscosity \( \nu_T^{(k)} \) is updated in the outermost loop. In the turbulent flow regime \( \nu_T \gg \nu \) and the laminar viscosity \( \nu \) can be neglected. Hence, we set \( \nu_{\text{eff}} = \nu_T \), where the eddy viscosity \( \nu_T \) is bounded from below by
$\nu$ and from above by the maximum admissible mixing length $l_{\text{max}}$ (e.g., the width of the computational domain). Specifically, we define the limited mixing length $l_s$ as
$$l_s = \begin{cases}
\frac{\alpha}{\varepsilon} & \text{if } \varepsilon > \frac{\alpha}{l_{\text{max}}} \\
l_{\text{max}} & \text{otherwise}
\end{cases}, \quad \text{where} \quad \alpha = C_\mu k^{3/2} \tag{33}$$
and use it to update the turbulent eddy viscosity $\nu_T$ in the outermost loop:
$$\nu_T = \max\{\nu, l_s \sqrt{k}\} \tag{34}$$
as well as the parameter $\gamma$ in each outer iteration for the $k-\varepsilon$ model:
$$\gamma = C_\mu \frac{k}{\nu_s}, \quad \text{where} \quad \nu_s = \max\{\nu, l_s \sqrt{k}\}. \tag{35}$$
A remark is in order that the positivity proof is only valid for the converged solution to (30) while intermediate values of the approximate solution may be negative. Since it is impractical to perform many defect correction steps in each outer iteration, it is worthwhile to substitute $k_s = \max\{0, k\}$ for $k$ in formulae (33)–(35) so as to to prevent taking the square root of a negative number. Upon convergence, this safeguard will not make any difference, since $k$ will be nonnegative from the outset. The above representation of $\nu_T$ and $\gamma$ makes it possible to preclude division by zero and obtain bounded coefficients without making any *ad hoc* assumptions and affecting the actual values of $k$ and $\varepsilon$.
### 7.3 Initial conditions
Another important issue which is seldom addressed in the CFD literature is the initialization of data for the $k-\varepsilon$ model. As a rule, it is rather difficult to devise a reasonable initial guess for a steady-state simulation or proper initial conditions for a dynamic one. The laminar Navier-Stokes equations remain valid until the flow gains enough momentum for the turbulent effects to become pronounced. Therefore, the $k-\varepsilon$ model should be activated at a certain time $t_s > 0$ after the startup. During the ‘laminar’ initial phase ($t \leq t_s$), a constant effective viscosity $\nu_0$ is prescribed. The values to be assigned to $k$ and $\varepsilon$ at $t = t_s$ are uniquely defined by the choice of $\nu_0$ and of the default mixing length $l_0 \in [l_{\text{min}}, l_{\text{max}}]$ where $l_{\text{min}}$ corresponds to the size of the smallest admissible eddies:
$$k_0 = \left(\frac{\nu_0}{l_0}\right)^2, \quad \varepsilon_0 = C_\mu \frac{k_0^{3/2}}{l_0} \quad \text{at} \quad t \leq t_s. \tag{36}$$
This strategy was adopted as the effective viscosity $\nu_0$ and the mixing length $l_0$ are easier to estimate (at least for a CFD practitioner) than $k_0$ and $\varepsilon_0$. In any case, long-term simulation results are typically not very sensitive to the choice of initial data.
7.4 Boundary conditions
At the inlet $\Gamma_{\text{in}}$, we prescribe all velocity components and the values of $k$ and $\varepsilon$:
$$u = g, \quad k = c_{bc} |u|^2, \quad \varepsilon = C_\mu \frac{k^{3/2}}{l_0} \quad \text{on} \quad \Gamma_{\text{in}},$$
where $c_{bc} \in [0.001, 0.01]$ is an empirical constant [3] and $|u| = \sqrt{u \cdot u}$ is the Euclidean norm of the velocity. At the outlet $\Gamma_{\text{out}}$, the normal gradients of all scalar variables are required to vanish, and the ‘do-nothing’ [19] boundary conditions are prescribed:
$$n \cdot S(u) = 0, \quad n \cdot \nabla k = 0, \quad n \cdot \nabla \varepsilon = 0 \quad \text{on} \quad \Gamma_{\text{out}}.$$
Here $S(u) = -\left(p + \frac{2}{3}k\right)I + (\nu + \nu_T)[\nabla u + (\nabla u)^T]$ denotes the effective stress tensor. The numerical treatment of inflow and outflow boundary conditions does not present any difficulty. In the finite element framework, relations (38) imply that the surface integrals resulting from integration by parts vanish and do not need to be assembled.
At an impervious solid wall $\Gamma_w$, the normal component of the velocity must vanish, whereas tangential slip is permitted in turbulent flow simulations. The implementation of the no-penetration (free slip) boundary condition
$$n \cdot u = 0 \quad \text{on} \quad \Gamma_w$$
is nontrivial if the boundary of the computational domain is not aligned with the axes of the Cartesian coordinate system. In this case, condition (39) is imposed on a linear combination of several velocity components whereas their boundary values are unknown. Therefore, standard implementation techniques for Dirichlet boundary conditions based on a modification of the corresponding matrix rows [19] cannot be used.
In order to set the normal velocity component equal to zero, we nullify the off-diagonal entries of the preconditioner $A(u^{(m)}) = \{a_{ij}^{(m)}\}$ in the defect correction loop (22). This enables us to compute the boundary values of the vector $u$ explicitly before solving a sequence of linear systems for the velocity components:
$$a_{ij}^{(m)} := 0, \quad \forall j \neq i, \quad u_i^* := u_i^{(m)} + r_i^{(m)} / a_{ii}^{(m)} \quad \text{for} \quad x_i \in \Gamma_w.$$
In the next step, we project the predicted values $u_i^*$ onto the tangent vector/plane and constrain the corresponding entry of the defect vector $r_i^{(m)}$ to be zero
$$u_i^{(m)} := u_i^* - (n_i \cdot u_i^*)n_i, \quad r_i^{(m)} := 0 \quad \text{for} \quad x_i \in \Gamma_w.$$
After this manipulation, the corrected values $u_i^{(m)}$ act as Dirichlet boundary conditions for the solution $u_i^{(m+1)}$ at the end of the defect correction step. As an alternative to the implementation technique of predictor-corrector type, the projection can be applied to the residual vector rather than to the nodal values of the velocity:
$$a_{ij}^{(m)} := 0, \quad \forall j \neq i, \quad r_i^{(m)} := r_i^{(m)} - (n_i \cdot r_i^{(m)})n_i \quad \text{for} \quad x_i \in \Gamma_w.$$
For Cartesian geometries, the algebraic manipulations to be performed affect just the normal velocity component. Note that virtually no extra programming effort is required, which is a significant advantage as compared to another feasible approach based on local coordinate transformations during the finite element matrix assembly [4].
7.5 Wall functions
To complete the problem statement, we still need to prescribe the tangential stress as well as the boundary values of $k$ and $\varepsilon$ on $\Gamma_w$. Note that the equations of the $k-\varepsilon$ model are invalid in the vicinity of the wall where the Reynolds number is rather low and viscous effects are dominant. In order to avoid the need for resolution of strong velocity gradients, *wall functions* can be derived using the boundary layer theory and applied at an internal boundary $\Gamma_\delta$ located at a distance $\delta$ from the solid wall $\Gamma_w$ [15],[16],[17].
In essence, a boundary layer of width $\delta$ is removed from the actual computational domain $\Omega$ and the equations are solved in the reduced domain $\Omega_\delta$ subject to the following empirical boundary conditions:
$$\mathbf{n} \cdot \mathcal{D}(\mathbf{u}) \cdot \mathbf{t} = -u_\tau^2 \frac{\mathbf{u}}{|\mathbf{u}|}, \quad k = \frac{u_\tau^2}{\sqrt{C_\mu}}, \quad \varepsilon = \frac{u_\tau^3}{\kappa \delta} \quad \text{on} \quad \Gamma_\delta.$$ \hspace{1cm} (43)
Here $\mathcal{D}(\mathbf{u}) = (\nu + \nu_T)[\nabla \mathbf{u} + (\nabla \mathbf{u})^T]$ is the viscous part of the stress tensor, the unit vector $\mathbf{t}$ refers to the tangential direction, $\kappa = 0.41$ is the von Kármán constant and $u_\tau$ is the *friction velocity* which is assumed to satisfy the nonlinear equation
$$g(u_\tau) = |\mathbf{u}| - u_\tau \left( \frac{1}{\kappa} \log y^+ + 5.5 \right) = 0$$ \hspace{1cm} (44)
in the *logarithmic layer*, where the local Reynolds number $y^+ = \frac{u_\tau \delta}{\nu}$ is in the range $20 \leq y^+ \leq 100$, and be a linear function of $y^+$ in the *viscous sublayer*, where $y^+ < 20$. Note that $\mathbf{u}$ is the tangential velocity as long as condition (39) is imposed on $\Gamma_\delta$.
Equation (44) can be solved iteratively, e.g., by Newton’s method [15]:
$$u_\tau^{l+1} = u_\tau^l - \frac{g(u_\tau^l)}{g'(u_\tau^l)} = u_\tau^l + \frac{|\mathbf{u}| - u_\tau f(u_\tau^l)}{1/\kappa + f(u_\tau^l)}, \quad l = 0, 1, 2, \ldots$$ \hspace{1cm} (45)
where the auxiliary function $f$ is given by
$$f(u_\tau) = \frac{1}{\kappa} \log y_s^+ + 5.5, \quad y_s^+ = \max \left\{ 20, \frac{u_\tau \delta}{\nu} \right\}.$$
The friction velocity is initialized by $u_\tau^0 = \sqrt{\frac{\nu |\mathbf{u}|}{\delta}}$ and no iterations are performed if it turns out that $y^+ = \frac{u_\tau \delta}{\nu} < 20$. In other words, $u_\tau = u_\tau^0$ in the viscous sublayer. Moreover, we use $y_s^+ = \max\{20, y^+\}$ in the Newton iteration to guarantee that the approximate solution belongs to the logarithmic layer and remains bounded for $y^+ \to 0$.
The friction velocity $u_\tau$ is plugged into (43) to compute the tangential stress, which yields a natural boundary condition for the velocity. Integration by parts in the weak form of the incompressible Navier-Stokes equations gives rise to a surface integral over the internal boundary $\Gamma_\delta$ which contains the prescribed traction:
$$\int_{\Gamma_\delta} [\mathbf{n} \cdot \mathcal{D}(\mathbf{u}) \cdot \mathbf{t}] \cdot \mathbf{v} \, ds = - \int_{\Gamma_\delta} u_\tau^2 \frac{\mathbf{u}}{|\mathbf{u}|} \cdot \mathbf{v} \, ds.$$ \hspace{1cm} (46)
The free slip condition (39) overrides the normal stress and Dirichlet boundary conditions for $k$ and $\varepsilon$ are imposed in the strong sense. For further details regarding the implementation of wall laws the reader is referred to [15],[16],[17].
### 7.6 Underrelaxation for outer iterations
Due to the intricate coupling of the governing equations, it is sometimes worthwhile to use a suitable underrelaxation technique in order to prevent the growth of numerical instabilities and secure the convergence of outer iterations. This task can be accomplished by limiting the computed solution increments before applying them to the last iterate:
$$a^{(m+1)} := a^{(m)} + \omega^{(m)} (a^{(m+1)} - a^{(m)}) \quad \text{where} \quad 0 \leq \omega^{(m)} \leq 1.$$ \hspace{1cm} (47)
The damping factor $\omega^{(m)}$ may be chosen adaptively so as to accelerate convergence and minimize the error in a certain norm [19]. However, fixed values (for example, $\omega = 0.8$) usually suffice for practical purposes. The sort of underrelaxation can be used in all loops (indexed by $k$, $l$ and $m$) and applied to selected dependent variables like $k$, $\varepsilon$ or $\nu_T$.
Furthermore, the $m$-loops lend themselves to the use of an *implicit underrelaxation* strategy which increases the diagonal dominance of the preconditioner [5],[18]:
$$a^{(m)}_{ii} := a^{(m)}_{ii} / \alpha^{(m)}, \quad \text{where} \quad 0 \leq \alpha^{(m)} \leq 1.$$ \hspace{1cm} (48)
The scaling of the diagonal entries does not affect the converged solution and proves more robust than *explicit underrelaxation* (47). In fact, no underrelaxation whatsoever is needed for moderate time steps which are typically used in dynamic simulations.
### 7.7 Linear solvers and time step
Finally, let us briefly discuss the choice of the linear solver and of the time discretization. In many cases, explicit schemes are rather inefficient due to severe stability limitations which require taking impractically small time steps. For this reason, we restrict ourselves to the implicit Crank-Nicolson and backward Euler methods which are unconditionally stable and permit large time steps at the expense of solving nonsymmetric linear systems. In our experience, BiCGSTAB and geometric multigrid constitute excellent solvers as long as the parameters are properly tuned and the underlying smoothers/preconditioners are consistent with the size of the time step. If $\Delta t$ is rather small, standard components like Jacobi, Gauß-Seidel and SOR schemes will suffice. For large time steps, the condition number of the matrix deteriorates and convergence may fail. This can be rectified by resorting to an ILU factorization in conjunction with appropriate renumbering.
8 NUMERICAL EXAMPLES
Solid body rotation. To illustrate the performance of the FEM-TVD algorithm, let us start with a 2D benchmark problem which was proposed by LeVeque [13] to assess the ability of the discretization scheme to cope with steep gradients and reproduce smooth profiles with high precision. To this end, a slotted cylinder, a cone and a hump are exposed to the incompressible velocity field \( \mathbf{v} = (0.5 - y, x - 0.5) \) and undergo a counterclockwise rotation about the center of the square domain \( \Omega = (0, 1) \times (0, 1) \). Initially, each solid body lies within a circle of radius \( r_0 = 0.15 \) centered at a point with Cartesian coordinates \( (x_0, y_0) \). In the rest of the domain, the numerical solution is initialized by zero.
The shapes of the three bodies can be expressed in terms of the normalized distance function for the respective reference point \( (x_0, y_0) \)
\[
r(x, y) = \frac{1}{r_0} \sqrt{(x - x_0)^2 + (y - y_0)^2}.
\]
The center of the slotted cylinder is located at \( (x_0, y_0) = (0.5, 0.75) \) and its geometry in the circular region \( r(x, y) \leq 1 \) is given by
\[
u(x, y, 0) = \begin{cases}
1 & \text{if } |x - x_0| \geq 0.025 \lor y \geq 0.85, \\
0 & \text{otherwise.}
\end{cases}
\]
The corresponding analytical expression for the conical body reads
\[
u(x, y, 0) = 1 - r(x, y), \quad (x_0, y_0) = (0.5, 0.25),
\]
whereas the shape and location of the hump at \( t = 0 \) are as follows
\[
u(x, y, 0) = 0.25[1 + \cos(\pi \min \{r(x, y), 1\})], \quad (x_0, y_0) = (0.25, 0.5).
\]
After one full revolution (\( t = 2\pi \)) the exact solution to the pure convection equation (1) coincides with the initial data. The numerical solution produced by the FEM-TVD scheme is displayed in Fig. 2. It was computed on a uniform mesh of \( 128 \times 128 \) bilinear elements using the second-order accurate Crank-Nicolson time-stepping with \( \Delta t = 10^{-3} \). There are no nonphysical oscillations and the resolution of the three bodies is remarkably crisp. Even the narrow bridge of the cylinder is largely preserved although some erosion of the ridges is observed. The irrecoverable numerical diffusion due to mass lumping is alleviated to some extent by the strongly antidiffusive superbee limiter. At the same time, the excessive antidiffusion entails an artificial steepening of the gradients as well as a gradual flattening of the two peaks. Other TVD limiters are more diffusive so that the lumping error is aggravated and a pronounced smearing of the solution profiles ensues. Many additional examples for scalar convection problems as well as for the compressible Euler equations on both triangular and quadrilateral meshes can be found in [10], [11].
Backward facing step. Let us proceed to a three-dimensional test problem which deals with a turbulent flow over a backward facing step at $Re = 44,000$, see [15] for details. Our objective is to validate the implementation of the $k-\varepsilon$ model as described above. In order to satisfy the LBB stability condition, the incompressible Navier-Stokes equations are discretized in space using the nonconforming $Q_1/Q_0$ finite element pair (discontinuous rotated trilinear approximation of the velocity and a piecewise-constant pressure) [19]. Standard $Q_1$ elements are employed for the turbulent kinetic energy and its dissipation rate. All convective terms are handled by the fully implicit FEM-TVD method based on the MC limiter. The velocity-pressure coupling is enforced in the framework of a global MPSC formulation which can be interpreted as a discrete projection method [19].
The stationary distribution of $k$ and $\varepsilon$ in the middle cross-section ($z = 0.5$) of the 3D domain is displayed in Fig. 3. The variation of the friction coefficient
$$c_f = \frac{2\tau_w}{\rho_\infty u_\infty^2} = \frac{2u_\infty^2}{u_\infty^2} = \frac{2k}{u_\infty^2} \sqrt{C_\mu}$$
along the bottom wall is presented in Fig. 4 (left). The main recirculation length $L \approx 6.8$
Figure 3: Backward facing step: stationary FEM-TVD solution, $Re = 44,000$.
Figure 4: Distribution of $c_f$ (left) and $u_x$ (right) along the bottom wall.
Figure 5: Hexahedral computational mesh for the 3D simulation.
is in a good agreement with the numerical results reported in the literature [15]. Moreover, the horizontal velocity component (see Fig. 4, right) assumes positive values at the bottom of the step, which means that the weak secondary vortex is captured as well. The parameter settings for this three-dimensional simulation were as follows
\[ \delta = 0.05, \quad c_{bc} = 0.0025, \quad \nu_0 = 10^{-3}, \quad l_0 = 0.02, \quad l_{\text{max}} = 1.0. \]
Standard wall functions were used on the boundary except for the inlet and outlet. The computational mesh shown in Fig. 5 consisted of 57,344 hexahedra, which corresponds to 178,560 degrees of freedom for each velocity component and 64,073 nodes for \( k \) and \( \varepsilon \).
9 CONCLUSIONS
A fully multidimensional flux limiter of TVD type was designed so as to render the underlying Galerkin discretization local extremum diminishing and positivity-preserving. This novel approach to the design of high-resolution schemes is very flexible and applicable to a whole range of discretizations (both explicit and implicit time-stepping, finite elements/differences/volumes, triangular and quadrilateral unstructured meshes). In this paper, it was applied to incompressible flow problems in the high Reynolds number regime. The implementation of the \( k - \varepsilon \) turbulence model was discussed. Promising simulation results were presented for a three-dimensional benchmark problem. The extension of the proposed algorithm to turbulent bubbly flows in gas-liquid reactors is described in [12].
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Strong Secrecy for Relay Wiretap Channels with Polar Codes and Double-Chaining
Manos Athanasakos, Student, IEEE
Department of Informatics and Telecommunications
National University of Athens
Athens, Greece
email@example.com
George Karagiannidis, Fellow, IEEE
Department of Electrical and Computer Engineering
Aristotle University of Thessaloniki
Thessaloniki, Greece
firstname.lastname@example.org
Abstract—Secure communication for the primitive relay wiretap channel under the decode-and-forward protocol, is considered. A polar coding-based technique is proposed and we show that is suitable to provide reliability and a level of information-theoretic security. We focus on the strong secrecy criterion where in order to satisfy it we implement a double-chaining construction to overcome the obstacle of misaligned bits.
I. INTRODUCTION
The wiretap channel, introduced by A. Wyner in his seminal work [1], paved the way for the exploitation of the channel medium characteristics in terms of information-theoretic security. This approach has as a major advantage that security does not rely on any shared secret key, i.e. keyless security. In view of the emergence of wireless communication and massive connectivity, this benefit has led to a rich literature, which investigates several channel models towards the design of low-complexity coding schemes for both reliability and secrecy.
After van der Meulen’s introduction of the relay channel in [2] and the extension of the work of Cover and El Gamal in [3], cooperative diversity is considered as an important advancement in wireless networks, since it can achieve higher rates in comparison to direct transmission. In practice, a network may be comprised with illegitimate users; cooperation between trusted users have been exploited as a way to establish secure communication. The rate-equivocation region was characterized in [4] and [5] for a four-terminal relay channel and an eavesdropper, under several cooperation protocols. Half-duplex relay channel models considered in [6], where the authors studied coding techniques for the relay channel with orthogonal components (primitive relay channel). The secrecy capacity for this class of channels investigated in [7] for the binary-input discrete memoryless channel (B-DMC) and the Gaussian case. Although the importance of cooperation for reliability and security in large networks is well established, the aforementioned works presented bounds on the secrecy capacity, while relying on random coding arguments. Undoubtedly, designing codes for these type of channels is of great importance as the evolution of networks require security solutions with low consumption and complexity.
Since the pioneering work of Arikan on the polar codes [8], which are capacity-achieving for the symmetric B-DMC, several polar coding schemes have been proposed to fulfill the secrecy requirement. These codes are constructed based on the phenomenon of channel polarization, that is the channel is splitted into $N$ “bit-channels” and tend to be either error-free or fully noisy channels, as $N$ grows. This result is the basic tool in designing a polar coding scheme, which satisfies both reliability and secrecy conditions. In [9], a scheme for the degraded wiretap channel, which meets the requirement for weak secrecy was proposed, while in [10] the authors using a different partition of the index set developed a scheme for strong secrecy. Under this framework, several coding schemes for multi-user channels have been investigated in [11], [12] and [13]. However, although in the open literature there are some applications of polar codes without security constraints for the relay channel [14], [15], [16], [17] and [18], the investigation whether polar codes are suitable for the relay wiretap scenario has drawn little attention. Finally, the authors in [19] proposed a coding scheme capable to achieve weak secrecy for the relay-eavesdropper channel. Note that, the natural nested structure of polar codes and their low encoding/decoding complexity identifies them as a promising choice for practical implementation of merging coding and security in one scheme.
Motivated by the above, in this paper, we consider a primitive relay wiretap channel when decode-and-forward (DF) protocol is used and propose a polar coding scheme, which satisfies the strong secrecy condition along with the reliability constraint. In particular, the proposed scheme exploits the nested structure of polar codes for the stochastically degraded relay wiretap channel and the new encoding algorithm achieves strong secrecy through a double-chaining construction.
The rest of the paper is organized as follows. In Section II, we introduce the system model and the constraints in designing the coding scheme. In Section III, we briefly describe the weak secrecy scheme, followed by the main results of this paper; the encoding scheme for strong secrecy and the analysis on reliability and security. Finally, Section IV concludes the paper.
II. SYSTEM MODEL AND REQUIREMENTS
The relay wiretap channel models a multi-hop transmission scheme where a relay cooperates with the source to communicate with the destination in the presence of an eavesdropper.
We consider a four-terminal B-DMC with orthogonal receiver components, with transition probability mass function
\[
p(y, y_{sr}, z | x_s, x_r) = p(y_{sd}, y_{sr}, z_{se} | x_s)p(y_{rd}, z_{re} | x_r).
\] (1)
In this model, \(X_S\) and \(X_R\) are the channel inputs from source and relay respectively, while \(Y, Y_{SR}\) and \(Z\) are the channel outputs at the destination, relay and eavesdropper respectively. The observation vectors at the destination’s and eavesdropper’s output are \(Y = (Y_{SD}, Y_{RD})\) and \(Z = (Z_{SE}, Z_{RE})\) respectively. Fig. 1 illustrates the channel, which consists of a source, a relay, the legitimate receiver and the eavesdropper. The source wishes to communicate reliably a message \(M\) with the legitimate receiver under the assistance of a trusted relay while keeping it safe from the eavesdropper.
We aim to design a coding scheme which satisfies both reliability and secrecy requirements. Probability of error is used to quantify the reliability of the scheme, where the goal is to satisfy
\[
\lim_{N \to \infty} Pr\{M \neq \hat{M}\} = 0.
\] (2)
To measure the statistical independence between the message transmitted and eavesdropper observation we use the following metrics:
\[
\lim_{N \to \infty} \frac{I(M; Z)}{N} = 0,
\] (3)
\[
\lim_{N \to \infty} I(M; Z) = 0.
\] (4)
In (3) security is measured in terms of the normalized mutual information between transmitted message \(M\) and received vector by the eavesdropper \(Z\). The encoding scheme designed to satisfy this requirement in order to operate with weak secrecy. However, as shown by Maurer in [20], is too weak for cryptographic applications as it is possible for the eavesdropper to retrieve a considerable amount of information even if (3) is satisfied. Consequently, our focus here is to design a coding scheme which satisfies a stronger secrecy criterion, as in (4).
### III. Polar Coding for Strong Secrecy
#### A. Weak Secrecy Scheme
Before presenting the main result of this paper, we briefly explain the difficulty on designing a polar coding scheme which satisfies strong secrecy and simultaneously guarantees low probability of error at the legitimate receiver. We first consider a coordinate partition similar to the one proposed in [9] which help us identify the main obstacle in achieving strong secrecy.
Let us first define the following “good” and “bad” subset of indices:
\[
G_N(W_{kl}) = \{i \in [N] : Z(W_N^{(i)}) < \delta_N\}
\]
\[
B_N(W_{kl}) = \{i \in [N] : Z(W_N^{(i)}) \geq \delta_N\},
\] (5)
where \(W_{kl}\) is the channel from \(k \in \{S, R\}\) to \(l \in \{R, D, E\}\), for \(k \neq l\) and \([N] = \{1, 2, \ldots, N\}\). \(Z(W_N^{(i)})\) is the Bhattacharyya parameter of bit-channel \(W_N^{(i)}\) and \(\delta_N = 2^{-N^\beta}\) with \(0 < \beta < 1/2\). Next we partition the set \([N]\) based on [9] for the source’s transmission, as follows:
\[
I_1 = G_N(W_{SR}) \cap B_N(W_{SE})
\]
\[
F_1 = B_N(W_{SR})
\]
\[
R_1 = G_N(W_{SE})
\] (6)
and similarly for the relay’s transmission:
\[
I_2 = G_N(W_{RD}) \cap B_N(W_{RE})
\]
\[
F_2 = B_N(W_{RD})
\]
\[
R_2 = G_N(W_{RE}),
\] (7)
where \(I_i, F_i, R_i\) are the subsets containing the information bits, the frozen bits and the random bits, respectively, for source’s (\(i = 1\)) and relay’s (\(i = 2\)) transmission. However, the above scheme can only achieve weak secrecy, measured as in (3), due to the assumptions that \(B_N^c(W_{SE}) \subset G_N(W_{SR})\) and \(B_N^c(W_{RE}) \subset G_N(W_{RD})\), while in general this is not true. Although the number of coordinates in \(G_N^c(W_{SR}) \cap B_N^c(W_{SE})\) and \(G_N^c(W_{RD}) \cap B_N^c(W_{RE})\) is very small, this constitutes the difficulty in obtaining reliability and strong secrecy simultaneously. The authors in [10], proposed a different partition of the coordinates which resolves the above problem.
#### B. Dealing with the Misaligned bits
The transmission takes place over \(k + 1\) blocks of \(N\) bits. Prior the communication, trusted parties share a secret seed of random bits \(D\) which is used as a “chain” between transmitted blocks. In particular, encoding is performed so the bits of \(D\) passed on the legitimate receiver (relay or destination) using their reliable and secure indices. The chaining is implemented by sending the bits in \(D(j)\) of block \(j\) as part of the message block \(j - 1\) for all \(j \in [1, \ldots, k]\). This construction allows the legitimate receiver to employ successive cancellation (SC) for block \(j\) and recover these bits reliably, while security is guaranteed.
Let apply the aforementioned construction to the relay wiretap channel under investigation. We consider the following partition of the index set
\[
I_1 = G_N(W_{SR}) \cap B_N(W_{SE})
\]
\[
F_1 = G_N^c(W_{SR}) \cap B_N(W_{SE})
\]
\[
R_1 = G_N(W_{SR}) \cap B_N^c(W_{SE})
\]
\[
D_1 = G_N^c(W_{SR}) \cap B_N^c(W_{SE}),
\] (8)
where in the set $\mathcal{I}_1$ information bits are stored, set $\mathcal{F}_1$ is the set of frozen bits, $\mathcal{R}_1$ are the randomly chosen bits and $\mathcal{D}_1$ are the misaligned bits. We note that, as in the weak secrecy case in Section III.A, the information bits in $\mathcal{I}_1$ are distributed in $\mathcal{I}_1^{SD}$ which is decodable by the destination and $\mathcal{I}_1^{RD}$ which is the message that the relay forwards through the $W_{RD}$. Thus, for this transmission the relay uses the following partition
\begin{align*}
\mathcal{I}_2 &= \mathcal{G}_N(W_{RD}) \cap \mathcal{B}_N(W_{RE}) \\
\mathcal{F}_2 &= \mathcal{G}_N^c(W_{RD}) \cap \mathcal{B}_N(W_{RE}) \\
\mathcal{R}_2 &= \mathcal{G}_N(W_{RD}) \cap \mathcal{B}_N^c(W_{RE}) \\
\mathcal{D}_2 &= \mathcal{G}_N^c(W_{RD}) \cap \mathcal{B}_N^c(W_{RE}).
\end{align*}
(9)
Before describing the encoding procedure, we define the following set $\mathcal{D} = \mathcal{D}_1 \cup \mathcal{D}_2$ which is used as the secret seed and is shared among the source, relay and destination. Also, fix two arbitrary sets $\mathcal{E}_1 \subset \mathcal{I}_1$ and $\mathcal{E}_2 \subset \mathcal{I}_2$ with $|\mathcal{E}_1| = |\mathcal{D}_1|$ and $|\mathcal{E}_2| = |\mathcal{D}_2|$ and $\mathcal{E} = \mathcal{E}_1 \cup \mathcal{E}_2$ with $|\mathcal{E}| = |\mathcal{D}|$. Consequently, the messages of the two-hop transmission are indexed by the bits in $\mathcal{I}_1 = \mathcal{I}_1 \setminus \mathcal{E}$ and $\mathcal{I}_2 = \mathcal{I}_2 \setminus \mathcal{E}$, respectively.
Overall, the transmission is performed in two stages where in order to satisfy the strong secrecy requirement while the probability of error vanishes, we manipulate the misaligned bits in both transmissions by creating a double-chaining structure, i.e. the bits in $\mathcal{D}$ and their links $\mathcal{E}$ of the previous block create a chain for each transmission, as in Fig. 2.
Let us describe this double-chaining construction, assuming that the legitimate parties have knowledge of the seed $\mathcal{D}(1)$, by transmitting $\mathcal{E}(0)$ with a separate code, the first chain is formed by $\mathcal{D}_1(j) = \mathcal{E}_1(j - 1)$ during the source transmission towards the relay and the destination and the second chain is formed by $\mathcal{D}_2(j) = \mathcal{E}_2(j - 1)$ when the relay sends the missing bits to the legitimate receiver. After each source block transmission, the first $|\mathcal{D}_1|$ bits of $\mathcal{D}$ are used to create the chain and are being replaced block by block. Similarly, the second-hop chain is created after each block is transmitted by the relay by using the rest $|\mathcal{D}_2|$ bits of $\mathcal{D}$.
**Source encoding:** Choose a rate $R < I(W_{SR})$ and use a capacity achieving sequence of polar codes for the channel $W_{SR}$. For block $j = 1, \ldots, k$, set $\mathcal{I}_1$ carries the message bits, set $\mathcal{R}_1$ is filled up with uniformly distributed random bits, while the first $|\mathcal{D}_1|$ bits of the set $\mathcal{D}$ are chained with the bits of $\mathcal{E}_1$, i.e. $\mathcal{D}_1(j) = \mathcal{E}_1(j - 1)$ and the bits in $\mathcal{F}_1$ are fixed and known. Moreover, due to degradation, the bits in $\mathcal{G}(W_{SR}) \cap \mathcal{B}(W_{SD})$ need to be delivered to the destination by the relay during the second-hop transmission. That is, the message bits of $\mathcal{I}_1$ are loaded in $\mathcal{I}_1^{SD} = \mathcal{G}(W_{SD}) \cap \mathcal{B}(W_{SE})$ and $\mathcal{I}_1^{RD} = \mathcal{G}(W_{SR}) \cap \mathcal{B}(W_{SD})$. Fig. 3 shows the coding scheme, the lines on $\mathcal{D}_2$ and $\mathcal{E}_2$ imply the first chain construction.
**Processing at the relay:** Relay decodes message block $j$, knowing $\mathcal{F}_1$ and the seed $\mathcal{D}_1(j) = \mathcal{E}_1(j - 1)$, then extracts the bits in $\mathcal{I}_1^{RD}$ and forwards them to the destination by using a polar code for the channel $W_{RD}$ using partition (9). Specifically, for block $j = 1, \ldots, k$ message bits are loaded in the set $\mathcal{I}_2$, random bits in the set $\mathcal{R}_2$ and the bits in the set $\mathcal{D}_2$ are chained with those of $\mathcal{E}_2$, i.e. $\mathcal{D}_2(j) = \mathcal{E}_2(j - 1)$, as shown in Fig. 4. The frozen set for this transmission is $\mathcal{F}_2$, which is known to the destination.
**Destination decoding:** At the destination, the process starts by decoding the first block message of the relay transmission, knowing $\mathcal{F}_2$ and $\mathcal{D}_2(j) = \mathcal{E}_2(j - 1)$. Then uses those bits to decode the corresponding message block received from the source transmission at the first stage, by employing the SC algorithm.
Let us now introduce the following random variables needed for the reliability and secrecy analysis. For the transmission in blocks $j = 1, \ldots, k$, denote source’s message bits in $\mathcal{I}_1$ by $M_{1,k}$ and let $M_{2,k}$ be the message transmitted by the relay with bits in $\mathcal{I}_2$, frozen bits in $\mathcal{F}_1$ and $\mathcal{F}_2$ are denoted by $F_{1,k}$ and let $F_{2,k}$. Also, let $E_{1,k}$ and $E_{2,k}$ correspond to the bits belong to $\mathcal{E}_1(j)$ and $\mathcal{E}_2(j)$, respectively, for $j = 0, \ldots, k$. To make the analysis compact we also denote, $M_k = (M_{1,k}, M_{2,k})$, $F_k = (F_{1,k}, F_{2,k})$, $E_k = (E_{1,k}, E_{2,k})$ and the $k$-length vectors $M_1^k = (M_1, \ldots, M_k)$, $F_1^k = (F_1, \ldots, F_k)$ and $E_0^k = (E_0, \ldots, E_k)$ and let $Z_0^k = (Z_0, \ldots, Z_k)$ the sequence of eavesdropper’s observations $Z = (Z_{SE}, Z_{RE})$ during the $k$-th block transmission from source and relay.
C. Reliability Analysis
To examine the reliability of this scheme, we focus to the error probability for the legitimate parties. First, for the relay, since the rate of the transmission uses a polar coding sequence with $R < I(W_{SR})$ and assuming that $\Pr\{\tilde{E}_0 \neq E_0\} \to 0$, i.e. there is a code with $\epsilon_N \to 0$ and used to convey the seed to the legitimate users, the probability of erroneous decoding at the relay in the $k + 1$ blocks is
$$P_e^{SR} \leq \epsilon_N + kO(2^{-N^\beta}),$$
for all $\beta < 1/2$.
Similarly, the destination will recover relay’s message $M_2$, with the error probability bounded by
$$P_e^{RD} \leq kO(2^{-N^\beta}),$$
since $\tilde{I}_2 \cup R_2 \subset G(W_{RD})$, and knowing $F_2$ and $D_2(j)$. Then, using those bits can decode source’s message $M_1$, using SC algorithm. Overall, the probability of error at the destination after the second transmission is then bounded as,
$$P_e \leq \epsilon_N + kO(2^{-N^\beta}),$$
where $\epsilon_N$ is the vanishing error of the code transmitting the seed prior the communication.
D. Secrecy Analysis
We will show that the strong secrecy requirement is satisfied by utilizing the double-chaining construction described above. For the proposed encoding scheme the information leakage to the eavesdropper can be analysed as follows
$$I(M_1^k; Z_0^k) \leq I(M_1^k E_k; Z_0^k)$$
$$= I(M_1^k E_k; Z_k) + I(M_1^k E_k; Z_0^{k-1}|Z_k)$$
$$= I(M_1^k E_k; Z_k) + I(M_1^k E_k; Z_0^{k-1}|Z_k)$$
$$\leq I(M_1^k E_k; Z_k) + I(M_1^k E_k E_k; Z_0^{k-1})$$
$$\leq I(M_1^k E_k; Z_k) + I(M_1^k E_k E_k^{-1} Z_k; Z_0^{k-1})$$
$$= I(M_1^k E_k; Z_k) + I(M_1^{k-1} E_k^{-1} Z_k; Z_0^{k-1}),$$
where (13) and (14) is due to the Markov chains $M_1^{k-1} \to M_k E_k \to Z_k$ and $M_k E_k Z_k \to M_1^{k-1} E_k^{-1} \to Z_0^{k-1}$, respectively. Now if we summate over all $k$ blocks we get
$$I(M_1^k E_k; Z_0^k) \leq \sum_{j=1}^{k} I(M_j E_j; Z_j) + \underbrace{I(E_0; Z_0)}_{\epsilon_N},$$
where the last term is the secret seed shared between the legitimate parties prior the communication and we assumed that there exists a secure coding scheme with $\epsilon_N \to 0$. Noting that $I(M_j E_j; Z_j) = I(M_j E_j F_j; Z_j)$, due to $F_j = 0$, we can rewrite (15) as
$$I(M_1^k E_k; Z_0^k) \leq \sum_{j=1}^{k} I(M_j E_j F_j; Z_j) + \epsilon_N,$$
where in order to complete the proof of strong secrecy it remains to show that the first term of the RHS in (16) vanishes as well. Therefore, we need to bound the capacity of eavesdropper’s channel induced by our encoding, which for the symmetric case is given by the mutual information between its input and output under uniform input distribution. For this purpose we prove the following lemma.
**Lemma 1.** For any $j = 1, \ldots, k$ we have
$$I(M_j E_j F_j; Z_j) \leq O(2^{-N^\beta}).$$
**Proof.** Let $\tilde{M}_j$, $\tilde{E}_j$ and $\tilde{F}_j$ be independent and uniformly distributed versions of $M_j$, $E_j$ and $F_j$, respectively, and let $\tilde{Z}_j$ denote the corresponding channel output. Since symmetry holds for both channels $W_{SE}$ and $W_{RE}$, as proven in [9], the mutual information is maximized with uniform input distribution and we have that
$$I(M_j E_j F_j; Z_j) \leq I(\tilde{M}_j \tilde{E}_j \tilde{F}_j; \tilde{Z}_j)$$
$$\leq \sum_{m=1}^{|A|} I(W_{SE}^{(i_m)}) + \sum_{m=1}^{|B|} I(W_{RE}^{(i_m)})$$
$$\leq O(2^{-N^\beta}),$$
where $A = I_1 \cup E_1 \cup F_1$ and $B = I_2 \cup E_2 \cup F_2$, also we let $i_1 < \ldots < i_{|A|}$ and $i_1 < \ldots < i_{|B|}$ be the elements of $A$ and $B$, respectively. Inequality (17) follows from [9, Lemma 15] and (18) is consequent of the definitions in (8) and (9). ■
Finally, combining Lemma 4 and (16) we get the desired result
$$I(M_1^k; Z_0^k) \leq I(M_1^k E_k; Z_0^k) \leq \epsilon_N + kO(2^{-N^\beta}),$$
which for $k$ fixed and $N \to \infty$ we observe that $I(M_1^k; Z_0^k)$ vanishes, as we have assumed that $\epsilon_N \to 0$ and that completes the secrecy analysis.
Moreover, the achievable rate under this encoding scheme is given by
$$R_s^{strong} = \frac{k}{k+1}[R_{DF} - (I(W_{SE}) + I(W_{RE})) - 2\Delta],$$
as $N$ grows large and by choosing $k$ to be large enough, where $2\Delta$ is a small rate penalty induced by the double-chaining structure and $R_{DF}$ is the lower bound for the primitive relay channel under DF protocol [6].
**Remark 1.** The rate penalty $\Delta$ is negligible since it depends on the cardinality of subset $D$ which is fixed prior the transmission and is considered to be small. Thus, the achievable rate of (20) can be close to the results of [4], for sufficiently large $k$ and $N$.
IV. Conclusion
In this work we have proposed an efficient coding scheme, based on polar codes, for the primitive relay wiretap channel which guarantees information-theoretic security. In our setup we exploited the nested structure of polar codes for cooperative relaying in a DF strategy. We presented an encoding scheme which achieves reliability and weak secrecy, but fails to provide strong secrecy. To solve the problem of misaligned bits we used a different partition of the coordinates and a chaining construction we were able to prove that reliability and strong secrecy can be obtained simultaneously for the channel model into consideration.
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Architecture of the CORBA Component Model
Comparing CORBA and .NET: IOP and SOAP
Interoperability
... the ability for a client on ORB A to invoke an OMG-IDL defined operation on an object on ORB B, where ORB A and ORB B are independently developed. [Interoperability RFP, 93-09-15]
Problems:
- Information model and validity of object references
- transport protocol
- Extensions (security, transactions)
Interoperability Domain
- Set of nodes/CORBA installations which can "directly" exchange operation calls
- Domain Boundaries:
- different networking technology (Internet vs. X.25)
- network islands (private networks/firewalls)
- different ORB protocol
- ORB domains
Interoperability means to overcome domain boundaries.
Inter-ORB-Bridges
- Mediate between ORB domains
- Client in domain A contacts bridge, which contacts domain B
- Different functions:
- conversion of object references
- conversion of message formats
- validation of message authenticity
- Allows to integrate non-CORBA systems
- COM/CORBA interworking
- Source of interoperability: GIOP
GIOP: General Inter-ORB Protocol
Prerequisites:
- connection-oriented transport
- full-duplex connections
- connection is symmetric w.r.t. shutdown
- transport is reliable
- transport transmits byte streams
- transport informs about connection loss (disorderly release)
GIOP (2)
- GIOP defines
- Message format: Common Data Representation (CDR)
- Message types
- Structure of object references: Interoperable Object Reference (IOR)
- GIOP message format and IOR format are defined in IDL
- will be transmitted through CDR
- IIOP
- Transport is TCP
- IOR format is specialized (IOR profile)
Common Data Representation
- Bi-endian
- Endianness is typically “native” for sender (JDK: always big-endian)
- Data are encoded as a sequence of primitive values
- structures, parameter boundaries are not represented
- Each primitive type has a fixed size
- char, (wchar), octet, boolean: 1
- short, unsigned short: 2
- long, unsigned long, float, enum: 4
- long long, unsigned long long, double: 8
- long double: 16
Alignment: Each primitive value is aligned relative to the message start
- usually a multiple of its size
- long double: 8
- Idea: allow direct copying from transport buffer into C structures
Encoding of Primitive Types
- Integral types: binary, signed types in two’s complement
- Floating point types: IEEE-754
- octets: “as-is”
- boolean: TRUE==1, FALSE==0
- characters: character set according to “character set negotiation”
Encoding of complex types
- Strings: Length, Contents, null-termination
| Stringlänge | String-Codierung |
|-------------|------------------|
| 0 | 4 |
- Structures: Element for element, padding according to alignment
Encoding of Complex Types (2)
- Unions: Discriminator, union branch
- Array: Element for element
- multi-dimensional: last index grows fastest
- Sequence: length, elements
- Enum: like unsigned long, enumerators are numbered starting with 0
Encoding of Complex Types (3)
- Any: typecode(type of value), value encoding
- Context: sequence<string>
- Exception: string(repos-id), struct(exception-members)
module IOP {
typedef unsigned long ProfileId;
struct TaggedProfile {
ProfileId tag;
sequence <octet> profile_data;
};
struct IOR {
string type_id;
sequence <TaggedProfile> profiles;
};
}
- IOR-String: hexified version of an encapsulation containing an IOP::IOR
IOR Profiles
- Define protocol independent contact information
- Defined in IDL
- encoded as an encapsulation
module IOP {
const ProfileId TAG_INTERNET_IOP = 0;
const ProfileId TAG_MULTIPLE_COMPONENTS = 1;
const ProfileId TAG_SCCP_IOP = 2;
};
module IIOP {
struct Version {
octet major;
octet minor;
};
struct ProfileBody_1_1 { // also used for 1.2
Version iiop_version;
string host;
unsigned short port;
sequence <octet> object_key;
sequence <IOP::TaggedComponent> components;
};
};
Tagged Components
- Define protocol-independent contact information
- represented as TAG_MULTIPLE_COMPONENTS or in the IIOP profile
module IOP {
typedef unsigned long ComponentId;
struct TaggedComponent {
ComponentId tag;
sequence <octet> component_data;
};
typedef sequence<TaggedComponent>
TaggedComponentSeq;
};
module IOP {
const ComponentId TAG_ORB_TYPE = 0;
const ComponentId TAG_CODE_SETS = 1;
const ComponentId TAG_POLICIES = 2;
const ComponentId TAG_ALTERNATE_IIOP_ADDRESS = 3;
const ComponentId TAG_ASSOCIATION_OPTIONS = 13;
const ComponentId TAG_SEC_NAME = 14;
const ComponentId TAG_SPKM_1_SEC_MECH = 15;
const ComponentId TAG_SPKM_2_SEC_MECH = 16;
const ComponentId TAG_KerberosV5_SEC_MECH = 17;
const ComponentId TAG_CSI_ECMA_Secret_SEC_MECH = 18;
const ComponentId TAG_CSI_ECMA_Hybrid_SEC_MECH = 19;
const ComponentId TAG_SSL_SEC_TRANS = 20;
const ComponentId TAG_JAVA_CODEBASE = 25;
}...
GIOP Messages
- Protocol assumes connection between client and server
- Connection management is invisible to the application (implicit binding)
- different protocol versions:
- Version 1.0 (CORBA 2.0)
- Version 1.1 (CORBA 2.1): Fragmentation
- Version 1.2 (CORBA 2.3): bidirectional communication
- downwards compatible: old clients can talk to new servers
| Message Type | Initiator | Value | GIOP Version |
|-------------------|-------------|-------|--------------|
| Request | Client | 0 | 1.0, 1.1, 1.2 |
| Reply | Server | 1 | 1.0, 1.1, 1.2 |
| CancelRequest | Client | 2 | 1.0, 1.1, 1.2 |
| LocateRequest | Client | 3 | 1.0, 1.1, 1.2 |
| LocateReply | Server | 4 | 1.0, 1.1, 1.2 |
| CloseConnection | Server | 5 | 1.0, 1.1, 1.2 |
| MessageError | beide | 6 | 1.0, 1.1, 1.2 |
| Fragment | beide | 7 | 1.1, 1.2 |
Structure of a GIOP Message
- Basic Structure:
- GIOP message header
- message-specific header
- message-specific body
module GIOP {
struct Version {octet major; octet minor; };
enum MsgType_1_1 { Request, Reply, CancelRequest, ... };
struct MessageHeader_1_1 {
char magic [4]; // GIOP
Version GIOP_version;
octet flags; // Bit 0: Endianness (0: big)
// Bit 1: more fragments
octet message_type;
unsigned long message_size;
};
};
Request
struct RequestHeader_1_1 {
IOP::ServiceContextList service_context;
unsigned long request_id;
boolean response_expected;
octet reserved[3];
sequence <octet> object_key;
string operation;
CORBA::OctetSeq requesting_principal;
};
- followed by parameters (GIOP 1.2: 8-aligned)
Service Context
- Additional information transmitted from ORB to ORB
module IOP {
typedef unsigned long ServiceId;
struct ServiceContext {
ServiceId context_id;
sequence <octet> context_data;
};
typedef sequence <ServiceContext> ServiceContextList;
const ServiceId TransactionService = 0;
const ServiceId CodeSets = 1;
const ServiceId ChainBypassCheck = 2;
const ServiceId ChainBypassInfo = 3;
const ServiceId LogicalThreadId = 4;
const ServiceId BI_DIR_IIOP = 5;
...
}
enum ReplyStatusType_1_0 {
NO_EXCEPTION,
USER_EXCEPTION,
SYSTEM_EXCEPTION,
LOCATION_FORWARD
};
struct ReplyHeader_1_0 {
IOP::ServiceContextList service_context;
unsigned long request_id;
ReplyStatusType_1_0 reply_status;
};
Reply (2)
- NO_EXCEPTION: followed by result, out-parameters
- USER_EXCEPTION: according to CDR
- SYSTEM_EXCEPTION:
module GIOP {
struct SystemExceptionReplyBody {
string exception_id;
unsigned long minor_code_value;
unsigned long completion_status;
};
};
- LOCATION_FORWARD: IOR of the new location
Location Forwarding
- Permanent Object References: Client knows host/port
- Idea: Operator can move object
- Two procedures:
- Client sends normal request, gets LOCATION_FORWARD, retries
- Client sends LOCATE_REQUEST, gets LOCATE_REPLY
Location Forwarding (2)
struct LocateRequestHeader_1_0 {
// Renamed LocationRequestHeader
unsigned long request_id;
sequence <octet> object_key;
};
enum LocateStatusType_1_0 {
UNKNOWN_OBJECT,
OBJECT_HERE,
OBJECT_FORWARD
};
struct LocateReplyHeader_1_0 {
unsigned long request_id;
LocateStatusType_1_0 locate_status;
};
module GIOP { // IDL
struct CancelRequestHeader {
unsigned long request_id;
};
};
CloseConnection
- Client can close connection at any time
- Server only if there are no pending replies
- CloseConnection consists only of MessageHeader
MessageError
- sent for erroneous or unrecognized message
- consists only of message header
- sender closes connection after transmission
Fragment
- Allows to split message into smaller chunks
module GIOP {
struct FragmentHeader_1_2 {
unsigned long request_id;
};
};
SOAP
- http://www.w3.org/TR/2000/NOTE-SOAP-20000508/
- 1.2: http://www.w3.org/TR/soap12-part0/, -part1, -part2
- "lightweight protocol for exchange of information in a decentralized, distributed environment"
- three parts:
- envelope structure for defining messages
- set of encoding rules for encoding application-specific data types
- convention for doing RPC
- Current version 1.2 (W3C XML Protocols group)
- Version 1.1 widely used (Don Box, DevelopMentor)
- Supports potentially multiple transport mechanisms
- only HTTP specified
SOAP Companions
- **WSDL**: Web Services Definition Language
- [http://www.w3.org/TR/wsdl](http://www.w3.org/TR/wsdl)
- interface definition: endpoints, operations, and messages
- XML vocabulary for describing services (SOAP, HTTP, MIME)
- **UDDI**: Universal Description Discovery and Integration
- [http://uddi.org/pubs/uddi-v3.0.1-20031014.htm](http://uddi.org/pubs/uddi-v3.0.1-20031014.htm)
- repository service for discovery of services
- XML schemas for various information models
- not covered here
- **Web Services Interoperability**
- **Web Services Security**
Usage Scenarios
- Fire-and-forget to single/multiple receiver (notifications)
- Request/response asynchronous communication
- RPC
- Request with acknowledgement
- Request with encrypted payload
- (Multiple) Third party intermediary
- Multiple asynchronous responses
- Caching
- Routing
- ...
SOAP Non-Goals
- Distributed Garbage Collection
- Boxcarring/batching of messages
- objects-by-reference
- activation
Namespaces
- `xmlns:ENV="http://schemas.xmlsoap.org/soap/envelope/"`
- SOAP 1.2: http://www.w3.org/2003/05/soap-envelope
- `xmlns:ENC="http://schemas.xmlsoap.org/soap/encoding/"`
- SOAP 1.2: http://www.w3.org/2003/05/soap-encoding
Messages
- Emitted by sender, targeted at ultimate receiver, through intermediaries
SOAP Envelope
SOAP Header
- Header Block: reservation
- Header Block: passenger
SOAP Body
- Body sub-element: itinerary
- Body sub-element: lodging
Envelope
<?xml version='1.0' ?>
<env:Envelope xmlns:env="http://www.w3.org/2003/05/soap-envelope">
<env:Header> ... </env:Header>
<env:Body> ... </env:Body>
</env:Envelope>
<env:Header>
<m:reservation xmlns:m="http://travelcompany.example.org/reservation"
env:role="http://www.w3.org/2003/05/soap-envelope/role/next"
env:mustUnderstand="true">
<m:reference>uuid:093a2da1-q345-739r-ba5d-pqff98fe8j7d</m:reference>
<m:dateAndTime>2001-11-29T13:20:00.000-05:00</m:dateAndTime>
</m:reservation>
<n:passenger xmlns:n="http://mycompany.example.com/employees"
env:role="http://www.w3.org/2003/05/soap-envelope/role/next"
env:mustUnderstand="true">
<n:name>Åke Jógvan Øyvind</n:name>
</n:passenger>
</env:Header>
<env:Body>
<p:itinerary xmlns:p="http://travelcompany.example.org/reservation/travel">
<p:departure>
<p:departing>New York</p:departing>
<p:arriving>Los Angeles</p:arriving>
<p:departureDate>2001-12-14</p:departureDate>
<p:departureTime>late afternoon</p:departureTime>
<p:seatPreference>aisle</p:seatPreference>
</p:departure>
<p:return>
<p:departing>Los Angeles</p:departing>
<p:arriving>New York</p:arriving>
<p:departureDate>2001-12-20</p:departureDate>
<p:departureTime>mid-morning</p:departureTime>
<p:seatPreference/>
</p:return>
</p:itinerary>
</env:Body>
Roles
- Target roles specified in ENV:role of headers
- SOAP 1.1: ENV:actor
- Possible roles
- "http://www.w3.org/2003/05/soap-envelope/role/next"
- "http://www.w3.org/2003/05/soap-envelope/role/none"
- "http://www.w3.org/2003/05/soap-envelope/role/ultimateReceiver"
- ENV:mustUnderstand specifies whether target is required to process the header
- Intermediary may drop, modify, or add headers
- processed headers are dropped, unless ENV:relay is true
Body Processing
- Targeted at ultimate receiver
- Structure completely application-defined, except for faults
- Structure of body specified in ENV:encodingStyle
- 1.1: typically specified on ENV:Envelope
- 1.2: specified on header block, child of body that is not a Fault element, child of a Detail element, or descendents thereof
Faults
- ENV:Fault
- Mandatory children
- ENV:Code
- ENV:Value, with values Env:{VersionMismatch, MustUnderstand, DataEncodingUnknown, Sender, Receiver}
- Additional Header elements may provide more detail
- Optional ENV:Subcode child
- ENV:Reason, with optional ENV:Text children
- Optional children
- ENV:Node, with URI content
- ENV:Role, with URI content
- ENV:Detail, with arbitrary attributes and child elements
SOAP Data Model
- Optional part of SOAP
- Intended for RPC, accompanied by encoding style
- Data are represented as directed edge-labeled graph of nodes
- outbound edges may be distinguished either by label or position
- labels are QNames
- nodes may be referenced just once, or have multiple references
- Structs are nodes with all outbound edges distinguished by label
- Arrays are nodes with all outbound edges distinguished by position
SOAP Encodings
- Support for multiple encoding styles
- Only one standard encoding
- "http://www.w3.org/2003/05/soap-encoding"
- Graph edges represented by elements
- label of the edge is element name
- ENC:ref="id" (type IDREF) can be used for multiple references
- ENC:id="id" (type ID) specifies target of the reference
- Simple values are encoded in element content
- Compound values are encoded through child elements
- outgoing labelled edges again denoted through child element name
SOAP Encodings (2)
- ENC:nodeType can be used to specify one of “simple”, “struct”, “array”
- Arrays: Element names of child elements are not significant
- ENC:itemType specifies the array element type
- ENC:arraySize allows the specification of multi-dimensional arrays
- Integration with XML Schema
- xsi:type can specify the node type
- if not specified, ENC:itemType may apply
- otherwise, graph node has unspecified type
Using SOAP for RPC
- Multiple bindings to protocols, only HTTP binding specified
- RPC usage must identify RPC resource
- e.g. encoding of identified resources in URL query parameters
- pure GET operations may not include any SOAP envelope
- RPC Invocation is a single struct, with outbound edges for parameters
- name of struct node equals operation name
- RPC Response is a single struct, whose name is irrelevant
- Faults should be used to indicate errors in the RPC invocation
WSDL
- http://www.w3.org/TR/2001/NOTE-wsdl-20010315
- Definition of services as a collection of ports (network endpoints)
- Definition of messages: data that are exchanged
- Definition of port types: abstract collections of operations
- Definition of bindings: specification of protocol and data format for a type
Example
<?xml version="1.0"?>
<definitions name="StockQuote"
targetNamespace="http://example.com/stockquote.wsdl"
xmlns:tns="http://example.com/stockquote.wsdl"
xmlns:xsd1="http://example.com/stockquote.xsd"
xmlns:soap="http://schemas.xmlsoap.org/wsdl/soap/"
xmlns="http://schemas.xmlsoap.org/wsdl/">
<types>...</types>
<message>...</message>
<portType>...</portType>
<binding>...</binding>
<service>...</service>
</definitions>
Example: Types
<types>
<schema targetNamespace="http://example.com/stockquote.xsd"
xmlns="http://www.w3.org/2000/10/XMLSchema">
<element name="TradePriceRequest">
<complexType>
<all>
<element name="tickerSymbol" type="string"/>
</all>
</complexType>
</element>
<element name="TradePrice">
<complexType>
<all>
<element name="price" type="float"/>
</all>
</complexType>
</element>
</schema>
</types>
Example: Messages
<message name="GetLastTradePriceInput">
<part name="body" element="xsd1:TradePriceRequest"/>
</message>
<message name="GetLastTradePriceOutput">
<part name="body" element="xsd1:TradePrice"/>
</message>
Example: Port Types
<portType name="StockQuotePortType">
<operation name="GetLastTradePrice">
<input message="tns:GetLastTradePriceInput"/>
<output message="tns:GetLastTradePriceOutput"/>
</operation>
</portType>
Example: Bindings
<binding name="StockQuoteSoapBinding" type="tns:StockQuotePortType">
<soap:binding style="document"
transport="http://schemas.xmlsoap.org/soap/http"/>
<operation name="GetLastTradePrice">
<soap:operation soapAction="http://example.com/GetLastTradePrice"/>
<input>
<soap:body use="literal"/>
</input>
<output>
<soap:body use="literal"/>
</output>
</operation>
</binding>
Example: Services
<service name="StockQuoteService">
<documentation>My first service</documentation>
<port name="StockQuotePort" binding="tns:StockQuoteBinding">
<soap:address location="http://example.com/stockquote"/>
</port>
</service>
WSDL Document Structure
- Specification uses informal grammar to describe document structure, e.g.
```xml
<definitions .... >
<types>
<xsd:schema .... />*
</types>
</definitions>
```
means: The “definitions” element contains a “types” element, which can contain multiple “xsd:schema” elements
WSDL Definitions
- Types: List of schema types
- Messages: Consist of multiple parts
- each part specified either as an element or a type
- actual (XML) representation depends on the binding
- Port types: List of operations
- Each operation has optional input, output, faults
- Bindings: Lists of inputs, outputs, faults, mixed with extension elements
- Service: List of ports
- Each port has name, binding, optional extensions
WSDL SOAP Binding
- Extensions `soap:binding`, `soap:operation`, `soap:body`, `soap:header`, `soap:headerFault`, `soap:address`, ...
- `soap:binding` specifies `transport=` (default HTTP) and `style= ("document" | "rpc")`
- `soap:operation` specifies `soapAction=` target URL (SOAPAction: header), and optional `style=`
- `soap:body` specifies `parts=` included in the body, `use=` type of encoding (“literal” | “encoded”), optional `encodingStyle=`, and optional `namespace=`
- `soap:address` specifies `location=` of HTTP server
Interopability
- Sources of non-interoperability
- Under-specification (optional features, implementation-defined behavior)
- Non-compliance of implementation
- Web-Services Interoperability Organization aims at improving interoperability
- through specifications
- through testing technology
- Multiple profiles of WS-I, depending on application domain |
TiO$_2$ enhanced ultraviolet detection based on a graphene/Si Schottky diode†
Miao Zhu,$^{ab}$ Li Zhang,$^a$ Xinming Li,$^c$ Yijia He,$^{ab}$ Xiao Li,$^{ab}$ Fengmei Guo,$^a$ Xiaobei Zang,$^a$ Kunlin Wang,$^a$ Dan Xie,$^{*d}$ Xuanhua Li,$^e$ Bingqing Wei$^{ef}$ and Hongwei Zhu$^{*ab}$
Graphene/Si has been proved to form a quality Schottky junction with high photoelectric conversion efficiency at AM 1.5. However, for the ultraviolet portion of the incident light, the photoelectric performance will degrade significantly due to severe absorption and recombination at the front surface. Herein, to realize enhanced ultraviolet detection with a graphene/Si diode, TiO$_2$ nanoparticles (NPs, 3–5 nm) are synthesized and spin-coated on the graphene surface to improve the photoreponse in the ultraviolet region. According to our results, the conversion efficiency of the graphene/Si diode at 420 nm and 350 nm increases by 72.7% and 100% respectively with TiO$_2$ coating. Then $C^{-2}V$ measurements of both TiO$_2$ and graphene/Si diode are performed to analyze the electronic band structure of the TiO$_2$/graphene/Si system, based on which we finally present the enhancement mechanism of photodetection using TiO$_2$ NPs.
Introduction
As a highly conductive and transparent material, graphene has been considered as a promising material in energy conversion.$^{1-4}$ Solar cells and photodetectors based on graphene/Si Schottky heterojunctions have been widely reported in previous studies as two types of typical photovoltaic devices based on graphene.$^{5-12}$ Such devices possess a very simple structure with graphene lying on the surface of an n-type silicon substrate. In such structures, the Richardson constant of Si can be significantly lowered due to the finite density of states of graphene and thus results in a low leakage current, which has been proved using the Landauer transport model.$^{13}$ Once the incident light arrives at the graphene/Si interface, carriers are excited and then separated by the built-in electric field to achieve the photoelectrical conversion process. A solar cell with such a structure was first reported with an initial power conversion efficiency (PCE) of around 1.5%.$^{14}$ In the following five years, various approaches have been employed to improve its efficiency, including chemical doping,$^{15-17}$ structural design,$^{18-20}$ and electrolyte assistance.$^{21}$ In a recent study by our group, TiO$_2$ anti-reflection coating and acid doping were performed together to improve the PCE to 14.5% at AM 1.5, nearly ten times higher than the initially reported level.$^{22}$
The approaches applied above are quite valuable to enhance the photoreponse properties of graphene/Si based photodetectors. However, being different from a solar cell, the photodetector mainly focuses on the response of light within a certain wavelength range. The photoelectric conversion from different light wavelengths can hardly be reflected by the investigation of solar cells. For example, ultraviolet will be strongly absorbed by the front surface of the device, resulting in severe recombination and thermal loss. Despite the fact that the PCE of the graphene/Si diode can be improved at AM 1.5, the ultraviolet response maybe still far lower than that in its optimal wavelength region. Thus it is meaningful to enhance the ultraviolet response of the graphene/Si diode to widen its effective working spectrum range.
Introducing a functional layer for light absorption and conversion is a widely used method to improve photovoltaic devices,$^{23-28}$ and it is especially suitable to enhance the photoreponse and PCE of ultraviolet for the graphene/Si diode according to the above analysis. TiO$_2$ is a common photocatalytic material with strong absorbance in the ultraviolet range.$^{29-32}$ When irradiated by ultraviolet, excitons generated in TiO$_2$ may be used to enhance the response of the graphene/Si diode via carrier injection. This is quite different from the case...
of long-wavelength light which is mainly based on the optical antireflection of TiO$_2$. In this work, the ultraviolet detection of the graphene/Si diode is greatly improved by simply spin-coating a layer of TiO$_2$ nanoparticles (NPs) on the surface of the device. The performances of the device before and after TiO$_2$ coating, including the current density–voltage ($J$–$V$) characteristics, responsivity, quantum efficiency, etc., were compared to show the effects of the TiO$_2$ layer. The band diagram of the TiO$_2$/graphene/Si system was then deduced from the $C^{-2}$–$V$ characteristics and finally a possible enhancement mechanism of the TiO$_2$ layer was presented.
**Experimental**
**Synthesis of TiO$_2$ NPs**
TiO$_2$ was synthesized by a nonhydrolytic sol–gel approach described as follows: after stirring a solution of TiCl$_4$ (1 mL), ethanol (5 mL), and benzyl alcohol (35 mL) for 6 h at 80 °C, it was washed with diethyl ether three times. A white TiO$_2$ precipitate was obtained by centrifuging the crude product. The final TiO$_2$ solution was prepared by dispersing it in ethanol.
**Preparation of graphene**
Multilayer graphene (MLG) was prepared by an atmospheric chemical vapor deposition method. Copper foil (25 μm, 99.8%, purchased from Alfa Aesar Chemical Co. Ltd.) was placed in a tube furnace for use as the substrate. Under the protection of Ar (200 mL min$^{-1}$) and H$_2$ (30 mL min$^{-1}$), the furnace was heated to 1000 °C in 50 min and further maintained for 30 min. Methane (20 mL min$^{-1}$) was then fed in as the carbon source. After 15 min reaction, the copper substrate was quickly moved away from the heating zone and cooled down to room temperature. The copper substrate was then immersed in 0.5 M FeCl$_3$ and graphene was successively transferred to deionized water and rinsed thoroughly to clean the residual FeCl$_3$ and other impurities.
**Fabrication of the device**
MLG was directly transferred onto an n-type silicon substrate with a SiO$_2$ layer along its surface borders (window area is $\sim$0.1 cm$^2$). After drying in air, TiO$_2$ NPs dispersed in ethanol (0.2 mg mL$^{-1}$) were spin-coated on the surface of graphene at 2000 rpm for 30 s, as illustrated in Fig. 1a. Silver paste and the deposited Ti/Au layer were used as the top electrode and back electrode of the device, respectively. A typical photograph of the device (without electrodes) is shown in Fig. 1b.
**$C^{-2}$–$V$ measurement**
$C^{-2}$–$V$ measurement for TiO$_2$ NPs was performed with a Potentiostat (CHI 660D) using a three-electrode system. The Ag/AgCl and platinum electrodes were used as the reference and counter electrodes, respectively. TiO$_2$ NPs were spin-coated on an FTO coated glass to fabricate the working electrode. H$_2$SO$_4$ aqueous solution (0.5 M) was used as the electrolyte. The applied AC potential was 1 kHz with an amplitude of 0.01 V. Electrode potentials were converted to NHE using the relationship $V_{\text{NHE}} = V_{\text{Ag/AgCl}} + 0.197$ V. For the MLG/Si diode, both the reference and counter electrodes were connected with the top electrode of the device, and the working electrode was connected with its back electrode. The frequency and amplitude of the applied AC voltage are 5 kHz and 0.01 V, respectively.
**Characterization**
Raman spectra were recorded on a HORIBA LabRAM HR Evolution with a 514 nm laser source. Scanning Electron Microscopy (SEM) was performed on a Zeiss Merlin compact. Transmission Electron Microscopy (TEM) was performed on a JEM-2010 TEM. The UV-Vis spectrum of graphene was measured using an Agilent Cary 5000. Atomic Force Microscopy (AFM) was tested using an Agilent N9451A. The thickness of the TiO$_2$ layer was measured by KLA Tencor Surface Profilometry. The $J$–$V$ and on/off characteristics were recorded on a Keithley 2601. The X-ray photoelectron spectrum (XPS) was collected on an XPS 250XI.
**Results and discussion**
In order to enhance the ultraviolet response of the MLG/Si diode, a TiO$_2$ layer was coated on the surface of graphene to utilize the light energy irradiated on the device more efficiently. In the TiO$_2$/MLG/Si sandwich system, graphene functioned not only as the functional layer to form Schottky junctions with both the Si substrate and TiO$_2$ layer, but also acted as the conductive layer through which the carriers transport to the external circuit. Fig. S1† shows that the transmittance of the MLG was about 86.9% (at 550 nm). According to the 2.3% linear optical absorption of monolayer graphene to white light, it could be deduced that as-synthesized MLG was about 6-layered, which was consistent with its Raman spectrum ($I_{2D}/I_G \approx 0.34$, Fig. 1c). The metallic impurities in graphene may significantly influence the diode behavior of the MLG/Si device. The XPS study was performed to investigate the metallic impurities in as-prepared graphene samples. The results (Fig. S2†) show a quite low atomic percentage of Fe and Cu, the most possible
metallic impurities introduced into graphene during preparation and transfer processes.
The morphology of TiO$_2$ NPs has a great influence on their improvement effects. Poorly dispersed particles and thick bulk agglomeration will severely affect the carrier diffusion and separation, as well as reduce the light energy arriving at the MLG/Si interface. The TEM image (Fig. 2a) reveals that the TiO$_2$ NPs were well-dispersed with an average size of 3–5 nm. The high resolution TEM (HRTEM) image further shows the lattice fringes of TiO$_2$ NPs. The inter-planar distance of 0.24 nm and 0.35 nm correspond to the (004) and (101) planes of anatase TiO$_2$. After being coated on MLG, the TiO$_2$ NPs were uniformly spread on the MLG surface without an obvious discontinuous region such as cracks or holes, as shown in the SEM image (Fig. 2b).
AFM was further performed to characterize the morphology of the TiO$_2$ layer, as shown in Fig. 2c. It can be observed that the TiO$_2$ NPs are self-assembled into spherical agglomerations with larger sizes. Even so, the distribution of the agglomerated TiO$_2$ NPs still remains uniform in general. The thickness of the TiO$_2$ layer was measured by Surface Profilometry, and the results (Fig. 2d) showed that the average thickness of the TiO$_2$ layer was about 100 nm.
The $J-V$ relationship is the most important and widely used characteristic for diode performance. $J-V$ characteristics of the devices were measured under a beam of 420 nm incident light with the intensity of 0.16 W cm$^{-2}$ (Fig. 3a). It can be deduced that the initial photoelectrical conversion efficiency of the device is only 0.44%. After being coated with TiO$_2$ NPs, the PCE increased to 0.76%, nearly 1.7 times higher than that of the original value. The open circuit voltage ($V_{oc}$) of the device was nearly stable, but the short circuit current density ($J_{sc}$) increased apparently, which contributed much to the increase of PCE. Acid doping has been reported to be another efficient way to improve the PCE of the MLG/Si device.$^{7,9}$ The TiO$_2$ coated device was then exposed to HNO$_3$ (analytical reagent) vapor for about 30 s. The blue curve in Fig. 3a shows that the acid doping still worked efficiently in improving the PCE after being coated with TiO$_2$ NPs. The probable reason was that the HNO$_3$ vapor could permeate through the channels formed between TiO$_2$ NP agglomerations to arrive at the surface of graphene and then cause doping effects. Being different from the only TiO$_2$ NP coating, it can be seen from Fig. 3a that the increase of $V_{oc}$ and fill factor (FF) contributed the most part of the PCE improvement in the case of acid doping. This indicated that the enhancement mechanism of TiO$_2$ NPs was different from the doping effect of HNO$_3$. The obvious increase of $J_{sc}$ after TiO$_2$ coating was probably because that the TiO$_2$ NPs could provide extra excited carriers when ultraviolet irradiated on the surface. This was also consistent with the band gap of TiO$_2$ (about 3.0–3.2 eV, corresponding to the wavelength of 388–413 nm).$^{36,37}$ The band gap of nanoparticles was relevant to their sizes and crystal structures.$^{38,39}$ The actual excited wavelength limit might fall in a wider range around 413 nm. As an example for the light with higher energy, $J-V$ characteristics of the device at 350 nm incident light (2.21 W cm$^{-2}$) were also tested (Fig. S3†). The PCE of the device increased by 100% (from 0.065% to 0.13%) after TiO$_2$ coating, higher than the case at 420 nm. The dark $J-V$ characteristics (Fig. 3b) show that neither TiO$_2$ coating nor acid doping would significantly affect the rectification behavior of the MLG/Si diode.
Response current is another important parameter of a photodetector because it is usually used directly as the response or output signal of the device. On/off characteristic measurements were performed and the results are shown in Fig. 3c. Thanks to the improvement of PCE, the response current ($I_{resp}$) at 420 nm increased from 0.97 to 1.15 mA, and finally reached 1.47 mA after acid doping. The TiO$_2$ coated device shows excellent repeatability of switching behavior (Fig. S4†) in 10 min. The response and recovery time are measured to be 1.30 ms and 2.76 ms, respectively (Fig. S5†), which are comparable to the values of graphene/Si photodetectors reported previously.$^3$ In addition, the thickness effect of the TiO$_2$ layer on device...
performance has been discussed in Fig. S6.† The performance tested under different conditions is summarized in Table 1 to clearly show the improvements and differences.
To investigate the behavior of the TiO$_2$ layer in a wider spectral range, the quantum efficiency was measured from 300 to 1100 nm. The results (Fig. 4) show that the quantum efficiency in the near-ultraviolet range was obviously improved after TiO$_2$ coating.
In order to illustrate more clearly, the relative change of quantum efficiency ($\Delta$EQE) was calculated by $(\text{EQE}_{\text{TiO}_2 \text{ coated}} - \text{EQE}_{\text{original}})/\text{EQE}_{\text{original}}$ and is shown as the blue curve in Fig. 4, which can be divided into three typical areas (areas I to III) along with the decrease of the light wavelength. In area I, from 1100 nm to point A (570 nm), $\Delta$EQE increased mildly from 0.01 to 0.12. The photon energy of the light in this area was too low to excite the electrons in TiO$_2$, so the enhancement mechanism was mainly possible to be optical antireflection. In area II, from point A to point B (410 nm), $\Delta$EQE turned out to increase more quickly, indicating that parts of the TiO$_2$ NPs could be excited by the incident light to generate carriers, which contributed to the increase of $\Delta$EQE. When the photon energy further increased (wavelength < point B), the carriers could be excited abundantly in the TiO$_2$ layer, resulting in a sharp increase of the $\Delta$EQE. It is worth mentioning that light with too short wavelength may lose most of its energy in the TiO$_2$ layer and seldom photons can arrive at the MLG/Si interface, thus a peak value of $\Delta$EQE may exist in area III. According to the above analysis, the quantum efficiency of the device in the whole range from 300 to 1100 nm can be improved continuously by TiO$_2$ coating based on both optical antireflection and carrier injection from the TiO$_2$ layer.
Similar to the MLG/Si side, the excited electron (e$^-$)-hole (h$^+$) pairs in the TiO$_2$ layer should be separated by a suitable built-in voltage. Thus the investigation of the band structure of the TiO$_2$/MLG/Si system is critical to support our above analysis. The band structure was investigated by a two-step method based on the $C^{-2}–V$ measurements.
In detail, the band structures of TiO$_2$/MLG and MLG/Si were first measured individually and then combined to be a whole picture of the sandwich system, assuming that the weak influences between each other could be neglected. The measurements for TiO$_2$ NPs were based on a three-electrode system. TiO$_2$ NPs were spin-coated on an FTO coated glass and tested in 0.5 M H$_2$SO$_4$ aqueous solution. The results are shown in Fig. 5a. By fitting the linear region of the $C^{-2}–V$ plots, the $x$-intercept ($V_0$) was found to be $-0.136$ V.
Then the experimental carrier concentration and flat-band potential of TiO$_2$ NPs were calculated from the Mott–Schottky equation:40
$$\frac{1}{C^2} = \left(\frac{2}{\varepsilon_s q N_d A^2}\right)\left(V - V_{FB} - \frac{kT}{q}\right)$$ \hspace{1cm} (1)
where $C$, $\varepsilon_s$, $q$, $N_d$, $A$, $V$, $V_{FB}$, $k$, and $T$ are the space-charge capacitance, permittivity of the semiconductor (48$\varepsilon_0$ for TiO$_2$), electron charge, experimental carrier concentration, effective area, applied bias, flat-band potential, Boltzmann’s constant and absolute temperature, respectively. The value of $N_d$$_{\text{TiO}_2}$ was found to be $1.03 \times 10^{20}$ cm$^{-3}$ and the flat-band potential $V_{FB,\text{TiO}_2}$ (vs. NHE) was calculated by $V_{FB,\text{TiO}_2} = V_0 - kT/q = -0.162$ V. As the $V_{NHE}$ was about 4.5 V below the vacuum energy level, which was consistent with the work function of graphene ($\sim 4.5$ eV),41,42 the $V_{FB}$ (vs. graphene) was numerically identical to the $V_{FB}$ (vs. NHE). Then, the width of the depletion layer was given by
$$W_{sc,\text{TiO}_2} = \sqrt{\frac{2\varepsilon_s}{qN_d} V_{bi}}$$ \hspace{1cm} (2)
The calculated $W_{sc,\text{TiO}_2}$ was 2.89 nm. The potential change along the thickness direction of the depletion layer was also confirmed by
$$V(x) = \frac{qN_d}{2\varepsilon_s}(x + W_{sc})^2$$ \hspace{1cm} (3)
Then the band structure of TiO$_2$/graphene was deduced as shown in the left part of Fig. 6a. To measure the $C^{-2}–V$ characteristics of the MLG/Si side, both the reference electrode and counter electrode were connected with MLG, while the working electrode was connected with the back electrode of the device.
| Structure | $V_{oc}$ (mV) | $J_{sc}$ (mA cm$^{-2}$) | FF (%) | PCE$_{\text{UV}}$ (%) | $I_{resp}$ (mA) | Responsivity (mA/W) |
|-----------------|---------------|--------------------------|--------|-----------------------|-----------------|---------------------|
| Original | 300 | 7.11 | 32.78 | 0.44 | 0.97 | 60.6 |
| TiO$_2$ coated | 300 | 12.02 | 33.87 | 0.76 | 1.15 | 71.9 |
| TiO$_2$ + acid | 400 | 15.12 | 40.25 | 1.52 | 1.47 | 91.9 |
In the same way, $N_{d,\text{Si}}$, $V_{FB,\text{Si}}$ and $W_{sc,\text{Si}}$ were calculated to be $3.08 \times 10^{16} \text{ cm}^{-3}$, $-0.373 \text{ V}$ and $125.5 \text{ nm}$, respectively. The $U(x)$ in the MLG/Si side was calculated by eqn (3). Therefore, the band diagram of the whole TiO$_2$/MLG/Si system was deduced and is shown in Fig. 6a.
It can be seen that there are two built-in voltages existing in the TiO$_2$/MLG/Si system: one lies at the TiO$_2$/MLG interface and another lies at the MLG/Si interface. Once the incident light arrived at the TiO$_2$ layer, photons with energy higher than the band gap of TiO$_2$ were absorbed to excite the electrons of TiO$_2$ from its valance band to the conduction band, then the photo-generated electron–hole pairs were separated by the built-in voltage. The photo-generated holes ($h^+$) can be transported towards graphene together with the current generated from the MLG/Si side to the external circuit. However, as TiO$_2$ is a wide band gap dielectric material with poor conductivity, the photo-generated electrons ($e^-$) have to remain in the TiO$_2$ layer through capacitive coupling with the holes (Fig. 6b), which is similar to the model presented before for a graphene-quantum dot phototransistor.\textsuperscript{43} Despite the fact that the carrier concentration of TiO$_2$ was much high than that of silicon, its enhancement effect might be limited by such mechanisms, because too much electrons accumulated on the surface of the TiO$_2$ layer would enhance their recombination with the holes.
**Conclusions**
In summary, TiO$_2$ NPs were synthesized to enhance the ultraviolet photoelectrical conversion of the MLG/Si diode. After being coated by TiO$_2$ NPs, the PCE of the device obviously improved (increased by 72.7% and 100% at 420 nm and 350 nm respectively). The EQE characteristics revealed that the enhancement mechanism of the TiO$_2$ layer in the ultraviolet region was different from the long-wave region. Next, the band diagram of the TiO$_2$/MLG/Si system was established using the Mott–Schottky theory according to its $C^{-2}-V$ characteristics, which confirmed that there existed two reciprocal Schottky junctions in the sandwich system. The enhancement mechanism was finally attributed to the carrier injection from the TiO$_2$ layer to the loop current of graphene/semiconductor based on the electronic band structure.
**Acknowledgements**
This work is supported by the National Science Foundation of China (51372133) and Tsinghua National Laboratory for Information Science and Technology (TNList) Cross-discipline Foundation. X. H. Li thanks the support of start-up funds from Northwestern Polytechnical University. The authors thank for the microscopy resource provided by the Beijing National Center for Electron Microscopy.
**Notes and references**
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Executive Organizing Committee:
Samuel Asbahi, Washington Univ.
Robert Alfano, CUNY/City College
Justin Anderson, USF
R. Rox Anderson, M.D., Wellman Center for Photomedicine, Massachusetts General Hospital and Harvard School of Medicine
Fred Azar, Siemens Corp Research
Lawrence Bass, M.D., New York Univ. Medical Center
David Benson, M.D., Spectros Corp.
Darryl Blevins, Univ. of Texas
Alexander Cartwright, SURVIVLink at Buffalo
Wei Chen, Univ. of Central Oklahoma
Bernard Choi, Univ. of California/Irvine
Carol Cogswell, Univ. of Colorado at Boulder
Gerald Cohn, Cohen Tech Applied Science
Jose-Angel Contrillo, Oklahoma Medical Research Foundation
Gerard Coté, Texas A&M Univ.
Achim Deutschmann, M.D., Cedars-Sinai Medical Ctr.
Werner de Riese, M.D., Texas Tech Univ.
Jörg Drexler, Forschungszentrum Jülich (Germany)
Daniel Ferkas, Cedars-Sinai Medical Ctr.
Daniel Fornari, Univ. of California/San Francisco
James Fujimoto, Massachusetts Institute of Technology
Izraeli Gamot, The George Washington Univ.
Kenton Greenlee, M.D., Oregon Medical Laser Center
Warren Grundfest, M.D., Univ. of California/Los Angeles
Zygmunt Grzybyszyn, Univ. of Maryland/Johns Hopkins
Michael Hamblin, Harvard Medical School
Henry Hirschberg, M.D., Rikshospitalet
Arthur Ho, Univ. of New South Wales
Jonathan Howland
Justus Ilgner, M.D., Univ. Hospital Aachen Germany
Joseph John, Duke Univ.
Steven Jaques, Oregon Health and Science Univ.
Thomas M. Jovin, M.D., Max Planck Institute for Biophysical Chemistry
Alvin Katz, CUNY/City College
Abraham Katzer, Tel Aviv Univ. (Israel)
Dennis Kroll, Univ. of California/San Francisco
Nikiforos Koklas, M.D., Johnson & Johnson
Joseph Liskowicz, Univ. of Maryland
Marc Okoniewski, Univ. of Maryland
Robert Leef, Newport Instruments
Michel Maurette, D.V.M., Purdue Univ.
Sergey Maslov, Univ. of California/Riverside
Anita Mahadevan-Jansen, Vanderbilt Univ.
Reza Malek, M.D., Mayo Clinic
David Maness, Univ. of California/San Francisco
Karen McNally-Heinzlmann, Advert Surgical Innovators
David Milam, Queensland Univ. of Technology (Australia)
Alexandra Oraevsky, Fulwyll Medical Technologies
Marek Osiński, The Univ. of New Mexico
Amnasi Periasamy, Univ. of Virginia
Wolfgang Petrich, Roche Diagnostics
Tomasz Pluta, Univ. of Warsaw
Paras Prasad, SUNY/Univ. at Buffalo
Alexander Prezhdo, K.V. Lommeresov Moscow State Univ. (Russia)
Ramesh Raghavachari, U.S. Food and Drug Administration
Peter Rechmann, D.O.S., Univ. of California/San Francisco
William Roberts, Science Research Lab. of Industry (Russia)
Peter So, Massachusetts Institute of Technology
Per Söderberg, St. Erik’s Eye Hospital Stockholm
Lloyd Tate, V.D.M., North Carolina State Univ.
Guillermo Tearney, M.D., Harvard Medical School
Gregory Tewes, M.D., Florida State Univ.
Valery Tuchin, Saratov State Univ. (Russia)
Vladimir Vo-Dinh, Oak Ridge National Lab. University, TN
Thomas Wang, Stanford Univ.
Ronald Waynant, U.S. Food and Drug Administration
Tony Wilson, Univ. of Oxford (United Kingdom)
Brian Yen, M.D., Univ. of California/Irvine
Kenji Yamamoto, Medical Research Medical Center, Univ. of Tokyo (Japan)
Haisuhan Zeng, BC Cancer Agency (Canada)
## Program on Biomedical Spectroscopy, Microscopy, and Imaging
**Program Track Chair:** Ammasi Periasamy, Univ. of Virginia
| Saturday | Sunday | Monday | Tuesday | Wednesday | Thursday |
|----------|--------|--------|---------|-----------|----------|
| **21 January** | **22 January** | **23 January** | **24 January** | **25 January** | **26 January** |
### Technical Conferences
| 6089 | 6089 | 6090 | 6091 | 6094 | 6090 |
|------|------|------|------|------|------|
| **Ultrasensitive and Single Molecule Detection Techniques VI** (Eisenberg, Gryczynski) p. 57 | **Multiphoton Microscopy in the Biomedical Sciences VI** (Periasamy, Sol) p. 52 | **Three-Dimensional and Multidimensional Microscopy: Image Acquisition and Processing XIII** (Conchello, Cogswell, Wilson) p. 54 | **Optical Diagnostics and Sensing VI** (Cote, Priezzhev) p. 59 | | |
### Related Courses
| SC209 | SC896 | SC603 | SC696 | SC768 | SC769 |
|-------|-------|-------|-------|-------|-------|
| **Tissue Optics** (Jacques) 1:30 pm to 5:30 pm, p. 165 | **Bioluminescence for Food and Environmental Safety** (Browko) 8:30 am to 12:30 pm, p. 168 | **Laser Product Certification to National and International Regulations** (Stowe) 8:30 am to 5:30 pm, p. 154 | **Noninvasive in vivo Biosensing Based on Color Fluorescence** (Kumar) for Drug Design and Screening (Saxlsky) 8:30 am to 5:30 pm, p. 166 | **Optoacoustic Systems for Medical Imaging: From Principles to Clinical Applications** (Oravsky) 1:30 pm to 5:30 pm, p. 166 | **Principles and Accident Prevention** (Barst) 8:30 am to 5:30 pm, p. 155 |
| SC309 | SC751 | SC437 | SC312 | SC461 | SC893 |
|-------|-------|-------|-------|-------|-------|
| **Fluorescent Markers: Usage and Optimization** (Levi) 8:30 am to 12:30 pm, p. 167 | **Vibrational Spectroscopy: From Physics to Medicine** (Petrich) 1:30 pm to 5:30 pm, p. 167 | **Microfabrication Techniques for Microfluidics & BioMEMS** (Rados) 1:30 pm to 5:30 pm, p. 160 | **Principles and Applications of Optical Coherence Tomography** (Fujimoto) 8:30 am to 12:30 pm, p. 166 | **Bio-Optical Diagnostic Systems** (Levi) 1:30 pm to 5:30 pm, p. 167 | **Spectroscopy for Biology and Medicine** (Baldus, Levenson) 8:30 am to 12:30 pm, p. 166 |
| SC746 | SC749 | SC750 | | | |
|-------|-------|-------|---|---|---|
| **Introduction to Ultrasonic Technology** (Treiber) 8:30 am to 12:30 pm, p. 157 | **Diffuse Optical Spectroscopy and Imaging of Tissues** (Toropov) 8:30 am to 12:30 pm, p. 157 | **Optical Clearing of Tissue and Blood** (Thorne) 12:30 pm, p. 165 | | | |
### Abstracts on CD-ROM!
Abstracts will be available ONLY on CD-ROM at the meeting. Each registered technical attendee will get a CD-ROM containing all abstracts from Photonics West 2006. No print version of the abstracts will be available.
Effect of the nanowire cross-section on the sensitivity enhancement of localized surface plasmon resonance biosensors
Kyung Min Byun\textsuperscript{a}, Donghyun Kim\textsuperscript{b}, and Sung June Kim\textsuperscript{a}
\textsuperscript{a}School of Electrical Engineering, Seoul National University, Seoul, Korea 151-742;
\textsuperscript{b}School of Electrical and Electronic Engineering, Yonsei University, Seoul, Korea 120-749
ABSTRACT
In this study, localized surface plasmon resonance (SPR) biosensors with gold nanowires regularly patterned on a gold film are considered for sensitivity enhancement. The theoretical investigation was conducted using rigorous coupled wave analysis (RCWA) in terms of various design metrics, such as the resonance angle shift, the SPR curve angular width (SPR CAW), and the minimum reflectance at resonance (MRR). Especially, when LSP modes couple resonantly, broad SPR CAW and shallow MRR as well as a large shift of the resonance angle can be observed due to absorptive damping and localized coupling. The results show that, in general, nanowires of a T-profile present more effective sensitivity enhancement than an inverse T-profile. The sensitivity enhancement mediated by the presence of nanowires has been clarified qualitatively based on the dispersion relation between metal film involving nanowires and surrounding dielectric medium. Moreover, optimal design parameters of nanowires are determined based on quantitative metrics that measure the sensor performance and the fabrication reliability.
Keywords: Surface plasmon resonance, biosensors, nanowires, rigorous coupled wave analysis
1. INTRODUCTION
Surface plasmon resonance (SPR) is widely used in optical biosensors for detection and analysis of biological and chemical interactions.\textsuperscript{1,2,3,4,5} SPR is attributed to the excitation of surface plasmon polaritons (SPPs) when a TM-polarized beam of light incident on a thin conducting metal film between two dielectric media is coupled to surface plasmons formed in the film.\textsuperscript{6} These plasmons resonantly couple with the incident light at a specific resonance angle as the momentum matching between an incident photon and a SPP is achieved. A conventional SPR biosensor is based on the attenuated total reflection configuration, in which an incident beam is coupled through a prism on a slide glass coated with a gold film.\textsuperscript{7} As incident light passes through a transparent dielectric superstrate and is reflected at the metal film to a photodetector, a small change in refractive index induced by interactions amongst biomolecules on the metal surface results in an angular shift of resonance. By measuring the resonance shift, it is possible to quantify a surface reaction of interest. SPR-based biosensors have successfully measured various biochemical reactions such as antibody-antigen binding,\textsuperscript{8,9} DNA hybridization,\textsuperscript{10} biomaterial and cell receptor interactions,\textsuperscript{11} and other adsorption processes.\textsuperscript{12,13}
It has been well known that use of metallic nanostructures on a SPR-biosensor leads to a large shift in resonance angles, compared to a conventional SPR biosensor, through strong optical coupling between SPPs on a metal film and localized surface plasmons (LSPs) of plasma oscillations confined in nanostructures.\textsuperscript{14–16} When the LSP resonance condition is satisfied, the existence of nanostructures deforms the dispersion relation of SPP modes, which results in damping of SPP features.\textsuperscript{6,17} Since LSP effects usually provide improved sensitivity, SPR biosensors that exploit nanostructures have drawn tremendous interests in recent years. It has been empirically reported that nanostructures can enhance the sensitivity of an SPR biosensor by 1-2 orders of magnitude.\textsuperscript{18,19,20}
In general, an SPR curve is obtained by varying either an incidence angle or light wavelength. While SPR sensors mainly measure the resonance angle shift, oftentimes curve angular width (CAW) and minimum reflectance at resonance (MRR) need also be taken into account for improved quantitative analysis of target analyte binding events.\textsuperscript{16,21,22} In the presence of nanostructures, a measured SPR curve shows different resonance properties, such as increased SPR CAW and shallow MRR as well as an additional shift in resonance angle, possibly due to absorptive damping and localized coupling.\textsuperscript{6,14,16,17,23}
In our previous study, nanowire-mediated localized SPR biosensors were found to offer significant enhancement in sensitivity, mainly induced by resonantly excited LSPs and LSP-SPP interactions.\textsuperscript{24} However, only angular shift of
resonance was employed as a metric for the calculation since it was the most conveniently available, so that the structure optimized for maximum sensitivity enhancement was in fact suboptimal from functional aspects of a biosensor.
In this paper, we investigate an SPR biosensor structure, in which excitation of and interactions with LSPs are mediated by nanowires, and extend the analysis based on comprehensive design metrics, other than sensitivity enhancement induced by resonance angle shift, such as variations of MRR and SPR CAW. Optimal design parameters of nanowires are determined in terms of the sensor performance and the fabrication reliability. In addition, the extended analysis is qualitatively explored using the dispersion relation to clarify the effects of LSP modes.
2. NUMERICAL MODEL
For numerical analysis, RCWA has been employed to obtain optical characteristics of a periodic structure of gold nanowires on a smooth gold film. For RCWA, the complex dielectric function of a metallic nanowire grating is written as a Fourier series expansion
\[
\varepsilon(x, z) = \varepsilon(x + \Lambda, z) = \sum_m \varepsilon_m(z) \exp(jK_G mx),
\]
(1)
where \( \Lambda \) is the grating period, \( \varepsilon_m \) is the Fourier component of the grating dielectric function, and \( K_G = 2\pi/\Lambda \) is the grating vector. The coordinates in Eq. (1) are depicted in Fig. 1. The light source is assumed to be a unit-amplitude monochromatic plane wave with wavelength \( \lambda \) and an incidence angle \( \theta \) with the \( z \)-axis.
An electric or a magnetic field inside a grating region with a complex dielectric function is determined by solving two wave equations. For a particular polarization component of incident light, wave equations can be simplified, leading to RCWA expressed as an infinite set of coupled-wave equations where the electric or magnetic field is expanded in terms of space-harmonic components with variable amplitudes in the \( z \)-direction.\(^{25,26}\) The space-harmonic amplitudes are then solved for the coefficient matrix using eigenvalues and eigenvectors of the differential equation. Each space-harmonic component inside a metallic grating is phase-matched to a diffraction order. Because the tangential components of electric and magnetic fields must be continuous at boundaries of a grating, the field of each diffraction order outside a grating is related to the corresponding space-harmonic inside a grating. Note that since the field is more rapidly varying in short distances of a nanostructure with a size smaller than 100 nm, more space-harmonic components are needed to attain the convergence and to improve the accuracy in calculation.
The RCWA has been successfully applied to explaining experimental results that involve nanostructures.\(^{27,28,29}\) It should be noted that our RCWA routine was found to corroborate earlier studies using nanowires that range a few tens of nanometers in size.\(^{30}\) In the current study, RCWA has been employed to investigate a nanowire-mediated localized SPR biosensor with a schematic diagram shown in Fig. 2. One-dimensional gold nanowires with period \( \Lambda \) oriented along the \( y \)-axis are regularly patterned on a gold film that supports SPP modes. A 2-nm thick layer of chromium attaches the gold film to a prism. Binding analytes are modeled as a 1-nm thick self-assembled monolayer (SAM) of refractive index 1.526, which covers both gold nanowires and a gold film. The thickness of the gold film is 40 nm for both conventional and nanowire-mediated localized SPR configurations. Since a SAM layer is extremely thin compared with the wavelength of incident light, the absorption can be neglected so that the layer is essentially a dielectric.\(^{18}\) A TM-polarized light of \( \lambda = 633 \) nm is incident on a side of the prism and the incidence angle is scanned with an angular resolution \( \Delta \theta = 0.01^\circ \). The dielectric function of a BK7 glass prism and of chromium and gold layers was determined, respectively, as \( 1.515, 3.48 + 4.36i, \) and \( 0.18 + 3.0i \) at \( \lambda = 633 \) nm.\(^{31}\)
Figure 2. Schematic diagram of a nanowire-mediated localized SPR biosensor with regularly patterned gold nanowires of a T-profile on a gold film. The illumination at a fixed wavelength 633 nm is incident at an angle $\theta$ in the $xz$-plane. Layer 1, 2, 3, 4, 5, and 6 represent a BK7 glass prism, a layer of chromium, a gold film, one-dimensional gold nanowires, target analytes, and air, respectively. The thickness of each layer is 2 nm ($d_2$), 40 nm ($d_3$), 20 nm ($d_4$), and 1 nm ($d_5$).
Based on the reports that nanostructures ranging from 20 nm to 50 nm in size produce the strongest and sharpest SPR sensitivity enhancement,\textsuperscript{14,15,17} gold nanowires considered in this study are also sized in this range. In particular, one-dimensional nanowires with a T-, an inverse T-, or a rectangular profile are under consideration for the analysis using a schematic shown in Fig. 2, where $w_{\text{top}}$ ($w_{\text{bottom}}$) denoting the width of the nanowire top (bottom) is either 20 nm or 40 nm. The nanowire depth $d_4$ ($= d_{\text{top}} + d_{\text{bottom}}$) is fixed at 20 nm. For convenience, a geometry factor (GF) of nanowires is introduced as $d_{\text{top}}/d_4$ if $w_{\text{top}} > w_{\text{bottom}}$ for a T-profile and $d_{\text{bottom}}/d_4$ if $w_{\text{top}} < w_{\text{bottom}}$ for an inverse T-profile. A GF is defined to be 0 if $w_{\text{top}} = w_{\text{bottom}} = 20$ nm, and 1 if $w_{\text{top}} = w_{\text{bottom}} = 40$ nm for a rectangular profile.
3. RESULTS
To represent the impact of nanowires on the sensitivity enhancement quantitatively, a sensitivity enhancement factor (SEF) is introduced as
$$SEF = \left| \frac{\theta_{NWSPR}(\text{with analytes}) - \theta_{NWSPR}(\text{without analytes})}{\theta_{SPR}(\text{with analytes}) - \theta_{SPR}(\text{without analytes})} \right|,$$
where the subscripts $NWSPR$ and $SPR$ represent the plasmon resonance angles with and without analytes of a nanowire-mediated localized SPR configuration and a conventional SPR scheme.\textsuperscript{24}
Fig. 3 shows the calculated reflectance characteristics of a conventional SPR configuration. The resonance angles with and without bound analytes are 45.29° and 45.12°; thus the resonance shift $\Delta \theta_{SPR} = 0.17^\circ$. Since SPR curves are highly asymmetric, the SPR CAW is defined as the angle difference between reflectance minimum and maximum as presented in the inset of Fig. 3. The SPR CAW and MRR are obtained as 2.40° and 0.03 for a conventional SPR configuration.
Using Eq. (2), peak SEFs calculated for T- and inverse T-profiles and presented in Fig. 4 show that a T-profile generally exhibits a larger SEF than an inverse T-profile. The highest SEF obtained of a T-profile is 47.35 at GF = 0.25, while that of an inverse T-profile is 19.29 when the GF = 0.9. For a T-profile, both dominantly excited LSP modes and the structure effect that incurs relatively small interference between substrate and nanowires lead to great improvement of sensitivity.\textsuperscript{24} For an inverse T-profile, however, LSPs are not resonantly excited as the strong interaction with a substrate results in damping of LSP modes.
**Figure 3.** SPR curves of a conventional SPR biosensor shown in Fig. 1. The thickness of each layer is 2 nm (chromium), 40 nm (gold), and 1 nm (target analytes). The solid and dotted curves represent without binding and with binding to analytes. The inset describes the definition of the SPR CAW as the angular difference between reflectance minimum and maximum.
**Figure 4.** Peak SEF with GF for nanowires of a T-profile (■) and an inverse T-profile (○). GF varies from 0 to 1.
In Fig. 5 that represents the nanowire period at the peak SEF as the GF varies, the highest SEF for an inverse T-profile is obtained at $\Lambda = 50$ nm, i.e. $\Lambda_{\text{pol}} = 50$ nm, with all values of GF. On the other hand, for a T-profile, $\Lambda_{\text{peak}}$ varies from 50 nm to 140 nm. From Figs. 4 and 5, a nanowire-mediated localized SPR biosensor with a T-profile generally results in larger sensitivity enhancement, particularly at a longer nanowire period. This, in turn, implies that nanowires of a T-profile, since they achieve better performance at a longer period, are relatively easy to fabricate. The vertical line of a T-profile in Fig. 5 indicates the range of nanowire periods, $\Delta \Lambda$, in which the SEF exceeds a given threshold. The range $\Delta \Lambda$ can measure performance reliability and robustness to fabrication errors in implementing nanowires and thus a wide range is desired. The SEF threshold for a T-profile is set to be 20, since it is the maximum SEF of an inverse T-profile (see Fig. 4). Thus, the SEF at nanowire periods that are included in the vertical line is to be higher than that of an inverse T-profile and the threshold. A nanowire structure of GF = 0.5 has the widest range of nanowire periods ($\Lambda = 105$ nm ~ 172 nm, i.e. the width of the range $\Delta \Lambda = 67$ nm) at which a SEF exceeds the threshold. At GF = 0.6 and 0.8, $\Delta \Lambda$ is also significant, larger than 30 nm. Note that at GF = 0.25, the vertical line is shown as ranging from 109 nm to 137 nm while
\( \Lambda_{\text{peak}} = 50 \) nm. This implies that \( \Delta \Lambda \) in the vicinity of \( \Lambda_{\text{peak}} \) is extremely narrow and the SEF can still exceed the threshold at a longer nanowire period far from \( \Lambda_{\text{peak}} \). It is clear from Figs. 4 and 5 that nanowires of a T-profile exhibits better characteristics than those of an inverse T-profile, in terms of the peak SEF and \( \Lambda_{\text{peak}} \).
**Figure 5.** Nanowire period, \( \Lambda_{\text{peak}} \), with GF when the SEF is the highest for nanowires of a T-profile (■) and an inverse T-profile (○). The vertical line shown of the T-profiles indicates the range of nanowire periods in which the SEF exceeds a given SEF threshold. The threshold is set to be 20, the maximum SEF obtained from an inverse T-profile.
For practical applications of a nanowire-mediated localized SPR biosensor, structural optimization based on the peak SEF, \( \Lambda_{\text{peak}} \), and \( \Delta \Lambda \) may not be sufficient. For good performance, nanowires with a narrow CAW and a small MRR are desired, because with a highly broad CAW and a shallow MRR, it becomes quite difficult to accurately detect the resonance position and to analyze precisely the effect of binding events on a SPR structure. For this reason, in the design process, other practically important SPR properties such as CAW and MRR were also counted in besides the angular shift of resonance.
**Figure 6.** The SPR CAW with GF for nanowires of a T-profile (■) and an inverse T-profile (○). The dotted line indicates the SPR CAW of a conventional SPR scheme in Fig. 3.
Broader SPR CAW implies the resonance condition more loosely met due to the presence of nanowires since a wide SPR CAW involves LSPs excited around the resonance with diverse momentum matching conditions. As observed in Figs. 6 and 7, the CAW and the MRR are largely increased as LSP modes in nanowires are excited. Generally, the SPR CAW of a T-profile is larger than that of an inverse T-profile as shown in Fig. 6. The contrast between the two profiles is starker in the MRR characteristic in Fig. 7. The prominent difference stems from nanowire-induced perturbation in the dispersion relation of SPR as discussed in the subsequent section in more detail. In Fig. 7, since LSP modes are in
resonance, nanowires of a T-profile show an increased MRR. However, for an SPP-dominated inverse T-profile, the MRR is comparable to that of a conventional SPR configuration. Our numerical results show that in general, a T-profile brings about larger damping of SPP modes and more resonantly excited LSP modes than an inverse T-profile. Thus, use of a T-profile improves the sensitivity of nanowire-mediated localized SPR biosensors more efficiently.
**Figure 7.** The MRR with GF for nanowires of a T-profile (■) and an inverse T-profile (○).
Considering that a T-profile shows a larger SEF than an inverse T-profile and also that small values of CAW and MRR are obtained around GF = 0.8 for a T-profile, optimized nanowires are a T-profile at GF = 0.8. From Figs. 4 and 5, these nanowires achieve the peak SEF = 40.91 at $\Lambda_{\text{peak}} = 100$ nm. The $\Delta \Lambda$ is 32 nm (from 96 nm to 128 nm), which is large enough not to be sensitive to fabrication errors in nanowire period. At this GF, the CAW is relatively narrow while the MRR is the smallest compared with those obtained at other GF of a T-profile.
### 4. DISCUSSION
Compared with a conventional SPR scheme, the existence of nanostructures on the metallic film leads to significant perturbation of the dispersion relation of SPP modes. In particular, when the excitation of LSP modes are dominant, large SPP damping is observed as it makes SPR curves broader and shallower and also induces the resonance at higher angle. Impacts of nanowire profiles on the SPR characteristics can also be studied using the dispersion relation. Across the interface between a metal film and a surrounding dielectric medium, the wave vector, $k_{\text{spr}}$, is continuous for momentum matching, and in the case of $|\varepsilon_M| < |\varepsilon_D|$, the imaginary component of $k_{\text{spr}}$ is taken as
$$\text{Im}(k_{\text{spr}}) = \frac{w}{c} \left( \frac{\varepsilon_M \varepsilon_D}{\varepsilon_M + \varepsilon_D} \right)^{3/2} \frac{\varepsilon_M}{2(\varepsilon_M)^2}. \tag{3}$$
where $w$ and $c$ denote the angular frequency and the speed of light in the free space.\(^{6,23}\) And $\varepsilon_M (= \varepsilon_M^r + i \varepsilon_M^i)$ and $\varepsilon_D$ are the complex dielectric functions of a metal film and a dielectric medium. As is well known, the resonance angle and the SPR CAW are correlated to the real and imaginary part of $k_{\text{spr}}$, respectively,\(^{16}\) i.e., a large real part induces a large shift of resonance angle and a large imaginary part similarly leads to a large SPR CAW. The different performance between T- and inverse T-profiles can be described more clearly in view of the SPR CAW as shown in Fig. 6. In general, the absorption coefficient ($\kappa_M$) of noble metal is much larger than the refractive index ($n_M$). If we assume that $\kappa_M^2 \gg n_M^2 = 0$ at $\lambda = 633$ nm, the imaginary part of $k_{\text{spr}}$ is related to $n_M$ and $\kappa_M$ by
$$\text{Im}(k_{\text{spr}}) = \frac{wn_M^2}{c} \left( \frac{\kappa_M^2}{\kappa_M^2 - n_D^2} \right)^{3/2} \frac{n_M}{\kappa_M}, \tag{4}$$
where $n_D$ is the refractive index of a dielectric medium. Eq. (4) shows that the SPR CAW is more dominantly influenced by the large absorption coefficient of the gold film than refractive index and other parameters.
In particular, the imaginary part of $k_{\text{spr}}$ is related to the absorption damping effect induced by the structural difference between the two profiles. Since nanowires of an inverse T-profile have a larger interface with the gold film than those of a T-profile, the effective absorption of the gold film that supports nanowires of an inverse T-profile becomes also larger. From Eq. (4), the larger the absorption coefficient is, the smaller the imaginary part of $k_{\text{spr}}$. This implies that the SPR CAW is not largely broad and the SPP modes are still influential. On the other hand, nanowires of a T-profile with a narrow contact area to a gold film exhibit smaller effective absorption than those of an inverse T-profile. Thus, the gold film with nanowires of a T-profile exhibits a larger imaginary component, resulting in a larger SPR CAW. Moreover, as nanowires attached to the gold film excite LSPs, the LSPs interact with the SPPs that are formed on the surface of the gold film. Larger coupling interaction between LSPs and SPPs for an inverse T-profile than for a T-profile results in greater interference and damping of excited LSPs.\(^{34}\)
5. CONCLUSIONS
We have studied the impact of nanowires on the sensitivity enhancement of SPR biosensors using RCWA. Compared with a conventional SPR scheme, nanowires built on a gold film lead to significant deformation of the dispersion relation of SPP modes. Especially when LSP modes couple resonantly, broad SPR CAW and shallow MRR as well as a large shift of the resonance angle can be observed due to absorptive damping and localized coupling. Also, nanowires of a T-profile are found to present higher sensitivity enhancement than those of an inverse T-profile. The impact of the nanowire profile is investigated qualitatively using the dispersion relation of gold-dielectric interface. Moreover, optimal design parameters of nanowires are determined based on quantitative metrics that measure the sensor performance and the fabrication reliability. Optimal nanowires have a T-profile with a GF = 0.8 ($w_{\text{top}} = 40$ nm, $w_{\text{bottom}} = 20$ nm, $d_{\text{top}} = 16$ nm and $d_{\text{bottom}} = 4$ nm). This geometry results in significantly enhanced sensitivity over 40 times larger than that of a conventional SPR biosensor. In addition, a relatively large width of nanowire periods, $\Delta \Lambda$, in which the SEF exceeds a pre-set threshold, was determined to be more than 30 nm.
ACKNOWLEDGEMENTS
This work was supported by the SRC/ERC program of MOST/KOSEF (R11-2000-075-01001-1). D. Kim acknowledges the support by KOSEF through National Core Research Center for Nanomedical Technology (R15-2004-024-00000-0).
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A logical approach to Isomorphism Testing and Constraint Satisfaction
Oleg Verbitsky
Humboldt University of Berlin, Germany
ESSLLI 2016, 15–19 August
Part 5: FO$^2_\#$ and Distributed Computing.
Outline
1. A retrospective view
2. Color refinement in isomorphism testing (recap)
3. Color refinement in distributed computing
4. Norris’s problem
5. References
Outline
1. A retrospective view
2. Color refinement in isomorphism testing (recap)
3. Color refinement in distributed computing
4. Norris’s problem
5. References
1980
- L. Babai, P. Erdős, and S.M. Selkow. Random graph isomorphism. *SIAM J. Comput.*
- D. Angluin. Local and global properties in networks of processors. *STOC’80.*
1990
- N. Immerman and E. Lander. Describing graphs: A first-order approach to graph canonization. In *Complexity Theory Retrospective*, Springer.
Outline
1. A retrospective view
2. Color refinement in isomorphism testing (recap)
3. Color refinement in distributed computing
4. Norris’s problem
5. References
Color refinement algorithm (formal definition)
\[
C^1(v) = \deg v \\
C^{i+1}(v) = \{ C^i(u) : u \in N(v) \}
\]
**Exercise**
If \( \phi \) is an isomorphism from \( G \) to \( H \), then \( C^i(v) = C^i(\phi(v)) \).
Therefore,
\[ G \cong H \implies \{ C^i(u) \}_{u \in V(G)} = \{ C^i(v) \}_{v \in V(H)} \]
**Color Refinement** accepts \( G \) and \( H \) as isomorphic iff the equality is true for all \( i \).
- The output “non-isomorphic” is always true.
- The output “isomorphic” can be wrong.
Immerman and Lander:
The following three conditions are equivalent:
- Color refinement distinguishes $G$ and $H$;
- $G$ and $H$ are distinguishable in two-variable first-order logic with counting quantifiers.
- Spoiler has a winning strategy in the 2-pebble counting game on $G$ and $H$.
In particular, if color refinement distinguishes $G$ and $H$ in less than $s$ rounds, then $G$ and $H$ are distinguishable with quantifier depth $s$.
Question
Suppose that color refinement distinguishes $n$-vertex $G$ and $H$. How many refinement rounds does it need?
- Just 2 for almost all $G$ (Babai, Erdős, Selkow).
- What about the worst case?
A related question
How large can $D^2_\#(G)$ be for $G$ definable in $\text{FO}^2_\#$?
We already know that $n$ rounds always suffice.
At least $\frac{n}{2} - 2$ rounds are sometimes needed:
e.g., on $P_n$ and $P_{n-3} + C_3$.
- Thus, the optimum is between $\frac{n}{2}$ and $n$. Where?
Theorem (Krebs, V. 2015)
There are $n$-vertex $G$ and $H$ distinguishable in 2-variable counting logic but only with quantifier depth $(1 - o(1))n$.
Corollary
There are $n$-vertex $G$ and $H$ such that color refinement needs $(1 - o(1))n$ refinement rounds to distinguish them.
Moreover,
color refinement stabilizes on the disjoint union $G + H$ in $(2 - o(1))n$ rounds
(despite the stabilization on each of $G$ and $H$ is reached in less than $n$ rounds).
Outline
1. A retrospective view
2. Color refinement in isomorphism testing (recap)
3. Color refinement in distributed computing
4. Norris’s problem
5. References
Basic concepts
- A network = a graph $G$
- A processor (a finite automaton) = a node in $G$
- The initial states are identical for nodes of the same degree
- In a unit of time — a message exchange along each edge
Examples of problems.
**Leader election:** Exactly one processor has to come in a distinguished state “elected”.
**Network topology recognition:** One of the processors (or all of them) has to come in a special state iff $G$ has a specified property (for example, $G$ is bipartite, planar, . . . ).
Let $G$ and $H$ be connected.
$\alpha$ is a covering map from $H$ to $G$ if $\alpha$ is
- a homomorphism from $H$ onto $G$,
- a bijection from $N(v)$ onto $N(\alpha(v))$ for each $v \in V(H)$.
We say that $H$ is a covering graph of $G$ or that $H$ covers $G$.
$U_x(G)$ is the “unfolding” of $G$ from $x$ into an (infinite) tree.
$U_x(G)$ covers any covering graph of $G$ and is called a universal cover of $G$.
Another example of a universal cover
$G$
$U_x^4(G)$
Lemma
Let $\alpha : H \to G$ be a covering map for the networks $G$ and $H$. Then the processors $v$ and $\alpha(v)$ will be always in the same state.
Lemma
Planar graphs are not closed under covering maps.
Corollary
Planarity is not recognizable by local computations.
Angluin:
The following conditions are equivalent.
- $G$ and $H$ have a common covering graph.
- $U(G) \cong U(H)$
- $\{C^i(u) : u \in V(G)\} = \{C^i(v) : v \in V(H)\}$, for all $i$.
Angluin + Immerman & Lander + Ramana et al.
If $G$ and $H$ have equally many vertices, then the following conditions are equivalent.
- $G$ and $H$ are indistinguishable in $\text{FO}^2_\#$.
- $G$ and $H$ are fractionally isomorphic.
- $G$ and $H$ are indistinguishable by Color Refinement.
- $G$ and $H$ have isomorphic universal covers.
Truncated universal covers
\[ U_x(G) \cong U_y(H) \implies \text{the processors } x \text{ and } y \text{ are all the time in equal states (i.e., indistinguishable by local computations).} \]
Let \( U^t_x(G) \) denote the rooted tree \( U_x(G) \) truncated at depth \( t \).
\[ U^t_x(G) \cong U^t_y(H) \implies x \text{ and } y \text{ are in equal states up to time } t. \]
Truncated universal covers
$U_x(G) \cong U_y(H) \implies$ the processors $x$ and $y$ are all the time in equal states (i.e., indistinguishable by local computations).
Let $U^t_x(G)$ denote the rooted tree $U_x(G)$ truncated at depth $t$.
$U^t_x(G) \cong U^t_y(H) \implies x$ and $y$ are in equal states up to time $t$.
**Lemma**
$U^t_x(G) \cong U^t_y(H)$ iff $C^t(x) = C^t(y)$.
Lemma
\[ U^t_x(G) \cong U^t_y(H) \text{ iff } C^t(x) = C^t(y). \]
Exercise
Prove it by induction on \( t \).
Hint
Prove first the following **Tree Reconstruction Lemma**:
Let \( T \) and \( S \) be trees, \( x \in V(T), y \in V(S), N(x) = \{x_1, \ldots, x_k\}, \) and \( N(y) = \{y_1, \ldots, y_k\} \). Then
\[ T^r_x \cong S^r_y \text{ and } T^r_{x_i} \cong S^r_{y_i} \text{ for all } i \leq k \implies T^{r+1}_x \cong S^{r+1}_y. \]
Exercise
Apply it for another proof that every tree is definable in \( \text{FO}^2_\# \).
Outline
1. A retrospective view
2. Color refinement in isomorphism testing (recap)
3. Color refinement in distributed computing
4. Norris’s problem
5. References
What truncation depth is enough?
**Lemma**
\[ U_x^t(G) \cong U_y^t(H) \text{ iff } C^t(x) = C^t(y). \]
By the color stabilization argument:
if \( G \) and \( H \) are two graphs with at most \( n \) vertices each, then
\[ U_x^{2n-1}(G) \cong U_y^{2n-1}(H) \implies U_x(G) \cong U_y(H). \]
**Norris’s question (1995)**
Can \( 2n - 1 \) be improved to \( n \) in this implication?
(Yes if \( G = H \))
Theorem (Krebs, V. 2015)
There are $n$-vertex graphs $G$ and $H$ with vertices $x \in V(G)$ and $y \in V(H)$ such that
1. $U_x^{2n - 16\sqrt{n}}(G) \cong U_y^{2n - 16\sqrt{n}}(H)$ while $U_x(G) \not\cong U_y(H)$;
2. $D^2_\#(G, H) > n - 8\sqrt{n}$.
Construction of $G = G_{s,t}$ and $H = H_{s,t}$
- Each graph is a chain of $t$ blocks:
- one head block,
- $t - 1$ tail blocks
- All tail blocks are identical and have $s + 10$ vertices.
The tail block for $s = 5$.
The graphs $G_{s,t}$ and $H_{s,t}$ for $s = 3$, $t = 3$.
The universal cover $U_x(G)$ contains all knowledge about the network $G$ available to a particular party $x$.
A large bunch of distributed algorithms is based on computing the isomorphism type of $U_x(G)$ by the party $x$.
The bound of $2n$ is a standard upper bound for the communication round complexity of such algorithms.
Our solution of Norris’s problem implies that this bound is tight up to a term of $o(n)$.
This seems to be the first application of FMT in the field.
The universal cover $U_x(G)$ contains all knowledge about the network $G$ available to a particular party $x$.
A large bunch of distributed algorithms is based on computing the isomorphism type of $U_x(G)$ by the party $x$.
The bound of $2n$ is a standard upper bound for the communication round complexity of such algorithms.
Our solution of Norris’s problem implies that this bound is tight up to a term of $o(n)$.
This seems to be the first application of FMT in the field.
**Open problem**
Can the lower bound of $2n - O(\sqrt{n})$ be improved to $2n - O(1)$?
Outline
1. A retrospective view
2. Color refinement in isomorphism testing (recap)
3. Color refinement in distributed computing
4. Norris’s problem
5. References
Andreas Krebs and Oleg Verbitsky. Universal covers, color refinement, and two-variable counting logic: Lower bounds for the depth. LICS 2015. |
Microstructural evolution in Al–Cu–Fe quasicrystalline thin films
E.J. Widjaja*, L.D. Marks
Department of Materials Science and Engineering, Northwestern University, Cook Hall, 2225 North Campus Drive 2036, Evanston, IL 60208-3108, USA
Received 3 December 2002; received in revised form 17 May 2003; accepted 5 June 2003
Abstract
Transmission electron microscopy (TEM) was performed to study the microstructural evolution in Al–Cu–Fe quasicrystalline thin films. Thin films were grown by magnetron sputtering on sodium chloride crystals, which were subsequently dissolved in water to acquire free-standing films. Studies were conducted on the as-deposited sample, and samples that were annealed at 400 °C in Argon and 500 °C in air. Nanocrystalline films were found in the as-deposited sample. When annealed at 400 °C the films changed to a metastable crystalline cubic β-phase as the dominant phase with secondary phases (θ- and ω-phases), which appear as small islands and precipitates on the surfaces, in the matrices and at grain boundaries, with specific orientations with respect to the cubic β-phase. The metastable phase transformed into the icosahedral ψ-phase plus residual Al-rich material (including λ-phase) upon further annealing at 500 °C. TEM imaging combined with electron diffraction revealed various features associated with the phase evolution in the crystalline–quasicrystalline phase transformation. Some grains in the film functioned as sacrificial grains allowing others to grow into icosahedral phases. Elements near the boundary of the sacrificial grains diffused to form the ψ-phase, resulting in fragments in the center of the grain. The roles of the sacrificial grains and elements diffusions, and the phase transformation mechanism are discussed. Additionally, the oxide layer of the film was an amorphous aluminum oxide that exhibited poor adhesion to the quasicrystalline films.
© 2003 Elsevier B.V. All rights reserved.
Keywords: Quasicrystalline thin films; Microstructural evolution; Transmission electron microscopy (TEM); Al–Cu–Fe
1. Introduction
Quasi-periodic crystals, commonly referred to quasicrystals, are intriguing structures, which demonstrate properties that are very different from conventional metallic materials. They show a long-range order with traditionally forbidden rotational symmetries such as five-fold and 10-fold rotation axes. Even though quasicrystals are mostly metallic alloys, they exhibit high hardness and stiffness with low electrical and thermal conductivities. The coefficient of friction and surface energy of the quasicrystalline materials are also very low. These attractive properties of quasicrystalline materials have been exploited in the industry for thin coating applications of conventional crystalline materials [1,2]. At present, in addition to the second phase precipitates, thin films/coatings are the only viable forms for practical applications since bulk quasicrystals are extremely brittle. Reviews of the properties and applications of quasicrystalline materials can be found elsewhere [1,3–6].
The Al–Cu–Fe system was first studied by Tsai [7] because of its low friction property. The phase diagram, microstructure and phase transformations in Al–Cu–Fe bulk quasicrystals have been widely studied [8–11]. Relatively little research has been conducted along these lines for Al–Cu–Fe quasicrystalline thin films; the majority of the work has emphasized the deposition method [12–18], annealing process [19], properties measurement [12,19–22] and oxidation behavior [23], plus some work studying the structural evolution of Al–Cu–Fe quasicrystalline thin films using X-ray diffraction (XRD) [24,25].
In most studies of Al–Cu–Fe films, only XRD was used to characterize the phases, however, the Al–Cu–Fe phase diagram with the crystalline phases, the rhombohedral R-phase, the orthorhombic O-phase, pentagonal...
phases, modulated and perfect icosahedral phases is very complex [8–11,26]. These phases show only small differences in their XRD patterns [11,26]. These small differences are further complicated in thin films due to finite grain size effect and other defects. In addition, XRD does not offer detailed information on the local microstructure.
Transmission electron microscopy (TEM) is a powerful tool to study the structure and morphology of quasicrystal. Although TEM has been used to evaluate the microstructural evolution in thin films of various quasicrystal systems, much of the work focused on thin films that were prepared by depositing layers of different pure elements, such as high temperature sequential deposition of Al and Mn [27], sputtering deposition to form multilayers of Al and Cr [28] and successive electron-beam evaporation of multilayers of Al and Co [29].
While there are studies using TEM to study Al–Cu–Fe quasicrystalline thin films (for example [30,31]), there has been little emphasis on the microstructural evolution. The objective of this article is to present TEM studies of Al–Cu–Fe quasicrystalline thin films prepared by single-target magnetron sputtering and the evolution of their microstructure during the phase transformation on heating.
2. Experimental details
Thin films of Al–Cu–Fe were grown on cleaved sodium chloride substrates in a magnetron sputtering chamber with a base pressure of $3 \times 10^{-8}$ Torr. Deposi-
Fig. 2. Observations made in thin film annealed at 400 °C in Ar: (a) TEM bright field image; (b) TEM dark field image; and (c) the electron diffraction pattern showing 212 zone axis of cubic crystalline β-phase.
The sodium chloride substrates were subsequently removed by dissolving in water to acquire free-standing thin films of thickness approximately 150–200 nm. These thin films were then suspended on Mo hole-grids and studied using a Hitachi H-8100 TEM. The relative metallic compositions were determined from energy dispersive X-ray (EDX) spectroscopy, calibrated using single crystal icosahedral Al$_{63}$Cu$_{25}$Fe$_{12}$ as the standard. To detect the phase transformations, differential scanning calorimetric (DSC) studies were carried out from room temperature to 600 °C at a heating rate of 5 °C/min.
3. Results and discussion
Fig. 1a–c show TEM bright field images of films in the as-deposited condition and after the aforementioned annealing treatments. The as-deposited sample (Fig. 1a) shows a nanocrystalline structure with a grain size <10 nm. This structure was attributed to a combination of a rapid quenching effect and a small increase of the substrate temperature due to atom bombardments during deposition. The sample annealed at 400 °C (Fig. 1b) showed mostly a continuous film while the sample treated at 500 °C (Fig. 1c) exhibited some level of discontinuity across the thin film.
While there are few reports that claim the structure of the room-temperature as-deposited samples to be amorphous [31,32], this is almost strictly correct only when the substrate is cooled (e.g. to liquid nitrogen [33].
or liquid helium [34] temperatures) or when substrate heating due to atomic bombardment can be prevented (e.g. the growth of very thin films [35]). Production of amorphous films requires very high deposition rates and low-substrate deposition; the latter immobilizes or freezes adatoms on the substrate where they impinge and
Fig. 3. (a–b) TEM bright field images of films annealed at 400 °C in Ar showing small precipitates and islands on larger cubic β-grains and larger precipitates at the grain boundaries; (c–d) islands on the β-phase matrix and; (e) diffraction pattern of (a) near 213 zone axis of cubic crystalline β-phase.
prevents them from diffusing and seeking out equilibrium lattice sites [36]. Due to the small grain sizes, nanoscale crystalline phases are generally indistinguishable from amorphous phase in XRD studies; however, they are easily observable in TEM imaging.
The sample annealed at 400 °C in Ar was composed of crystalline grains with an average grain size of a few microns, as shown in Fig. 2a–c. Note that the average composition of the film in the sample annealed at 400 °C in Ar was Al\(_{64.4 \pm 3}\)Cu\(_{23.2 \pm 2}\)Fe\(_{13 \pm 1}\). Upon annealing at 400 °C, the film formed large grains of intermetallic phases, demonstrating conventional grain growth driven by the reduction of grain boundary energy. No phase transformation to the quasicrystalline phase was observed. This finding was confirmed by DSC, which showed an exothermic peak at 440 ± 15 °C.
The structure of the intermetallics is the CsCl cubic β-phase, Al(Fe, Cu) with a lattice parameter of 0.294 nm. A diffraction pattern along the \(<212>\) zone axis is shown in Fig. 2c. This cubic structure is similar to the β-phase in the bulk phase diagram [11] that extends over a large range of composition. A similar structure also appeared on the surface of a single grain icosahedral Al–Cu–Fe alloy upon ion bombardment [37–39]; this was attributed to the preferential sputtering of aluminum from the surface.
The crystalline cubic β-phase in the 400 °C annealed sample is a metastable phase at this composition and temperature, however, there may be other metastable crystalline phases. In addition, to the micron sized cubic β-phase grains, smaller grains of sizes less than 50 nm appear in the form of precipitates or islands at the surface, while larger grains of approximately 100–200 nm were found at grain boundaries, as shown in Fig. 3a.
In addition to the majority cubic β-phase, Chien and Lu [33] reported the existence of a second phase in their sample upon annealing at 450 °C based on their XRD results, but were uncertain whether the second phase was cubic β-crystals with small grain sizes or amorphous. It needs to be noted that their film was deposited at liquid nitrogen temperature to try and produce an initial amorphous phase. However, it is unlikely that the original amorphous phase will remain after the annealing treatment.
The secondary phases in our sample are crystalline with small grains that appear as precipitates and islands—in the matrices, on the surface and at grain boundaries. Fig. 3b is a TEM bright field image of a grain showing needle precipitates along with islands; this image is equivalent to tilting the grain in Fig. 3a. Combining these two images, it appears that the precipitates assume the shape of platelets and are highly textured with the matrices. The islands on the surface can be either textured with specific facets and orientations with respect to the matrix (Fig. 3c) or not (Fig. 3d). Moire fringes are observed for islands in Fig. 3d due to superposition of periodic lattices with angle orientations.
The β-phase in the bulk phase diagram has the composition of Al\(_{50}\)Fe\(_{50-x}\)Cu\(_x\) (extends from AlFe up to 40% atomic percentage Cu) [40]. Although the average composition of the grains, Al\(_{64.4 \pm 3}\)Cu\(_{23.2 \pm 2}\)Fe\(_{13 \pm 1}\), is closer to the ω-phase (tetragonal Al\(_2\)Cu\(_2\)Fe with \(a = 0.634\) nm and \(c = 1.487\) nm), the larger grained crystalline phase is the cubic β-phase. Nevertheless, the true composition of the β-phase in the films may be less than the average composition due to contribution from the secondary phases. It is likely that the secondary phases are the θ-phase (tetragonal Al\(_2\)Cu with \(a = 0.6063\) nm and \(c = 0.4872\) nm) and/or the ω-phase. Both the θ- and ω-phases are richer in aluminum than the β-phase, allowing the reduction of aluminum content in the matrices, hence, gives more stability to the β-phase. The θ-phase can be incorporated into the β-phase matrix coherently with relatively small strains, \(\varepsilon_x = \varepsilon_y = (|2a_\beta - a_0|)/2a_\beta = 3.1\%\) and \(\varepsilon_z = (|5a_\beta - 3c_0|)/5a_\beta = 1.2\%\).
High-resolution electron microscopy is required to confirm this hypothesis. Fig. 3e shows the diffraction pattern along 213 zone axis of image in Fig. 3a; strong spots correspond to the matrix (β-phase) spots and weaker spots to the secondary phases. It is evident that the secondary phases are highly textured from the non-existence of ring patterns.
For the sample that was further annealed in air at 500 °C after annealing at 400 °C in Ar, the average composition of the film was \((\text{Al}_{65 \pm 3}\text{Cu}_{22 \pm 2}\text{Fe}_{13 \pm 1})_{84}\text{O}_{16}\). The high oxygen content was attributed to a surface oxide since the thickness of the film was only approximately 150–200 nm. On annealing at higher temperature, the intermetallic grains transformed into icosahedral ψ-grains. This film structure showed a large amount of the ψ-phase with grain sizes on the order of microns, similar to the grain sizes of the crystalline cubic β-phase. Fig. 4a–c show a bright field image of an icosahedral grain oriented along a five-fold axis and the diffraction patterns of icosahedral grains from different zone axes. In some cases, regions which had the external shape that would be expected of a grain, but only contained fragments, were observed as shown in Fig. 5a. We interpret this as a sacrificial grain, which decomposed during the phase transformations on annealing at the higher temperature. Three main features were identified in these regions, namely a mixture of phases of composition \((\text{Al}_{78 \pm 4}\text{Cu}_{3 \pm 1}\text{Fe}_{19 \pm 2})_{75 \pm 4}\text{O}_{25 \pm 4}\) that was located within the region (Fig. 5b–c); an amorphous alumina residue with composition \((\text{Al}_{97 \pm 1}\text{Fe}_{3 \pm 1})_{42 \pm 3}\text{O}_{58 \pm 2}\) (Fig. 5d–e); and an icosahedral grain adjoining the region (Fig. 5f–g).
The existence of the sacrificial grains is attributed to the composition fluctuation from the perfect icosahedral composition. These grains allow others to transform into ψ-phase. It appears that the elements diffuse into neighboring grains without significant migration of grain boundaries. Elements near the boundary of the sacrificial grain diffused into other grains to form the ψ-phases (Fig. 5f) leaving fragments in the center of the grain. Areas where the elements diffused out from the grains (Fig. 5d) were identified as the oxide layer.
The fragments in the center of the grain, with the average composition of \(\text{Al}_{78 \pm 4}\text{Cu}_{3 \pm 1}\text{Fe}_{19 \pm 2}\) (excluding the oxygen), have the composition of the λ-phase. Most
---
**Fig. 5.** (a) Image of sacrificial grain due to phase transformation into quasicrystalline phases. The three main features associated with the transformation are shown in Fig. 5b–h; (b) TEM image of a mixture of phases remaining in the region; (c) the corresponding diffraction pattern of phases in Fig. 5b; (d) TEM image showing the amorphous alumina residue; (e) the corresponding diffraction pattern of the amorphous alumina residue; (f) TEM image of an icosahedral grain adjoining the sacrificial grain; (g) the corresponding diffraction pattern of the icosahedral grain; (h) formation of λ-phase fragments.
spots in the diffraction pattern in Fig. 5c, can be indexed as the $\lambda$-phase, the rest is due to minor secondary phases. The $\lambda$-phase is the monoclinic Al$_{13}$Fe$_4$-phase (with $a = 1.5489$ nm, $b = 0.80831$ nm, $c = 1.2476$ nm and $\beta = 107.72^\circ$ [41]), which extends up to 6% atomic percentage of Cu. Similar to the crystalline $\beta$-phase that creates secondary phases ($\theta$- and $\omega$-phases) in 400°C annealed samples, the $\psi$-phase expels the excess aluminum element in the form of $\lambda$-phase. The mechanism of the $\lambda$-phase expulsion can be inferred from Fig. 5h. Excess elements segregate to the grain boundaries with the sacrificial grains creating finger-like shapes. The finger-like shape becomes a fragment due to curvature reduction diffusion (shown by the arrows in Fig. 5h) and coalesces with others to form the mixtures of fragments observed in Fig. 5b. These fragments become interconnected by further diffusion.
We hypothesize that the mass transfer by diffusion of the elements to the neighboring grains is higher than what can be accommodated by lateral grain growth. This leads to a rapid growth along the third dimension, resulting in films with high roughness. Bonasso et al. reported observation of clusters with size of 500–1000-nm wide upon annealing Al–Cu–Fe film of 150-nm thickness [42]. This effect has also been observed in a similar growth of 150 nm Al–Cu–Fe–Cr quasicrystalline thin films where the average roughness was more than 50 nm after phase transformation [35]. The roughening phenomenon is prominent in thin films where the grain size is comparable to or larger than the film thickness.
In a sputter deposition of Al–Cu–Fe film on a heated substrate at 460 °C, Eisenhammer and Trampert [30] reported that for coverage equal to 3.5 nm the Al–Cu–Fe icosahedral phase grows as isolated nano-particle with a mean diameter of approximately 15 nm and projected layer thickness amounted to 13–14 nm. Therefore, the high-temperature as-deposited Al–Cu–Fe film in their experiment is discontinuous, similar to our annealed sample at 500 °C. Our previous study on Al–Cu–Fe–Cr decagonal thin films shows similar behavior upon annealing at 310 °C [35], where the decagonal and the hexagonal approximant coexist with other crystalline phases exhibiting a turtle shell-like pattern with large plateaus surrounded by channels.
In addition to diffusion, the interface and surface energies of the phases also play an important role in the microstructural evolution. The lower surface energy of icosahedral phase compared to the crystalline phases results in a preference to grow as islands. A more accurate theory on the cubic–icosahedral phase transformation, in relationship with morphology and microstructural evolution, requires in-situ heating TEM study where nucleation and phase growth can be observed directly. Nevertheless, we believe our proposed microstructural evolution in $\beta$–$\psi$-phase transformation, as summarized in Fig. 6, based on our observation to be substantial even though the mechanism is not directly observed.
Furthermore, Fig. 2a and Fig. 4a show that both crystalline and quasicrystalline grains have comparable sizes—on the order of microns. By implementing a two-stage annealing process, the size of the icosahedral grains can be controlled indirectly with a lower temperature anneal prior to phase transformation.
The oxidized regions of the film, which from EDX were identified to be almost pure aluminum oxide, were fairly stable at this annealing temperature. This oxide layer residue was similar to the oxide layer elsewhere on the film, due to oxidation at high temperature (Fig. 7a), and was amorphous (Fig. 7b). This was also observed in Al-Cu-Fe-Cr thin films where annealing at 575 °C resulted in a thin residue of aluminum oxide [35]. It was observed that this oxide layer delaminated
easily, indicating poor adhesion to the quasicrystalline film (Fig. 7c).
4. Conclusions
The as-deposited Al–Cu–Fe thin film has a nanocrystalline structure, which subsequently transformed to micron-size grains of intermetallic phases upon annealing at temperatures below the phase transformation temperature. The cubic β-phase is the dominant phase among the crystalline phases in the sample. The secondary phases (θ- and ω-phases), which appear as small islands and precipitates on surfaces, in matrices and at grain boundaries, were also observed and have textured relationship with the cubic β-phase. At temperatures above the phase transformation temperature, the intermetallics reacted to form icosahedral phases with sacrificial grains. The roles of the sacrificial grains and elemental diffusion and their relationship to microstructural evolution and film morphology were discussed. The oxide layer of the film in the sample annealed at 500 °C in air was amorphous, nearly pure alumina. This aluminum oxide layer had a poor adhesion to the quasicrystalline film.
Acknowledgments
This work was supported by AFOSR-DOD through Grant Award # F49620-96-0214. The authors would like to thank Technology Assessment and Transfer (TA&T) Inc. for providing the sputtering target.
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PUBLIC DEBT AND WELFARE IN A QUANTITATIVE SCHUMPETERIAN GROWTH MODEL WITH INCOMPLETE MARKETS
Marco Cozzi
Department of Economics, University of Victoria
Victoria, B.C., Canada V8W 2Y2
February, 2022
Abstract
This paper quantifies the welfare effects of counterfactual public debt policies using an endogenous growth model with incomplete markets. The economy features public debt, Schumpeterian growth, infinitely-lived agents, uninsurable income risk, and discount factor heterogeneity. Two versions of the model are specified, one allowing for households to hold equity in the group of innovating firms. The model is calibrated to the U.S. economy to match the degree of wealth inequality, the share of R&D expenditure in GDP, the firms exit rate, the average growth rate, and other standard long-run targets. When comparing balanced growth paths, I find large long-run welfare gains in equilibria characterized by governments accumulating public wealth. In some parameterizations, the equilibrium response of the growth rate is modest. However, welfare effects decompositions show that the growth component is still an important determinant of the welfare gains in the equilibria characterized by public wealth. The version of the model without equity is easier to solve computationally, allowing to consider transitional dynamics. Taking into account the dynamic adjustment to the new long-run equilibrium shows that the transitional welfare costs are not large enough to change the sign of the welfare effects stemming from a change in public debt. I find that eliminating public debt would lead to a 1.7% increase in welfare, while moving to a debt/GDP ratio of 100% would entail a welfare loss of 0.8%.
Keywords: Public debt, Heterogeneous Agents, Incomplete Markets, Endogenous Growth, Welfare.
JEL Classifications: D52, E21, E62, H63, O41.
Author Contact:
Marco Cozzi, Dept. of Economics, University of Victoria, P.O. Box 1700, STN CSC, Victoria, B.C., Canada V8W 2Y2; E-mail: email@example.com; Tel: (250) 721-6535
Public Debt and Welfare in a Quantitative Schumpeterian Growth Model with Incomplete Markets
Marco Cozzi, University of Victoria
February 2022
Abstract
This paper quantifies the welfare effects of counterfactual public debt policies using an endogenous growth model with incomplete markets. The economy features public debt, Schumpeterian growth, infinitely-lived agents, uninsurable income risk, and discount factor heterogeneity. Two versions of the model are specified, one with households holding equity in the group of innovating firms. The model is calibrated to the U.S. economy to match the degree of wealth inequality, the share of R&D expenditure in GDP, the firms’ exit rate, the average growth rate, and other standard long-run targets. When comparing balanced growth paths, I find large long-run welfare gains in equilibria characterized by governments accumulating public wealth. In some parameterizations, the equilibrium response of the growth rate is modest. However, welfare effects decompositions show that the growth component is still an important determinant of the welfare gains in the equilibria characterized by public wealth. The version of the model without equity is computationally easier to solve, allowing to consider transitional dynamics. Taking into account the dynamic adjustment to the new long-run equilibrium shows that the transitional welfare costs are not large enough to change the sign of the welfare effects stemming from a change in public debt. I find that eliminating public debt would lead to a 1.7% increase in welfare, while moving to a debt/GDP ratio of 100% would entail a welfare loss of 0.8%.
JEL Classification Codes: D52, E21, E62, H63, O41.
Keywords: Public debt, Heterogeneous Agents, Incomplete Markets, Endogenous Growth, Welfare.
Contact details: Department of Economics, University of Victoria, 3800 Finnerty Road, Victoria, BC V8P 5C2, Canada. Tel: 1-250-721-6535, E-mail: firstname.lastname@example.org
1 Introduction
The financial crisis and the global pandemic have represented two large macroeconomic shocks that compelled many governments to increase their public expenditures, with a concurrent decrease in tax revenues. In the near future, several countries will have to address whether the large accumulated public debts represent suboptimal outcomes, and whether considerable fiscal adjustments are justified on economic grounds.\footnote{In his recent survey, \textcite{Yared2019} argues that the observed rise in public debts is a phenomenon that has been unfolding over several decades. The more recent shocks have accelerated these trends, possibly exacerbating the distortions induced in the economy.} \textcite{AiyagariMcGrattan1998} is a seminal contribution showing that, in the presence of incomplete insurance markets, a sizable stock of public debt can be optimal. Their analysis focuses on steady-state comparisons, and assumes exogenous increases in productivity, implying that any change in public debt policy would leave the income growth rate unaffected. The assumption of exogenous technological progress is made in most papers studying the optimal quantity of public debt within an incomplete markets set-up, such as \textcite{Floden2001}, \textcite{DesbonnetWeitzelblum2012}, \textcite{RohrsWinter2017}, \textcite{ChatterjeeGibsonRioja2017}, and \textcite{ChatterjeeGibsonRioja2018}. Although the empirical literature has not reached a consensus on the magnitude of the causal relationship between public debt and growth, there is agreement that a big enough public debt will be detrimental for growth.\footnote{For instance, think of the extreme case with such a high public debt that the interest costs are as large as aggregate GDP. In this situation, no resources would be allocated to investment.} A popular view, stemming from the –controversial for some– results in \textcite{ReinhartRogoff2010}, posits that there is a threshold value for the public debt/GDP ratio, estimated to be below the 100% mark. According to this perspective, public debt/GDP ratios above the threshold will slow down the income growth rate. Any econometric analysis tackling this issue is challenging because it has to deal with pervasive endogeneity problems. Finding valid instruments has proven difficult, and the thorough analysis in \textcite{PanizzaPresbitero2014} fails to find such a threshold. Using different data and methodologies, \textcite{CecchettiMohantyZampolli2012}, \textcite{WooKumar2015}, and \textcite{SalottiTrecoci2016} all find a negative and significant point estimate of measures of public debt on the growth rate of productivity and income. These contributions support the notion that larger public debts are detrimental for growth, even though the estimated effect can be small. \textcite{AkcigitGrigsbyNicholasStantcheva2022} use four historical datasets to document that personal and corporate income taxes have significant negative effects on the quantity of innovation, which is a relevant margin for the mechanisms explored in this paper. Similarly, the growing body of empirical evidence on the effects of taxes on the quantity and quality of innovation, reviewed for example by \textcite{Stantcheva2021}, finds that corporate and royalty taxes have a negative effect on firms’ productivity growth.
The findings in \textcite{DesbonnetKankanamge2017} are another reason for endogenizing the growth process. They show that in the \textcite{AiyagariMcGrattan1998} model the assumed growth rate has a large quantitative effect on the equilibrium welfare gains arising from a change in public debt policy. Motivated by these considerations, in this paper I quantitatively characterize the welfare effects of public debt in a Schumpeterian growth framework. I do so in a model featuring productivity-enhancing vertical innovations driven by investment in Research and Development (R&D), infinitely-lived agents facing income risk with incomplete insurance
opportunities, and a high degree of wealth concentration generated by discount factor heterogeneity.
In an endogenous growth framework, Clemens and Heinemann (2015) introduce incomplete markets in standard AK growth models with knowledge spillovers. They focus on the role of income shocks, but they do not consider creative destruction, the role of public debt, and cannot generate a realistic degree of wealth inequality, in part because they assume a simple stochastic income process.
The representative-agent version of the Schumpeterian growth model with capital accumulation that I extend has been used by Howitt and Aghion (1998) to argue that capital subsidies will raise the long-run growth rate, by Nuno (2011) to study the costs of business cycles, and by Cozzi, Pataracchia, Pfeiffer and Ratto (2021) to assess the relative importance of demand and supply factors in the recent slowdown of U.S. growth. Chu and Cozzi (2018) also study a Schumpeterian growth model with heterogeneous households, but they focus on the role of patents and R&D subsidies on income inequality, abstracting from uninsurable labor income risk.
A key element of the analysis is that R&D is capital intensive, and Howitt and Aghion (1998) provide some empirical evidence supporting this assumption. Any equilibrium effects on the capital costs are going to bring about endogenous responses in the rate of technological change. Changes in the interest rate affect multiple margins, two of which (the business stealing effect, and the rental cost of capital) have opposite effects on the equilibrium response of expected profits, hence on the growth rate. Moreover, the quantitative analysis is not straightforward, as in this class of models the growth rate could be inefficiently high in the decentralized equilibrium, with excessive investments in R&D displacing private consumption. If this were to be the case, public debt policies negatively affecting the growth rate could improve welfare.
The model is calibrated to the U.S. economy to match the degree of wealth inequality, the share of R&D expenditure in GDP, the firms’ exit rate, the average growth rate, and other standard long-run targets. The calibrated model is used to quantify the welfare effects of counterfactual public debt policies, designating the long-run average of the U.S. public debt/GDP ratio as the status quo.
In one formulation of the model, the quantitative findings based on Balanced Growth Path (BGP) comparisons show that the equilibrium response of the endogenous growth rate is rather small. This result can potentially rationalize why some contributions in the empirical literature estimating the causal effect of increased public debts on the growth performance find negative effects, while others find no effect at all. One of the mechanisms that limits the effects on the growth rate is the behavior of one asset, the equity in the innovating firms held by the households. A reduction in the public debt/GDP ratio decreases the aggregate asset demand, triggering general equilibrium effects. Renting capital in the intermediates production becomes cheaper, profits increase, and so do dividends. The increase in the value of dividends causes the price of equity to rise. In this version of the model, the aggregate value of the asset market is relatively stable, as a decrease in the supply of assets stemming from a lower public debt is partially compensated by the opposite response of the value of equity in the innovating firms. This mechanism is what leads to the quantitatively small response of the growth rate, via a muted reaction of the interest rate. To allow for a stronger response of the growth rate, I consider another formulation of the model, without equity and with risk neutral entrepreneurs.
In both versions of the model, when comparing BGPs, I find large long-run welfare gains in equilibria characterized by governments accumulating public wealth. Welfare effects decompositions show that level effects
and growth effects reinforce each other. Moreover, the growth component is always an important determinant of the welfare gains in the equilibria characterized by public wealth.
The importance of transitional dynamics has been emphasized by Desbonnet and Weitzenblum (2012), and also in this paper I find that the long-run welfare analysis delivers either upper or lower bounds (depending on whether public debt is reduced or increased, respectively). The path toward a new BGP, triggered by an exogenous decrease in the long-run value of the public debt/GDP ratio, entails some welfare costs. Along the transition, public debt is reduced by increasing taxes, which has a quantitatively important effect. Taking into account the dynamic adjustment to the new long-run equilibrium, I find that the transitional welfare costs are not large enough to change the sign of the welfare effects stemming from a change in public debt. The results show that eliminating public debt would lead to a 1.7% increase in welfare, while moving to a debt/GDP ratio of 100% would entail a welfare loss of 0.8%.
In the literature, the closest papers are Rohrs and Winter (2017), Chatterjee, Gibson and Rioja (2017), Chatterjee, Gibson and Rioja (2018), and Cozzi (2019), none of which endogenizes the growth rate. Moreover, the arguments made in those contributions are not always applicable to my framework, as for instance the presence of monopolistic distortions in the Schumpeterian growth model complicates the comparison between the two set-ups. Another noteworthy difference is in the mechanism leading to a concentration of wealth that can match the U.S. data. Those contributions focus on the so-called superstar shock, first used by Castaneda, Diaz-Gimenez and Rios-Rull (2003). Although this is a tractable framework, it is not supported by the relevant empirical evidence on labor income dynamics and income shocks. At least since Krusell and Smith (1998), discount factor heterogeneity has been used extensively in quantitative models with incomplete markets, and Epper et al. (2020) provide evidence supporting this channel using Danish experimental data. This different modeling assumption can be important, because Rohrs and Winter (2017) identify inequality as the major driver of the welfare effects of public debt/GDP changes. Chatterjee, Gibson and Rioja (2017) and Chatterjee, Gibson and Rioja (2018) extend that framework to include public infrastructure, finding that this leads to a lower optimal debt level relative to the specification without infrastructure. Finally, Cozzi (2019) finds that both open-economy and life-cycle considerations are important factors accounting for the desirability of public wealth for economies with access to international financial markets.
The rest of the paper is organized as follows. Section 2 presents a model with endogenous Schumpeterian growth and incomplete markets. Section 3 is devoted to the model calibration. Section 4 discusses the main results. Section 5 concludes. Four appendices present the model and the numerical methods used to solve it in more detail.
2 A Model with Incomplete Markets and Schumpeterian Growth
The model extends the Aiyagari and McGrattan (1998) economy, allowing for endogenous growth, two sources of heterogeneity in labor income, and a high-degree of wealth concentration. Time is discrete, and denoted by $t$. In a first version of the model, there are two types of agents: workers and entrepreneurs. Workers earn a
stochastic labor income, while entrepreneurs earn stochastic profits. There are no state-contingent markets to insure against labor income risk, but workers can self-insure by saving in a risk-free asset.
**Agents:** Workers are infinitely-lived, and they differ both ex-ante, in their discount factors, and ex-post, due to idiosyncratic realizations of income shocks. Beside the workers, there is a measure one of risk-neutral and infinitely-lived entrepreneurs, whose consumption is denoted as $C_e$. Workers are subject to an exogenous borrowing limit, denoted as $b$.
**Preferences:** Workers’ preferences are assumed to be time-separable and represented by the utility function $U(.)$. Their utility is defined over stochastic consumption sequences $\{c_t\}_{t=0}^{\infty}$. They are utility-maximizers, and achieve this goal by choosing their consumption level ($c_t$), and asset holdings ($a_{t+1}$). These agents’ problem can be defined as:
$$\max_{\{c_t,a_{t+1}\}_{t=0}^{\infty}} \mathbb{E}_0 U(c_0,c_1,...) = \max_{\{c_t,a_{t+1}\}_{t=0}^{\infty}} \mathbb{E}_0 \sum_{t=0}^{\infty} \beta^t u(c_t)$$
where $\mathbb{E}_0$ represents the expectation operator over the idiosyncratic sequences of shocks, and $0 < \beta < 1$ is the heterogeneous subjective discount factor. The fraction $\mu^\beta$ of workers has discount factor $\underline{\beta}$, while the remaining fraction $1-\mu^\beta$ has discount factor $\bar{\beta}$, with $\underline{\beta} < \bar{\beta}$. The discount factors are assigned randomly in the population, are uncorrelated with a worker’s productivity, are time-invariant, and are perfectly observable already at time $t = 0$. As customary in the literature, I assume that $u(c_t) = \frac{c_t^{1-\theta}-1}{1-\theta}$. The per-period utility function is strictly increasing and concave in consumption, satisfies the Inada conditions, and features a constant relative risk aversion ($\theta$).
**Endowments:** All agents enter the economy with a zero asset endowment. Workers differ in their labor endowments $\epsilon_t^{\varepsilon,\phi}$, which are determined by two different channels. There is a stochastic component $\varepsilon_t$, whose natural logarithm follows a stationary $AR(1)$ process: $\ln \varepsilon_t = \zeta_\phi \ln \varepsilon_{t-1} + \xi_t$, with $\xi_t \sim N(0,\sigma_\xi^2)$. This is coupled with a fixed effect $\phi$, whose natural logarithm is drawn from a normal distribution $\ln(\phi) \sim N(0,\sigma_\phi^2)$. At every point in time, the efficiency units a worker is endowed with are the product of these two components, which multiplied by the going wage ($w_t$) gives the stochastic labor earnings $y_t^w = w_t \epsilon_t^{\varepsilon,\phi} = w_t \times \varepsilon_t \times \phi$.\footnote{In the quantitative implementation, the shock $\varepsilon$ is discretized with the Rowenhorst method, using a 11-state Markov chain. For the fixed effect $\phi$, I use five discrete types. Each type has a 20% mass, and the associated gridpoints $\phi_n$ are obtained by computing the conditional averages of the underlying continuous normal distribution. For more details, see Appendix A.}
**Schumpeterian growth:** The model considers a Schumpeterian growth mechanism that relies on capital as an essential factor of production, as in Howitt and Aghion (1998) and Nuno (2011), whose discrete time formulation I follow closely. Endogenous growth results from vertical innovations. Producers of final goods use labor and a continuum of intermediate goods $M$ as inputs. The final goods sector is modeled as a constant returns to scale technology of the Cobb-Douglas form, which relies on aggregate labor $L$ and the sum of all the intermediate goods $M_i$ to produce the final output $Y$. The intermediate goods differ in their productivity $Z_{it}$, and each of them is produced by a monopolistic firm using capital as the only input. The amount of capital necessary to produce
each intermediate good is proportional to its productivity, and more advanced products require increasingly capital-intensive techniques. In each period, there is a probability that the productivity of an intermediate good jumps to the technology frontier owing to the R&D activities of entrepreneurs. Entrepreneurs borrow resources from a perfectly competitive banking sector. They invest these funds in R&D activities, trying to increase their probability of making a discovery that is going to displace the current monopolist in the production of a specific intermediate good. If a discovery occurs, the successful entrepreneur introduces a new enhanced intermediate product in the relevant sector and becomes the new monopolist until replaced (stochastically) by another entrepreneur. The technology frontier (i.e., the productivity level of the most advanced sector) evolves endogenously as the result of positive spillovers from innovation activities.
**Technology:** The homogeneous final good is produced under perfect competition using labor and a continuum of intermediate products. Final output can be used interchangeably as a consumption good ($C_t$), a capital good ($K_t$), or an input to innovation ($RD_t$). The representative firm producing in the final good sector maximizes its profits having access to a Cobb-Douglas production function. The inputs are aggregate labor ($L_t$), the quantity of intermediate products of variety $i$ ($M_{i,t}$), and the associated productivity index ($Z_{i,t}$).
$$Y_t = F(L_t, \{Z_{i,t}\}_i, \{M_{i,t}\}_i) = L_t^{1-\alpha} \int_0^1 Z_{i,t} M_{i,t}^\alpha di.$$
It follows that the profits $\pi^Y$ in the final sector are given by:
$$\pi^Y = L_t^{1-\alpha} \int_0^1 Z_{i,t} M_{i,t}^\alpha di - \int_0^1 P_{i,t} M_{i,t} di - w_t L_t.$$
$M_{i,t}$ denotes the amount of intermediate product $i$, $P_{i,t}$ their monopolistic prices, while $Z_{i,t}$ is a productivity parameter embodied in the latest version of intermediate product $i$. The price of the final output is normalized to 1. Since the final good firm is a price taker, the first order conditions for profit maximization lead to a system of (inverse) demand equations $P_{i,t}(M_{i,t})$, one per intermediate good variety, given by:
$$P_{i,t}(M_{i,t}) = \alpha Z_{i,t} L_t^{1-\alpha} M_{i,t}^{\alpha-1}, \forall i.$$
(1)
Another first order condition delivers the (inverse) labor demand schedule:
$$w_t = (1 - \alpha) Y_t / L_t.$$
**Intermediate goods:** Each intermediate product $i$ is produced by an incumbent monopolist using a capital-intensive technology (where $K_{i,t}$ is the capital used in sector $i$ at time $t$):
$$M_{i,t} = K_{i,t} / Z_{i,t}.$$
(2)
Capital is divided by the productivity index $Z_{i,t}$ to capture the phenomenon that successive vintages of the intermediate product are produced by increasingly capital-intensive techniques. At the aggregate level, the model is deterministic, and the incumbent monopolist in each sector can correctly forecast the demand
for the intermediate good they are producing. Taking the demand function for their product as given, but understanding the consequences of setting different prices, each incumbent monopolist has the following (after-tax) profit function (where $\tau_f$ is the proportional tax rate on corporate profits $\pi^f$):
\begin{equation}
(1 - \tau_f)\pi^f_{i,t} = (1 - \tau_f)[P_{i,t}(M_{i,t})M_{i,t} - (r_t + \delta)K_{i,t}].
\end{equation}
Capital depreciates at the exogenous rate $\delta$ and $r_t$ is the real rate of return to capital, so their sum $(r_t + \delta)$ is the user cost of capital. Substituting Eq. (1) and (2) into (3), the (after-tax) profit function can be rewritten as:
\begin{equation}
(1 - \tau_f)\pi^f_{i,t} = (1 - \tau_f)Z_{i,t}\left[\alpha L_t^{1-\alpha}M_{i,t}^\alpha - (r_t + \delta)M_{i,t}\right].
\end{equation}
Notice how the RHS of Eq. (4) is linear in $Z_{i,t}$. Each intermediate product is produced in the same amount $M_t$ because the incumbents cannot innovate, their demand functions are symmetric, and the user cost of capital is the same for every firm. Aggregate quantities are the integral with respect to all intermediate products, namely the average productivity across all sectors is $Z_t = \int_0^1 Z_{i,t} di$, and aggregate capital is obtained as the product of average productivity times the average intermediate good:
$$K_t = \int_0^1 K_{i,t} di = Z_t M_t.$$
A convenient feature of this model is that in equilibrium the final good sector displays the familiar Cobb-Douglas aggregate production function in capital, labor and technological progress:
$$Y_t = F(L_t, Z_t, K_t/Z_t) = K_t^\alpha(Z_t L_t)^{1-\alpha}.$$
Compared to the standard neoclassical growth model, the equilibrium interest rate has a different formula. This is due to the monopolistic price distortions and the presence of profits in the intermediate good sector.
\begin{equation}
r_t = \alpha^2 \frac{Y_t}{K_t} - \delta.
\end{equation}
Notice how in Eq. (5) the term $\alpha^2$ replaces $\alpha$ in the corresponding version for the marginal product obtained in the neoclassical growth model with a Cobb-Douglas aggregate production function.
In terms of the functional distribution of income, the share $(1 - \alpha)$ of GDP belongs to labor earnings ($w_t L_t/Y_t = 1 - \alpha$), the share $\alpha^2$ to capital earnings including depreciation ($(r_t + \delta)K_t/Y_t = \alpha^2$), and the share $\alpha(1 - \alpha)$ to profits ($\Pi_t/Y_t = \int \pi^f_{i,t} di/Y_t = \alpha(1 - \alpha)$). In every period, the flow of after-tax profits earned by the incumbent in the intermediate goods sector $i$ is:
\begin{equation}
(1 - \tau_f)\pi^f_{i,t} = (1 - \tau_f)\alpha(1 - \alpha)\frac{Z_{i,t}Y_t}{Z_t}.
\end{equation}
**Innovation and Technological Change:** Innovations result from entrepreneurship activities that advance technological knowledge. At any date there is a technology frontier that represents the most advanced technology across all sectors:
$$Z_t^{max} = Max_i Z_{i,t}.$$
The productivity $Z_{i,t}$ of an intermediate good in sector $i$ can jump to the technology frontier with endogenous probability $p_{i,t}$. In order to achieve this goal, entrepreneurs in this sector have to undertake costly R&D activities ($RD_{i,t}$). Entrepreneurs invest resources $RD_{i,t}$ in an attempt to increase their probabilities of making a discovery and replace the current incumbents. If a discovery occurs, the successful entrepreneur introduces a new enhanced intermediate product in that sector and becomes the new monopolist, until another entrepreneur will create an even better version of that intermediate product. At the level of a single sector the evolution of the productivity index is stochastic. With probability $p_{i,t}$ the R&D activity is successful and the productivity jumps to $Z_{i,t+1} = Z_t^{max}$. With complement probability $1 - p_{i,t}$ the R&D activity is unsuccessful, the incumbent is not replaced by a new monopolist, and the productivity stays at its current value $Z_{i,t+1} = Z_{i,t}$.\footnote{After a successful innovation, the entrepreneur enters into Bertrand competition with the previous incumbent in that sector. Since the old intermediate good is of inferior quality, the incumbent exits. The appendix in \cite{HowittAghion1998} provides more details on how the strategic interaction unfolds.}
Entrepreneurs incur R&D costs and the probability of a successful innovation is assumed to be:
$$p_{i,t} = 1 - e^{-\left(\frac{RD_{i,t}}{\lambda Z_t^{max}}\right)^\psi}$$
where $\lambda$ and $\psi$ represent efficiency parameters of R&D. A higher value of $\lambda$ results in a less effective expenditure in R&D, because a given investment $RD_{i,t}$ corresponds to a lower probability of a successful innovation. The amount spent on R&D is also adjusted by the technology frontier variable $Z_t^{max}$. This is meant to capture in a parsimonious way the increasing complexity of progress: as technology advances, the resource cost of further improvements increases proportionally. $\psi$ controls the curvature of the probability of a successful innovation, and it helps matching the empirical share of R&D expenditures in GDP. Notice also how this formulation guarantees that the probability of an innovation is always well behaved (i.e., $0 \leq p_{i,t} < 1$, $\forall(i,t)$), and that R&D investments are essential for innovations to occur (i.e., $p_{i,t} = 0$ when $RD_{i,t} = 0$).\footnote{In a growing economy, rescaling $RD_{i,t}$ by $Z_t^{max}$ prevents the probability of an innovation from becoming arbitrarily close to 1 in the long run. Absent this rescaling, the innovation process would eventually be deterministic. Notice also that, as long as $Z_t^{max} > 0$, the value $Z_t^{max} = 0$ can never be obtained.}
**Entrepreneurs:** The presence of monopoly power gives the incumbent in each intermediate good variety the prospect of earning profits over the duration of their technological advantage. The value of being the incumbent in period $t$ in sector $i$ with current productivity level $\tilde{Z}$ is denoted with $V^f_{i,t}(\tilde{Z})$, and satisfies the following Bellman equation:
$$V^f_{i,t}(\tilde{Z}) = Max_{M_{i,t}} \left\{(1 - \tau_f)\pi^f_{i,t} + \left(\frac{1 - p_{i,t}}{1 + r_t}\right)V^f_{i,t+1}(\tilde{Z})\right\}$$
(7)
$V^f_{i,t}(\tilde{Z})$ is the discounted value of after-tax profits that the incumbent is expected to obtain, given that the intermediate good variety that they previously developed has an associated (and fixed) productivity equal to $\tilde{Z}$. The Bellman equation displays the process of creative destruction, as it makes clear that the monopolistic position might be lost to a competitor with probability $p_{i,t}$ (hence, the complement probability $1 - p_{i,t}$ stands for the incumbent’s chances of survival). Following the literature, I focus on the case where, in each period and sector, there is a single entrepreneur that tries to replace the incumbent by developing an improved version of
the related intermediate good. Since entrepreneurs are assumed to be risk neutral, and can borrow the resources needed to finance the R&D expenditures from a competitive banking sector at the interest rate \( r_t \), they choose \( RD_{i,t} \) to maximize the expected discounted value of becoming an incumbent in their sector of operation \( i \) in the following period:
\[
\max_{RD_{i,t}} \left\{ -RD_{i,t} + \left( \frac{p_{i,t}(RD_{i,t})}{1 + r_t} \right) E_t V^f_{i,t+1}(Z^{max}_t) \right\}
\]
(8)
Notice how in Eq. (8) the optimal value function \( V^f_{i,t+1}(\cdot) \), representing the discounted expected value of becoming an incumbent, is evaluated at \( Z^{max}_t > \tilde{Z} \), as an entrepreneur’s successful innovation brings the associated productivity to the technology frontier. This value function is deterministic, and the expectation operator can be dropped. Since the continuation value is the same in all sectors, and all entrepreneurs borrow at the same interest rate, R&D expenditures do not vary with \( i \), \( RD_{i,t} = RD_t \). Let’s define \( \rho_t \equiv \frac{RD_t}{\lambda Z^{max}_t} \). Taking the log of the first order conditions leads to a non-linear equation in \( \rho_t \):
\[
-\rho_t^\psi + (\psi - 1) \ln \rho_t + \ln \psi = \ln \left[ \frac{(1 + r_t)\lambda Z^{max}_t}{V^f_{t+1}(Z^{max}_t)} \right] = \ln \left[ \frac{(1 + r_t)RD_t}{\rho_t V^f_{t+1}(Z^{max}_t)} \right]
\]
(9)
The advancement of the technology frontier \( Z^{max}_t \) is the mechanism that drives the aggregate economic growth. Innovations induce knowledge spillovers, because at any point in time the technology frontier is available to any successful innovator. This publicly available knowledge grows at a rate proportional to the aggregate rate of innovations, and each innovation moves the technology frontier by a factor \( 1 + \sigma > 1 \). At any point in time, and across different varieties of intermediates, some entrepreneurs are going to be successful at innovating, while others are going to fail. Taking this into account, together with the assumption that the likelihood of a successful innovation is independent across intermediate varieties, a law of large numbers guarantees that at the aggregate level the average productivity will evolve according to the following equation:
\[
Z_{t+1} = \int_0^1 \{ p(\rho_t)(1 + \sigma)Z_t + [1 - p(\rho_t)]Z_{i,t} \} di = (1 + \sigma)p(\rho_t)Z_t + [1 - p(\rho_t)]Z_t = [1 + p(\rho_t)\sigma]Z_t
\]
(10)
The first term in the integral represents the probability that an innovation is going to occur for a given variety, multiplied by the implied increase in the related productivity index \( Z^{max}_t = (1 + \sigma)Z_t \). The second term in the integral represents the probability that an innovation is not going to occur, hence the productivity of all these intermediates is going to stay at their current level. The symmetry in the R&D investments across all varieties implies that also the probabilities of a successful innovation are symmetric.
Eq. (10) can be manipulated to express how the aggregate productivity is going to grow over time. Along a BGP, \( \rho_t = \rho \) as both the R&D expenditures and the technology frontier will grow at the same rate. The (average) growth rate \( g \) is then determined as:
\[
g = \frac{Z_{t+1}}{Z_t} - 1 = p(\rho)\sigma
\]
\footnote{I assume that the formula \( Z^{max}_t = (1 + \sigma)Z_t \) applies along a BGP, and Howitt and Aghion (1998) prove that it holds asymptotically.}
This equation shows that the growth rate is equal to the spillover effect weighted by the probability of an innovation. In this framework, the spillover effect $\sigma$ is an exogenous parameter. Without a strictly positive knowledge spillover the economy cannot grow over time. The second element in the formula is $p(\rho)$, which is the endogenous business stealing effect, that is affected also by public policy. Different public debt policies will imply different interest rates and taxation schemes, which in turn are going to have an impact on the (rescaled) expenditure on R&D. This is going to affect the likelihood of an innovation, and ultimately the growth rate $g$.
Because of the positive growth rate, to use recursive methods, I need to de-trend the growing variables. Variables with a “tilde” are de-trended using the average productivity, e.g. $\tilde{Y}_t \equiv Y_t / Z_t$. Along a BGP, de-trended variables do not vary over time, and their time indexes can be dropped. Also, $\rho_t = \rho$ and $r_t = r$. Along a BGP, the de-trended average price of the intermediates is $\bar{P} = \alpha (L/M)^{1-\alpha}$, which is stationary because $M$ does not grow over time.
Since the incumbents’ optimal value functions are non-stochastic, and their productivity is fixed over the duration of their monopoly, they can be solved analytically:
$$V^f(Z_t^{max}) = \left( \frac{1 + r}{r + p(\rho)} \right) (1 - \tau_f) \pi_t^f$$
Substituting (11) into (9), evaluating (6) at an innovator’s productivity $Z_t^{max}$, and simplifying gets the non-linear equation that is used to compute $\rho$:
$$-\rho^\psi + (\psi - 1) \ln \rho + \ln \psi = \ln \left[ \frac{(r + p(\rho))\lambda}{(1 - \tau_f)\alpha(1 - \alpha)\bar{Y}} \right]$$
**Taxes, Government Outlays, and Public Debt:** Workers pay income taxes, and the proportional tax rate $\tau$ is set to satisfy the intertemporal budget constraint of the government. Every household is also entitled to a lump-sum public transfer $tr_t$.\footnote{Recall that a lump-sum transfer combined with a flat income tax is a parsimonious specification that delivers a progressive fiscal system.} Successful entrepreneurs pay taxes on their profits, with proportional tax rate $\tau_f$. The government finances wasteful and exogenous public expenditure $G_t$. Total tax revenues $T_t$ are obtained from taxing labor income, asset income, and profits. Total government outlays are the sum of government purchases $G_t$ and total public transfers $TR_t$.
The dynamics of public debt $D_t$ are obtained by considering the intertemporal budget constraint of the government:
$$D_{t+1} = (1 + r_t) D_t + G_t + TR_t - T_t$$
In a BGP, de-trended public debt is constant over time, and it is such that the related interest costs, adjusted for the growth rate, are equal to the difference between tax revenues and government outlays:
$$(r - g) \bar{D} = \bar{T} - \bar{TR} - \bar{G}$$
In a BGP, de-trended aggregate output $\bar{Y}$ is constant, and the previous relationship can be considered relative to it:
\[
(r - g) \frac{\bar{D}}{\bar{Y}} = \frac{\bar{T} - \bar{TR} - \bar{G}}{\bar{Y}}
\]
(12)
The expression for total de-trended tax revenues is $\bar{T} = \tau (\bar{w}L + r \bar{A}) + \tau_f \bar{\Pi}$, where $\bar{A}$ are the total detrended assets held by the households, and $\bar{\Pi}$ are detrended aggregate profits. Imposing the equilibrium condition in the asset market ($\bar{K} + \bar{D} = \bar{A}$), substituting the formula for $\bar{T}$ into Eq. (12), defining $d \equiv \bar{D}/\bar{Y}$, $\gamma \equiv \bar{G}/\bar{Y}$, $\chi \equiv \bar{TR}/\bar{Y}$, $\kappa \equiv \bar{K}/\bar{Y} = \alpha^2/(r + \delta)$, and solving for $\tau$ gives:
\[
\tau = \frac{\gamma + \chi + (r - g)d - \tau_f \alpha (1 - \alpha)}{1 - \alpha + \alpha^2 - \delta \kappa + rd}
\]
For given policies on public debt, government expenditure, public transfers, and corporate taxes, this formula represents the equilibrium value of the tax rate that satisfies the intertemporal budget constraint of the government. Notice that $\tau$ depends on $r$ and $g$, which are both equilibrium objects.
**Equity in Innovating Firms:** Many contributions in the Schumpeterian growth literature, such as Howitt and Aghion (1998) and Nuno (2011), are based on a representative agent framework. They typically assume that net profits are distributed back to the households in a lump-sum fashion. This setup is not suitable here, because the considerable size of profits would de facto undo the assumption of market incompleteness. Instead, in an alternative version of the model, I assume that households can hold equity in a mutual fund that owns all innovating firms, along the lines of Krusell, Mukoyama and Sahin (2010), among many others. This framework allows to re-interpret a risk neutral entrepreneur as a project that is alternative to the one currently in place.\footnote{An advantage of this formulation is that it implies $C_e = 0$ in all equilibria. Although having wealthy entrepreneurs would be desirable, allowing for risk aversion is computationally intractable, because of the added complications in the price setting problem, which would depend on the wealth distribution.}
Such a project is set up when the previously developed blueprint has become operational, and can lead to a productivity-enhancing innovation. If the project fails, it is scrapped and substituted by a different one.\footnote{To fix ideas, think of CPU manufacturers. When a new lithography is developed, the old microprocessors stop being produced. The production of the new architecture typically requires brand new equipment and upgraded plants, and work on the next generation of chips starts immediately. Intel’s infamous struggles to shrink their process node from 14nm to 10nm is an example of projects failing and getting replaced.} The mutual fund finances all R&D activities in these alternative risky projects, and collects the stream of profits generated by the successful ones. The mutual fund’s objective is to maximize the sum of expected discounted profits stemming from all the successful projects. For tractability, households are not allowed to hold equity on the venture of a specific project, which makes equity a risk-free asset. In this economy, there are three assets, one being the innovating projects, whose measure is equal to 1. Equity in the mutual fund represents a claim on the future profits of the successful projects. The equilibrium price of equity is the present discounted value of the stream of dividends, whose total value equals the aggregate profits net of the aggregate expenditure in R&D. Denoting the price of equity (after the dividends are paid) with $P_t''$, and dividends with $\Delta_t$, the pricing equation is:
\[ P_t^q = \frac{P_{t+1}^q + \Delta_{t+1}}{1 + r_t} \rightarrow \widetilde{P}^q = \left( \frac{1 + g}{r - g} \right) \bar{\Delta} \]
where \( 1 + r_t \) represents the firms’ discount rate, and \( \widetilde{P}^q \) and \( \bar{\Delta} \) are the de-trended price of equity and dividends along a BGP. Since the total quantity of equity is normalized to one (\( q = 1 \)), the equilibrium de-trended aggregate value of equity along a BGP (\( \bar{Q} \)) is:
\[ \bar{Q} = \left( \widetilde{P}^q + \bar{\Delta} \right) * q = \left( \frac{1 + r}{r - g} \right) \bar{\Delta} \]
The equilibrium condition in the asset market becomes:
\[ \bar{K} + \bar{D} + \left( \frac{1 + r}{r - g} \right) \bar{\Delta} = \bar{A} \]
In equilibrium, the tax rate that satisfies the intertemporal budget constraint of the government is obtained with the following equation:
\[ \tau = \frac{\gamma + \chi + (r - g)d - \tau_f \alpha (1 - \alpha)}{1 - \alpha + \alpha^2 - \delta \kappa + rd + \frac{r(1+r)}{r-g}[(1-\tau_f)\alpha(1-\alpha)-\eta]} \]
where \( \eta \) stands for the R&D/GDP ratio.
### 3 Calibration
Parameter values are assigned relying on a mix of (reduced-form) estimation and calibration (in equilibrium). The initial BGP is calibrated to match selected long-run features of the U.S. economy. Table 1 reports the full list of calibrated parameters with their values and empirical targets. The targets in the bottom part of the table are matched jointly, by searching over the related parameters’ space.\(^{10}\)
[Table 1 about here]
**Preferences:** The coefficient of relative risk aversion is set to \( \theta = 2 \). The two preference types are assumed to have the same mass, and \( \mu^\beta = 0.5 \). The two discount factors \( (\beta, \bar{\beta}) \) are chosen to match a pre-tax equilibrium interest rate of 4.5% and a Gini wealth index of 0.8. In the model without equity, the calibrated values are \( \beta = 0.985 \) and \( \bar{\beta} = 0.986 \). In the model with equity, the added supply of this additional asset leads to a larger aggregate wealth. A wider difference in the discount factors, which in this case are \( \beta = 0.981 \) and \( \bar{\beta} = 0.995 \), is needed to match the concentration of wealth while hitting the same empirical target for the interest rate as above.
\(^{10}\)The parameters in the two models, with or without equity, are calibrated separately. It turns out that the only two parameters that need to be re-calibrated are the two discount factors. Once these parameters are such that the same interest rate and wealth Gini index are matched, all remaining parameters can be kept at their values used in the other version of the model. In particular, since the aggregate labor supply is fixed and the interest rate is the same in the two economies, also the growth rate and the firms’ exit rate are the same when using a mutual set of values for the R&D and the spillover effect parameters.
**Technology:** The curvature of the final good production function is set to $\alpha = 0.36$, to match a labor share of 64%. The capital depreciation rate is set to $\delta = 0.08$, a common value in the literature for a yearly model.
**Stochastic Income process:** The parameterization of the stochastic income process relies on the estimates obtained by Guvenen (2009) using Panel Study of Income Dynamics data. These estimates are $\zeta_y = 0.988$ and $\sigma^2_y = 0.015$ for the AR(1) component, and $\sigma^2_\phi = 0.058$ for the fixed effect.
**Economic Growth:** The efficiency of R&D parameters are set to $\lambda = 2425$ and $\psi = 0.191$. These values match a firms’ exit rate of 10% and a R&D/output ratio of 2.28%. The former statistic is obtained from firm dynamics data over the 1995-2007 period, while the second one from NIPA data over 1947-2007 period. The growth rate matches its long run average (1.8%) from the Penn World Tables 9.0, so in equilibrium $g = 0.018$. Given that the probability of a successful innovation is 10%, this is obtained with a spillover effect equal to $\sigma = 0.18$.
**Taxes and Government:** I obtain the corporate tax rate using quarterly NIPA data on aggregate profits. I consider the percentage difference between the pre-tax and after-tax aggregate profits, and compute the long-run average of the implied quarterly tax rates. Over the 1947-2007 period, $\tau_f = 0.326$. Government consumption is set to match a public expenditure/GDP ratio of 21% ($\gamma = 0.21$), and the public transfer matches a transfers/GDP ratio of 8.2% ($\chi = 0.082$), which are the long-run averages for the U.S. economy. The public debt/GDP ratio is set to its long-run value of 60% ($d = 0.6$).
## 4 Quantitative Analysis
The calibrated model is used to quantify the welfare effects of counterfactual public debt policies, designating the long-run average of the U.S. public debt/GDP ratio as the status quo. Before discussing the quantitative results, I introduce more formally the criteria that will be used to assess the welfare effects.
### 4.1 Long-run Welfare Measures
As customary in this literature, I am going to posit a utilitarian social welfare function $SW$, which weights the agents’ lifetime utilities along a BGP by their mass.\footnote{The workers’ optimal value functions $V(.)$ and the stationary distributions $\mu(.)$ appearing in Eq. (13) are carefully defined in Appendix A. Also, in order to make consistent comparisons between the welfare effects arising from the two versions of the model (with and without equity in innovating firms), I focus on the components of the social welfare function representing the workers’ welfare. Namely, in the model without equity, I omit the entrepreneurs’ welfare.}
$$SW = \mu^\beta \int V(\bar{a}, \varepsilon, \phi, \bar{\beta}) \, d\mu(\bar{a}, \varepsilon, \phi, \bar{\beta}) + (1 - \mu^\beta) \int V(\bar{a}, \varepsilon, \phi, \bar{\beta}) \, d\mu(\bar{a}, \varepsilon, \phi, \bar{\beta})$$ \hspace{1cm} (13)
Let $SW_i$, $i = 0, 1$, denote the welfare attained with two different public debt policies. The index $i = 0$ stands for social welfare under the status-quo, while $i = 1$ under a counterfactual public debt policy.
Welfare effects are computed using a consumption based equivalent variation (CEV). The welfare measure $\varpi$ is the percentage increase in consumption in all states of the world that makes welfare in the baseline economy ($SW_0(\varpi)$) equal to welfare in the counterfactual one ($SW_1$). The overall welfare effect $\varpi$ is given by:
$$SW_1 = SW_0(\varpi) \rightarrow \varpi = \left( \frac{SW_1}{SW_0} \right)^{\frac{1}{1-\theta}} - 1$$
Adapting the analysis in Floden (2001) and Clemens and Heinemann (2015), the overall welfare gain can be decomposed into four components. There are a level welfare effect ($\varpi_{level}$), a growth welfare effect ($\varpi_{growth}$), and two (one per BGP) risk welfare effects ($\varpi_{risk_k}$), such that:
$$1 + \varpi = \frac{(1 + \varpi_{level})(1 + \varpi_{growth})(1 + \varpi_{risk_k})}{(1 + \varpi_{risk_k_0})}$$ \hspace{1cm} (14)
In particular, the four welfare effects are obtained from the following equation:
$$\left( \frac{SW_1}{SW_0} \right)^{\frac{1}{1-\theta}} = \frac{C_1}{C_0} \left( \frac{SW^g_i}{SW^g_0} \right)^{\frac{1}{1-\theta}} \left( \frac{SW_1}{SW_1} \right)^{\frac{1}{1-\theta}} \left( \frac{\overline{SW}_i}{\overline{SW}_0} \right)^{\frac{1}{1-\theta}}$$ \hspace{1cm} (15)
In Eq. (15), $\overline{SW}_i$ stands for the lifetime utility attained when all households consume the average consumption $C_i$, and $SW^g_i$ stands for the lifetime utility that can be attributed to the equilibrium growth rate $g_i$. Note that, by construction, $\overline{SW}_i = C_i^{(1-\theta)}SW^g_i$ and $SW^g_i = \frac{\mu^\theta}{1-\beta(1+g_i)^{(1-\theta)}} + \frac{1-\mu^\theta}{1-\beta(1+g_i)^{(1-\theta)}}$.
### 4.2 Long-run Results
This subsection presents the quantitative findings for the long-run analysis. I will first report the results of the model with equity, and Figure 1 displays eight plots representing the equilibrium response of a set of aggregate outcomes for this version of the model. The results of the model without equity are discussed next, and Figure 2 presents the corresponding plots.
[Figure 1 about here]
**Results for the model with equity:** The first panel plots the long-run welfare effects, including their decomposition in level and growth components. A stark finding is that large falls in public debt lead to large welfare gains, and vice versa. For instance, eliminating public debt entails a welfare gain of 0.5%, while moving to a debt/GDP ratio of 150% entails a welfare loss of 0.9%. The decompositions of the overall welfare gains show that both the level and growth effects are important, with the former accounting for approximately 2/3 of the overall welfare measure, and the latter for the remaining 1/3. The risk welfare effect in the counterfactual economy, $\varpi_{risk_k}$, changes monotonically in $d$, but its response is quantitatively small. Unless the size of the change in public debt is especially big, the ratio between the two gross risk welfare effects, $(1 + \varpi_{risk_k})/(1 + \varpi_{risk_k_0})$, is found to stay almost constant, and they essentially cancel out in Eq. (14). At most, the change
in the risk effect accounts for 1.0% of the overall welfare effect, which happens when the counterfactual public debt policy is at its lower bound.
The second panel shows the behavior of (detrended) aggregate output and consumption, relative to their values in the initial BGP. Both variables respond monotonically in the long-run value of public debt, with quantitatively large responses, up to 3.3% for output and 2.0% for consumption. Changes in public debt policy can lead to an improved “static” allocation of resources. In particular, drops in the interest rate (plotted in panel 4) play several roles, one of which being the increased use of capital in the intermediates production, leading to an increase in the final good sector’s output. Finally, the percentage response of aggregate consumption is smaller than the percentage response of output, suggesting that a sizable part of the gap might be accounted for by the response of R&D expenditures (with the remainder being allocated to finance the costs of the new level of investment in physical capital).
The third panel shows that changes in the growth rate are limited in size, but they are still important enough to cause a sizable change in welfare. For instance, considering the two extreme values in the range of counterfactual debt policies, moving from the highest to the lowest value of $d$, the growth rate changes from 1.815% to 1.850%. As for the interest rate, when considering the same change in $d$, it drops by almost one percentage point, moving from 4.7% to 3.8%. In turn, this leads to a lower discounting of prospective profits of R&D activities, with the end result of a faster growth rate. From the households’ point of view, the fall in $r$ could affect their welfare negatively, as it makes saving a less effective instrument to self-insure against the labor income risk. However, the general equilibrium response of the tax rate (plotted in panel 5) tames this channel, because the fall in the after-tax interest rate is much less pronounced, as it changes from 3.5% to 3.1%.
In this version of the model, the behavior of the tax rate is clear-cut, as it responds monotonically. Considering a change in $d$ from its highest to its lowest value, $\tau$ changes from 26.4% to 18.2%. This substantial drop in the proportional tax rate is possible because the government moves from a situation where interest payments are a cost on the accumulated stock of public debt, to a situation where they are an income originating from the accumulated stock of public wealth that helps financing the government outlays.\footnote{It is worth pointing out that, in all counterfactual experiments, the corporate tax rate is kept fixed at its calibrated value. If fiscal adjustments were to involve changes in $\tau_f$, the welfare results would be even stronger.}
The sixth panel confirms that the response of R&D expenditure is more than proportional. When public debt decreases, not only the R&D expenditure increases in levels, as output becomes larger, but it also increases monotonically as a share of GDP. However, when $d$ changes from its highest to its lowest value, the share changes by less than 0.2 percentage points.
The changes in the wealth Gini index are depicted in panel 7. Decreases in public debt exacerbate wealth inequality, which increases at a linear rate. The fall in the tax rate is partially responsible for this outcome, as capital income is taxed less heavily, leading to a decrease in the (implicit) redistribution via this channel.
The last panel displays the behavior of (detrended) profits and dividends, relative to their values in the initial BGP. Both variables respond monotonically in the long-run value of public debt. When the long-run value of public debt is lower compared to the status quo, the percentage increase of dividends is lower than that of output, because proportionally higher costs of R&D need to be subtracted from the firms’ profits.
In terms of the mechanism at play, a reduction in the public debt/GDP ratio decreases the aggregate asset demand, triggering general equilibrium effects. Renting capital in the production of the intermediates becomes cheaper, profits increase, and so do dividends. This puts an upward pressure on the price of equity. In the asset market, part of the decrease in public debt is compensated by the increase in the demand for capital, and by the market value of equity in the innovating firms. At the same time, the higher profits stimulate innovation, with a rise in R&D expenditure that is found to be quantitatively modest. In this version of the model, the aggregate value of the asset market is relatively stable, which is what leads to the minor response of the growth rate, via a muted reaction of the interest rate.
The model shows that, in the empirically relevant range of actual public debt changes, the effects on the growth rate are monotonic, but they are minimal. Therefore, given the limited size of the response, any econometric analysis on market data, contaminated by the short-run effects of the business cycle and measurement issues, would not be able to detect them. This result can rationalize why a number of empirical studies do not find a systematic effect of changes in public debt on the growth rate.
The alternative version of the model, considered next, eliminates the possibility for households to hold equity in the group of innovating firms. In this environment, the successful entrepreneurs receive the net profits and use them to finance their consumption expenditures. This eliminates a source of demand for household savings, leading to a more pronounced response of the interest rate, and of the growth rate, in turn.
[ Figure 2 about here ]
Results for the model without equity: The first panel in Figure 2 shows that, in terms of the welfare gains of reducing public debt, the qualitative implications are for the most part unaffected. Economies with a lower public debt/GDP ratio do enjoy a higher welfare. Notably, the long-run welfare effects are convex rather than concave in $d$, which is due to the more pronounced response of the interest rate. In this version of the model, I consider a smaller range of values for the counterfactual long-run public debt. One reason to limit it is that, for low enough values of $d$, the equilibrium interest rate falls below the equilibrium growth rate, and the economy becomes dynamically inefficient. Contrasting panels 3 and 4 reveals that this occurs for values of the debt/GDP ratio lower than $-100\%$.
Overall, the interest rate response in this model is much stronger, leading to more conspicuous effects on the growth rate. Moreover, the increase in the supply of intermediates reduces the monopolistic distortion per unit produced, as their de-trended price falls.
Quantitatively, compared to the model with equity, the welfare effects are considerably larger. The level and growth decompositions retain the same properties of the overall welfare gains. In terms of their relative importance, the level component accounts for between 54% and 58% of the total welfare effect, while the growth component accounts for between 22% and 26%. It follows that, for this version of the model, the change in risk is substantial, and it accounts for between 24% and 16% of the overall welfare effect. This is made apparent by the much larger changes in wealth inequality depicted in panel 7. In this version of the model, compared to the
model with equity, the percentage change in wealth inequality caused by the same counterfactual public debt policy is up to ten times larger.
Panel 5 highlights another notable difference in the results of the two versions of the model. In the model without equity, the change in the tax rate is non-monotonic, as it starts increasing quite steeply for $d < -0.5$. The reason behind this result is that the fall in the interest rate is much stronger. This leads to two consequences: a substantial decrease in the tax revenues obtained from taxing capital income, and a large decrease in the asset income obtained on the stock of public wealth. Since both government expenditure and public transfers are a fixed share of income, total government outlays are larger in counterfactual economies with a lower debt/GDP ratio. Eventually, public expenditure needs to be financed with a larger tax rate, which is unavoidable if the interest rate becomes negative.
To conclude with, in the model without equity, the average change in the growth rate arising from a 10% increase in public debt is approximately $-0.01$. This represents a tenfold increase compared to the other version of the model, but still falls short of some empirical estimates, which are discussed below.
**Discussion:** To better understand the mechanisms behind the equilibrium outcomes, it is informative to focus on the behavior of profits, and the associated expected value of being an incumbent. Although the profit share of income is constant across different BGPs, the response of expected profits is theoretically ambiguous. There are several effects, some going in opposite directions. As for the entrepreneurs, a decrease in the interest rate makes borrowing to invest in R&D cheaper. If in equilibrium the value of being an incumbent does not fall excessively, this leads to an increase in $\rho$. Therefore, the business stealing effect intensifies as $p$ increases. Ultimately, this is what leads to a faster growth rate. As for the incumbents, a decrease in the interest rate affects multiple margins. First, there is a static effect. Producing intermediates becomes less expensive, because the cost of renting capital falls. The incumbents increase their production, irrespective of the fall in the price of the intermediate goods, as this choice maximizes their per-period profits. Second, there is a dynamic effect, linked to the continuation value in Eq. (7). Inspecting $(1-p)/(1+r)$, the adjusted discount factor of the intermediates firms, indicates that in general there is an ambiguous effect because both the numerator and the denominator fall. If the business stealing effect were to dominate, the expected future profits could decrease, and also the value of being an incumbent could be negatively affected. If this were to be the case, the asserted increase in $\rho$ would not materialize, and the growth rate would not speed up. Quantitatively, in all the counterfactual experiments considered here, I find that the relative response of the interest rate vis-a-vis the business stealing effect is monotonic, with the former effect always dominating the latter. It follows that, in either version of model, the adjusted discount factor of the intermediate firms is always decreasing in $d$, just like the expected value of being an incumbent.
**Robustness analysis:** Some empirical contributions, e.g. Woo and Kumar (2015), find a sizable negative effect of public debt on the growth rate. Therefore, I modify both versions of the model to obtain larger responses. The decreasing returns in the probability of a successful innovation are shut down, by setting the
parameter $\psi = 1$. This modification allows a given change in R&D expenditure to have a larger effect on the likelihood of a successful innovation, and ultimately on the growth rate. In this version of the two models, the average change in the growth rate arising from a 10% increase in public debt is around $-0.04$. This figure is inside the 90% confidence intervals derived from the estimation results reported in Table 5 of Woo and Kumar (2015), which refers to the sample of advanced economies. The results in both the model with and without equity are qualitatively similar, but quantitatively stronger. An important drawback of these cases is that the R&D expenditure share of GDP in the initial BGP is 12%, which is well above its actual value.
### 4.3 Results with Transitional Dynamics
In this subsection, I present the results based on solving the model without equity along the transition towards the new BGP. The equilibrium dynamics are triggered by a change in public debt policy. At time $t = 0$, the economy is in the initial BGP, characterized by a public debt/GDP ratio equal to $d_0 = 0.6$. The government then announces the new long-run value of $d$, together with the commitment to reach this target in 15 periods, at a linear rate. This makes the whole sequence $\{d_t\}_{t=1}^{15}$ known to the private sector, causing a change in their optimal choices, which shape the equilibrium dynamics of both prices and aggregate variables.
[ Figure 3 about here ]
The six panels in Figure 3 plot selected equilibrium outcomes. The first panel shows the welfare effects arising from a number of different public debt policies. All the other panels depict the time paths of a given variable under two specific policies. One policy ($d = 0$, plotted with the black solid line) consists of eliminating public debt, while the other ($d = 1$, plotted with the blue dashed line) consists of reaching a public debt/GDP ratio of 100%.
The curve shown in the first panel displays the welfare effects, which include the benefits and costs of the short-run dynamics. The main consideration is that big reductions in public debt are still welfare improving, unlike public debt increases that affect welfare negatively. Allowing for transitional dynamics has important implications. In the considered range, the welfare effects of all public debt counterfactuals are approximately half as much as the corresponding long-run effects. Nevertheless, these adjustments are not strong enough to
---
13 The model parameters are recalibrated to match the same targets as in the baseline specification (but one, the R&D expenditure share of GDP). In particular, setting $\lambda = 0.97$ matches the firms’ turnover rate of 10%.
14 The results are plotted in Figure 4 in Appendix D. In the model with equity there is an additional complication, as in some counterfactuals the economy becomes dynamically inefficient ($r < g$). In those instances, which happen for public wealth values in excess of 100% of GDP, the value of equity would become negative because of its price. To avoid this outcome, I impose a lower bound on the equity price, which prevents it from going below zero.
15 The economy is assumed to reach the new BGP in a finite number of periods, at time $l$, and the solution algorithm is outlined in Appendix C. Solving this model is computationally demanding, leading to consider a limited range for public debt, with 11 evenly spaced gridpoints. Also, solving the transitional dynamics of the model with equity poses a number of computational challenges, and the related analysis is left for future work.
16 Notice that, since the two cases are not symmetric around the initial debt value, the response of the endogenous variables should not be expected to be the same in absolute value.
lead to a reversal in the sign of the welfare effects. The welfare gains of eliminating public debt are still found to be large, being 1.7%. Instead, moving to a debt/GDP ratio of 100% is associated with a welfare loss of 0.8%, which is also sizable. This result differs from the typical finding in the literature that the short-run welfare costs more than offset the long-run gains. This is the argument made, for example, by Desbonnet and Weitzbenblum (2012), Rohrs and Winter (2017) and Chatterjee, Gibson and Rioja (2017).
The second panel plots the public debt/GDP ratio dynamics, namely the exogenous paths in \( \{d_t\}_{t=1}^{t=T} \) that the private sector takes as given. After 15 periods, the ratio settles to its new long-run value, while it takes about 100 periods for the other variables to complete their transitions.
The third panel displays the evolution of productivity, showing that the economy transitioning to a higher public debt/GDP ratio is lagging behind. In general, economies transitioning to higher values of \( d \) would endure a productivity gap. In the two cases discussed here, after 100 periods, this gap is 3.8%. This is due to the response of the growth rate, portrayed in the fourth panel. The economy with a high long-run \( d \) experiences a decrease in its growth rate, which settles relatively quickly around a value close to its new BGP. The no long-run debt economy goes through more complicated dynamics in its growth rate, which increases non-monotonically to its permanently higher value. A noteworthy behavior related to the growth rates is that they do not jump considerably when the new public debt policy is implemented. Entrepreneurs anticipate the long-run benefits of a lower public debt, which increases their expected profits and the incentives to invest in R&D. The R&D expenditure dynamics track the behavior of the growth rate, as this expenditure is the only endogenous variable affecting it. The value of R&D does not necessarily increase on impact. Since capital is given when the sequence of public debts is announced, R&D could increase only if consumption were to react with a discrete downward adjustment, but such a response would be very costly in terms of welfare. At the same time, taxes increase and the slow initial response of R&D can be attributed to the higher burden of taxation. The need to finance higher taxes leads to a drop in consumption, but the households’ desire to smooth it prevents it from falling even further, which does not allow to leave some additional resources to be allocated to R&D. As taxes fall, R&D expenditure rises at an increasing rate, to reap the expected benefits as quickly as possible, until taxes reach their new long-run value.
The fifth panel shows the paths of the proportional tax rate \( \{\tau_t\}_{t=1}^{t=T} \). These are fairly straightforward, as tax revenues need to increase sharply to eliminate public debt, or decrease similarly quickly for \( d_t \) to rise. The debt elimination experiment features a “cold turkey” behavior. In the first year of the reform, the tax rate jumps by 6 percentage points, with a subsequent (slow but persistent) decline due to the faster increase in income. When the dynamics in the debt/GDP ratio are completed, the tax rate falls immediately to a value in the neighborhood of the new BGP equilibrium. The second case is essentially the mirror image of the first one, as a long-run increase in \( d \) triggers the opposite adjustments. In this instance, the change in the tax rate after the first period is more pronounced, because the growth rate falls quickly (and almost monotonically) to its lower long-run value.
The last panel plots the dynamics of de-trended consumption relative to the initial BGP (\( \widetilde{C}_0 \) is then equal to 1). In the debt elimination counterfactual, Households react to the increased taxes by marginally reducing their consumption, while the decrease in savings is more pronounced. The overall effect on the interest rate is
almost negligible, as the decrease in savings is accompanied by the fall in public debt. When the public debt adjustment is completed, households devote the additional disposable income to increasing their consumption, and this adjustment is very sharp. De-trended consumption overshoots its new BGP value, and the final part of the transition unfolds with a monotonic decrease. In the $d = 1$ counterfactual, consumption does not increase when taxes fall, as households forecast the reduced income growth, and increase their savings to smooth the effects of this unfavorable outcome.
5 Conclusions
I addressed the question of whether governments should accumulate public debt in the long-run, using an endogenous growth model with rich workers’ heterogeneity and technological progress that responds to different public debt policies. I extended the Schumpeterian growth model proposed by Howitt and Aghion (1998), embedding the elements that have been found to rationalize large public debts, namely uninsurable income risk, a tight borrowing constraint, and a high degree of wealth inequality. I considered two different assumptions regarding the structure of the asset market, which make the quantitative implications of the model consistent with the wide range of estimates of the growth rate response caused by changes in public debt. Both versions lead to the same qualitative answer, namely that decreasing the long-run public debt/GDP ratio enhances welfare.
Quantitatively, I find that the foregone economic growth more than offsets the improved consumption smoothing (or the lack thereof, due to the absence of complete markets) that larger public debts bring about. Although the equilibrium effect on the growth rate can be quantitatively modest, it still has a first order consequence on welfare.
The version of the model with the simpler asset market structure is easier to solve computationally, allowing to consider transitional dynamics. Taking into account the dynamic adjustment to the new long-run equilibrium shows that the transitional welfare costs are not large enough to change the sign of the welfare effects stemming from a change in public debt. I find that eliminating public debt would lead to a 1.7% increase in welfare, while moving to a debt/GDP ratio of 100% would entail a welfare loss of 0.8%.
The model ignored the possibility for government expenditure to increase output or affect the utility of the household: I leave these extensions for future research.
Figure 1: Long-run Welfare Effects Profile and Equilibrium Outcomes in the Model with Equity in Innovating Firms.
Figure 2: Long-run Welfare Effects Profile and Equilibrium Outcomes in the Model without Equity in Innovating Firms.
Figure 3: Welfare Effects Profile and Transitional Dynamics in the Model without Equity in Innovating Firms.
| Parameters Set Externally | Value | Target |
|---------------------------|---------|------------------------------------------------------------------------|
| $\theta$ - Relative Risk Aversion | 2.0 | Elasticity of Intertemporal Substitution = 0.5 |
| $\delta$ - Capital depreciation rate | 0.08 | Capital depreciation estimates |
| $\alpha$ - Labor share | 0.36 | Labor share= 64% |
| $\sigma^2_y$ - Variance of the income shocks | 0.015 | Guvenen (2009) estimates on PSID data |
| $\zeta_y$ - Persistence of the income shocks | 0.988 | Guvenen (2009) estimates on PSID data |
| $\sigma^2_\beta$ - Variance of the fixed effect | 0.058 | Guvenen (2009) estimates on PSID data |
| $\gamma$ - Government Consumption | 0.21 | G/GDP = 21% |
| $\chi$ - Lump-sum transfer | 0.082 | Transfers/GDP = 8.2% |
| $\tau_f$ - Profits Tax Rate | 0.326 | Average Corporate Tax Rate = 32.6% |
| $d$ - Public Debt/GDP | 0.60 | D/GDP = 60% |
| $b$ - Borrowing limit | 0 | No borrowing allowed |
| Parameters Set in Equilibrium | Value | Joint Targets |
|-------------------------------|---------|-------------------------------------------------------------------------------|
| $\beta$ - Rate of time preference, low type | 0.981 | Interest rate = 4.5% |
| $\bar{\beta}$ - Rate of time preference, high type | 0.995 | Wealth Gini index = 0.8 |
| $\lambda$ - Weight in prob. of successful innovation | 2425 | Firms exit rate = 10% |
| $\psi$ - Curvature in prob. of successful innovation | 0.191 | R&D/GDP = 2.28% |
| $\sigma$ - Spillover Effect | 0.18 | Growth rate = 1.8% |
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Appendix A - The Model and its Recursive Representation
Stationary Equilibrium
In this Section, I first define the problem of the agents in their recursive representation. Then I provide a formal definition of the recursive competitive equilibrium. The individual state variables are: the preference type $\beta \in B = [\underline{\beta}, \overline{\beta}]$, the fixed effect $\phi \in F = \{\phi_{\min}, ..., \overline{\phi}, ..., \phi_{\max}\}$, the persistent shock component of the labor endowment $\varepsilon \in E = \{\varepsilon_{\min}, ..., \overline{\varepsilon}, ..., \varepsilon_{\max}\}$ and asset holdings $a \in A = [-b, \overline{a}]$. The grid for $\phi$ is obtained discretizing the underlying normal distribution, using $N_\phi = 5$ points and partitioning the p.d.f. with equal areas of size $1/N_\phi$. Each fixed effect type is then assigned the conditional average implied by each partition, computed with the formulas for the truncated normal, and a share in the workforce equal to $1/N_\phi$. The shock $\varepsilon$ is discretized with the Rouwenhorst method, using a 11-state Markov chain. The transition function of the labor endowment shocks is represented by the matrix $\Pi(\varepsilon', \varepsilon) = [\pi(v, z)]$, where each element $\pi(v, z)$ is defined as $\pi(v, z) = \Pr\{z_{j+1} = z | z_j = v\}$, $v, z \in E$. In every period the exogenous labor endowments are given by $\epsilon_{\varepsilon, \phi} = \varepsilon \phi$. The stationary distribution of the workers is denoted by $\mu(a, \varepsilon, \phi, \beta)$.
A.1 - Problem of the Workers
The value function of a worker whose current asset holdings are equal to $a$, whose current efficiency units shock is $\varepsilon$, and whose fixed effect is $\phi$, and whose discount factor is $\beta$ is denoted with $V(a, \varepsilon, \phi, \beta)$. The problem of these agents can be represented as follows:
$$V(\bar{a}, \varepsilon, \phi, \beta) = \max_{c, \bar{a}'} \left\{ \frac{c^{1-\theta}}{1-\theta} + \beta (1+g)^{(1-\theta)} \sum_{\varepsilon'} \pi(\varepsilon', \varepsilon) V(\bar{a}, \varepsilon', \phi, \beta) \right\} \tag{16}$$
s.t.
$$\bar{c} + (1+g)\bar{a}' = (1+(1-\tau)r)\bar{a} + (1-\tau)\bar{w}\epsilon_{\varepsilon, \phi} + \bar{t}r$$
$$\bar{a}_0 = 0, \quad \bar{c} \geq 0, \quad \bar{a}' \geq 0$$
The workers have to set optimally their consumption/savings plans. They enjoy utility from consumption, and face some uncertain events in the future. In the next period they transit from their current efficiency units $\varepsilon$ to the value $\varepsilon'$. These agents pay labor and capital income taxes, both with a proportional tax rate $\tau$, but receive a lump-sum public transfer $tr$. Finally, they are born with no wealth, and are subject to an exogenous borrowing constraint.
A.2 - Recursive Stationary Equilibrium
Since in equilibrium the economy is growing along a BGP, the dynamic programming problem is non-stationary. Every non stationary variable needs to be transformed into their stationary counterpart. This is achieved dividing a generic variable $X_t$ at time $t$ by the average technological index $Z_t$, $\tilde{X}_t \equiv X_t/Z_t$, where the tilde denotes the transformed variable.
**Definition 1** For given public policies \( \left\{ \tau_f, \gamma = \frac{\bar{G}}{\bar{Y}}, \chi = \frac{\bar{T}R}{\bar{Y}}, d = \frac{\bar{D}}{\bar{Y}} \right\} \) a recursive stationary equilibrium is a set of (transformed) decision rules, \( c(\bar{a}, \varepsilon, \phi, \beta), \) value functions, \( V(\bar{a}, \varepsilon, \phi, \beta), \) prices \( \{P, r, \bar{w}\}, \) normalized R\&D expenditure \( \rho, \) endogenous growth rate \( g = (1 - e^{-p^*})\sigma, \) and a set of stationary distributions, \( \mu(\bar{a}, \varepsilon, \phi, \beta) \) such that:
- Given relative prices \( \{r, \bar{w}\}, \) taxes and transfers \( \{\tau, \chi\}, \) the individual policy functions \( c(\bar{a}, \varepsilon, \phi, \beta), a'(\bar{a}, \varepsilon, \phi, \beta) \) solve the household problem (16), and \( V(\bar{a}, \varepsilon, \phi, \beta) \) are the associated value functions.
- Given relative prices \( \{P, r, \bar{w}\} \) and public policies, \( \bar{K}/L = M/L \) solves the final good sector firm’s problem.
- Given relative prices \( \{P, r, \bar{w}\} \) and public policies, \( \rho \) solves the entrepreneur’s problem (8).
- The labor market is in equilibrium, and the labor input \( L \) corresponds to the total supply of labor efficiency units
\[
L = \int_{A \times E \times F \times B} e^{\varepsilon, \phi} d\mu(\bar{a}, \varepsilon, \phi, \beta)
\]
- The asset market clears (with equity \( \bar{Q} = 0 \) in the entrepreneurs version of the model)
\[
\bar{K} + \bar{D} + \bar{Q} = \int_{A \times E \times F \times B} a'(\bar{a}, \varepsilon, \phi, \beta) d\mu(\bar{a}, \varepsilon, \phi, \beta)
\]
- The goods market clears (with \( \widetilde{C}_e = 0 \) in the equity version of the model)
\[
\bar{Y} = \bar{C} + \bar{I} + \bar{G} + \bar{RD} = \int_{A \times E \times F \times B} c(\bar{a}, \varepsilon, \phi, \beta) d\mu(\bar{a}, \varepsilon, \phi, \beta) + \widetilde{C}_e + \delta \bar{K} + \bar{G} + \bar{RD}
\]
- The tax \( \tau \) satisfies the government’s intertemporal budget constraint
\[
(r - g)\frac{\bar{D}}{\bar{Y}} = \frac{\bar{T} - \bar{T}R - \bar{G}}{\bar{Y}} \rightarrow (r - g)d = \tau(1 - \alpha + \alpha^2 - \delta \kappa + rd) + \tau_f \alpha(1 - \alpha) - \chi - \gamma
\]
- The stationary distribution \( \mu(\bar{a}, \varepsilon, \phi, \beta) \) satisfies
\[
\mu(\bar{a}', \varepsilon', \phi, \beta) = \sum_{\varepsilon} \pi(\varepsilon', \varepsilon) \int \nu(\bar{a}, \varepsilon, \phi, \beta, \bar{a}', \varepsilon') d\mu(\bar{a}, \varepsilon, \phi, \beta)
\]
(17)
In equilibrium the measure of agents in each state is time invariant and consistent with individual decisions, as given by the above equation (17), where \( \nu(.) \) is the transition function.
Appendix B - Computation
- All codes solving the model economies and simulating samples of agents were written in the FORTRAN 95 language, relying on the Intel Fortran Compiler, build 17.1 (with the IMSL library). They were compiled selecting the O2 option (maximize speed), and without automatic parallelization. They were run on a 64-bit PC platforms, running Windows 10 Professional, with an Intel $i7-8700k$ Quad Core processor clocked at 4.7 Ghz.
- I use 101 evenly spaced points for the public debt/GDP grid $d_j$. For either version of the model, the computations of the sequence of counterfactual public debt policies takes up to 8 hours to complete. Typically between 30 and 100 iterations on the endogenous variables are needed to find each equilibrium, as a slow updating factor is needed to guarantee convergence.
- In the actual solution of the models I need to discretize the continuous state variable $a$. I rely on an unevenly spaced grid, with the distance between two consecutive points increasing geometrically. This is done to allow for a high precision of the policy rules at low values of $a$, where the change in curvature is more pronounced. I use 1001 points, as increasing the number of points does not affect the results considerably. The lowest value is the borrowing constraint $b$ and the highest one being a value $a_{\text{max}}$ high enough not to be binding ($a_{\text{max}} = 500$).
- In the model, $\varepsilon$ is discretized with the Rouwenhorst method, using a 11-state Markov chain. This method has several desirable properties, especially when working with highly persistent processes.
- The optimal decision rules are obtained using the endogenous grid method. I start from an initial guess on the policy functions, $a_0^*(\bar{a}, \varepsilon, f, \beta)$, and keep on iterating until convergence. A slow updating factor is needed to guarantee convergence.
- The stationary distributions are computed relying on their definitions (17), without performing a simulation.
- The asset market is in equilibrium when the current guess for the interest rate $r_0$ achieves a capital excess demand which is less than 0.1% of the market size. In turn, this implies that the excess demand in the final good market is always less than 0.1% of the market size.
- The welfare measures $SW_i$ are based on (13), which is the weighted sum of the two numerical integrals of the discount factor dependent value functions (integrated with respect to the stationary distributions).
Appendix C - Solution Algorithms
This algorithm represents the computational procedure used to solve the BGP version of the model:
1. Generate a discrete grid over the detrended asset space \{0, ..., \bar{a}_{\text{max}}\}.
2. Generate a discrete grid over the income shocks with the Rouwenhorst method \{\varepsilon_{\text{min}}, ..., \varepsilon_{\text{max}}\}.
3. Generate a discrete grid over the fixed effect \{\phi_{\text{min}}, ..., \phi_{\text{max}}\}.
4. Generate a discrete grid over the discount factors \{\beta, \overline{\beta}\}.
5. Set the value of public debt/GDP at its long-run value \(d\).
6. Guess the interest rate \(r_0\).
7. Guess the tax rate \(\tau_0\).
8. Get the capital demand \(\widetilde{K}_0\) and wages \(\widetilde{w}_0\).
9. Find the monopolists’ profits \(\pi_0\).
10. Find the optimal rescaled R&D expenditure \(\rho_0\).
11. Get the equilibrium growth rate \(g_0\).
12. Transform the HH’s problem into its stationary formulation.
13. Get the saving functions \(a'(\bar{a}, \varepsilon, \phi, \beta)\) and the value functions \(V(\bar{a}, \varepsilon, \phi, \beta)\).
14. Get the stationary distributions \(\mu(\bar{a}, \varepsilon, \phi, \beta)\).
15. Get the equilibrium income tax rate \(\tau_1\).
16. Get the aggregate capital supply and check the asset market clearing: Get \(r_1\).
17. Update \(r'_0, \tau'_0\) (with a relaxation method).
18. Iterate until asset market clearing and until the government intertemporal budget constraint is satisfied.
19. Get the consumption functions \(c(\bar{a}, \varepsilon, \phi, \beta), \overline{C}_e\) and check the final good market clearing.
20. Compute social welfare \(SW\), the associated welfare effects, and their decompositions.
21. Set the value of public debt/GDP to a counterfactual value on a grid \(d_j\), repeating steps 6-20 for all the points in this grid.
This algorithm represents the additional steps used to solve the model with transitional dynamics:
1. Assume that at time $t = 0$ the economy is in the initial BGP with $d_0 = 0.6$, and compute it using the algorithm above.
2. Set the length of time needed to complete the whole transition to the final BGP to $\bar{t} = 100$.
3. Assume that at time $t = \bar{t}$ the economy is in the final BGP, with $d_{\bar{t}} = d$, and compute it using the algorithm above.
4. Set the length of time needed to complete the public debt dynamics to $\bar{t}_d = 15$.
5. Assume that the public debt dynamics evolve linearly, which allows to postulate the whole sequence for the public debt/GDP ratio $\{d_t\}_{t=1}^{\bar{t}+1}$.
6. Guess sequences for all the transitional equilibrium objects $\{r_t, \tau_t, g_t\}_{t=1}^{\bar{t}+\bar{t}}$
7. Get the capital demand and wages $\{\tilde{K}_t, \tilde{w}_t\}_{t=1}^{\bar{t}+\bar{t}}$.
8. Find the monopolists’ profits $\{\tilde{\pi}_t\}_{t=1}^{\bar{t}+\bar{t}}$.
9. Find the optimal rescaled R&D expenditure $\{\rho_t\}_{t=1}^{\bar{t}+\bar{t}}$.
10. Get the equilibrium growth rate $\{g_t\}_{t=1}^{\bar{t}+\bar{t}}$.
11. Transform the HH’s problem into its stationary formulation.
12. Solve the household problems backward, relying on the fact that at time $t = \bar{t}$ the decision rules are the ones for the final steady-state.
13. Solve the transitional distributions forward, relying on the fact that at time $t = 0$ the distributions are the ones for the initial steady-state.
14. Aggregate the decision rules and compute the new guesses for the transitional equilibrium objects.
15. Iterate until the asset market clears in every period of the transition, and the sequences $\{r_t, \tau_t, g_t\}_{t=1}^{\bar{t}+\bar{t}}$ converge.
16. Compute social welfare $SW$ at time $t = 0$, and obtain the associated welfare effects.
17. Set the value of the final public debt/GDP to another counterfactual value on a grid $d_j$, repeating steps 3-16 for all the points in this grid.
Appendix D - Additional Plots
Figure 4: Long-run Welfare Effects Profile and Equilibrium Outcomes in the Model without Equity in Innovating Firms, with $\psi = 1$. |
WELCOME, P.I.P.A.!
P.I.P.A. Conference Meets for First Time at University of British Columbia
Editors and Busi Discuss the College J
The University will be officially open Tuesday of this week. Gates from three universities on the west coast will be guests on the northern most collegiate field.
The students of Columbia welcome with a "Kiss" the immediate relationship with their new school.
For the first time in history, British Columbians Trojan, Bear, Bruin, Husky, Florist, and a member of the conference meet on Columbia soil to talk of matters pertaining to the field of journalism. It is an occasion that will be long remembered for the good will and friendships and mutual understanding that always come from a conference held more closely the parent school with her peers in the south land.
Columbia has always been for the young girls and boys of Washington, Oregon, California, Oregon Agriculture, Southern California, Washington State, the other large colleges, but representatives of these lands, on our campus we can more draw the tie that binds every city.
The visitors may find the University somewhat more unfamiliar than the school they are representing, but they must remember that British Columbia is a young province, this northern school has not been as yet slightly felt but by the time the next Pacific Coast conference is held in Vancouver will be noticed a much expanded campus and larger student body. British Columbia will always welcome the conference with open arms.
DELEGATES ENTERTAINED AT CLASS PARTY
DAILY BRUIN ARTS '28
Go to the Arts '28 Class Party," was the popular slogan on the night of Monday, October 16th. The hall earth existed on this auspicious occasion at Peter Pan Hall where the beloved Seniors celebrated their graduation into the cold world of the warmest of all worlds. In the delegates to the P.I.P.A. Conference were given a warm reception by the denizens of this locality.
In Arts '28 of a few years ago, late January, Dante had entered into the hall he would have entirely at home with his surroundings. Devilish note prevailed throughout without a trace of discordant reminders of pitchforks, brimstone and ashes. A red glow suffused the room which reminded the denizens of the stickers union was on the wall.
The necessary pandemonium was supplied by Lee's Orchestra, that pre-Devilish sight, garbed as they have been transported into the imaginary jamboree of some of the infernal regions. In the only thing lacking were the infernal alulioa cat and asbestos.
A play was presented in the shape of a dance. Lucifer H. Satan and B.L. presenting the wages of sin dancers, in the shape of a glow waltzes among the firesides were outstanding features of the occasion. These proved far more enjoyable than anything that could be found in the local region.
Supper was served early in the evening, in order to prevent the last juices from being cut short. Concessions to appetites there were no willing hand, hot dogs and devils cake refreshment a dance demonstration was given by Mr and Mrs Vaughan Moore.
The culprits who concocted the devilish concoction were Doug Toford, Mary Cole, Audrey Robinson, Marjorie Grogg, Anna Taylor, Jack Harkness, Guy Waddington, Albert Whitely, and Russell Burger. They are assured of congratulations by His Satanic Majesty and all his subjects at some future date.
Patrons and participants were Dean and Mrs. Hollister, Dean and Mrs. Colman, Mr and Mrs. Seward, Dr. Burges
LUCKY DEVILS!
He was a lucky devil who wrote the first official welcome; and his luck accompanied him when he died. He was able to use the happy phrases "pleasant duty" and "heartiest greetings" and "best wishes" before their second appearance turned them into the worst and best of cliches. Worst, because unforgivably obvious; and best, because at worst they are no more than inevitable—the lucky devil hit upon the very words to express welcome. At any rate, all who have since written welcomes (poor devils they are, and I am one of them) have used perforce the same phrases. The first of the line has been enthusiastically cursed and his words, along with himself, have been consigned with bitter vehemence to the place appointed; but for all that, the writer of welcomes is condemned to hate himself and say, (Poor devil! It's what he means), "We welcome most heartily . . . ."
Well, no poor devil ever meant it more than we do on this occasion when, for the first time, the University of British Columbia is privileged to receive as guests those who have heretofore been the finest of hosts. In short, we welcome them most heartily; and we hope that in the expression of that welcome our performance will not fall too far short of our desire for their comfort and pleasure. While it is understood that this convention is called with a serious purpose in mind, we have an idea that for varying periods during the visit of the delegates thoughts will turn on lighter matters; and it is our wish that during these periods, when we are concerned first for their pleasure, the delegates to the P.I.P.A. Convention will come to understand the very real pleasure their presence gives the students of the University of British Columbia.
EDMUND MORRISON, President of the P.I.P.A.
KLA-HOW-YAH, DELEGATES!
A hearty welcome from the University of British Columbia. It is an honor to us that you are gathering here for your Annual Conference. But more than an honor it is a pleasure, a very sincere pleasure to be host to you on this occasion.
It is perhaps superfluous to enlarge on the international character of the meeting. Yet we feel this attribute and warmly appreciate the added prestige it gives us as hosts. The differences that exist between the United States and Canada are far outweighed by the resemblances. If this Conference in its restricted, but none the less useful sphere, can benefit both nations, then something beyond its constitutional objects has been obtained.
In the lesser realm of University activities if you, by contact with others can obtain some new outlook, some new viewpoint, some fresh angle of an old question, the Conference has succeeded. These remarks may appear superficial. They obviously deal with material you fully appreciate already. Yet one feels at such a time that restoration of old truths need not obscure their fundamental worth. We are none the less sincere in assuring you we feel there is a fundamental value to international goodwill and intercollegiate cooperation.
When you have concluded the more serious part of your program join with us in our social recreations. "Youth must have its fling." We are young. Enjoy your visit to British Columbia, brief though it may be.
H. LESLIE BROWN, Pres. A.M.S.
Basketball Prospects Bright
Basketball prospects for at least two championship teams are brighter than ever. The Senior squad defeated the Junior varsity meeting at Normal, with the Intermediates on Tuesday and Thursdaysights as usual. The big difficulty in former years was the short practice hours under the present system. The seniors will have five hours a week, and the Intermediates four, instead of only two each as formerly.
Ed. Martin, the hard-working president of the club, is well satisfied with the way the squads are shaping up and expects at least two pieces of silverware to come home. Varsity and Junior teams, with six members each, should clean up in these parts, and provide a good tussle in the intercollegiate matches. The Intermediates As, with a number of potential stars that ought to be a winning team, the boys are still held back by the lack of a suitable coach, but the executive have several good men under consideration.
NOSTALGIA
The long low moaning roar
Of surf seething in hissing foam
On coral sands along the edge
Of that vast and lonely world;
The solitary cry
Of the slim-wing'd albatross in flight
Beating its wings' against steely crags
Of storm-riv'n adamant;
The dark gaunt southern pines
That clutch the rock-bound wind-strewn coasts
Of desolate and barren Isles
That lie on the world's edge;
All these are memories
That faintly whisper in my soul,
Filling it with a vague longing
For that forgotten land.
SATAN'S SOLILOQUY
SATAN'S SOLILOQUY
I guess I must be growing old,
My fiery ardour's getting cold.
Way back in Nero's freshman days
I used to think his little blaze
Was pretty bad. But now I guess
His fame has shrunk to nothingness.
I once was proud of red hot grates,
Of lava baths and roasting plates,
But now this stuff is useless lumber.
Hell seems to be a mere back number.
The new arrivals every day
Are getting worse. There's hell to pay.
They talk of things we do not know.
They say the place is kind of slow.
They say the sound of victims' groans
Is nothing to their saxophones.
Hot damn! These birds are mighty tough.
They're treating my poor devils rough.
In Ebbs pit a jazz band plays;
We devils stare in stark amaze
While the Black Bottom dance goes on.
It's a disgrace to Acheron!
They're brewing hooch with so much kick
It makes my toughest demons sick.
Hot dog! I'm going to quit my job
And leave hell to the college mob.
—R. A. P.
"Use Euripides in a sentence."
"Euripides pants, I killa you."
—Virginia Reel.
"You're next lady. Haircut?"
"Oh, not just yet. I'm just looking around, but I may be back later." N. Y. Medley.
"Have you ever run amuck?"
"Naw, I drive a Ford."
—Cornell Widow.
P.I.P.A. Delegates Air Views
Stanford Daily
FRED W. SPEERS
Editor, "Stanford Daily"
Stanford University and the "Stanford Daily" are as one in interest concerning the universities and colleges which are members of the P. I. P. A. A journalistic survey of the Stanford campus recently reveals the fact that we do wish to have more news from other colleges in the "Daily," and in order that the Daily staff may serve its readers more fully it is anxious to have a P. I. P. A. organization take the lead in securing to member papers and their readers.
Separated by the Rocky Mountains the coast colleges are necessarily independent of the Middle College and United States institutions and in order to preserve the geographical isolation following from this situation the P. I. P. A. should be of increasing importance to us all. Since the enrollment of the various P. I. P. A. member colleges is drawn largely from the coast states and British Columbia there is a high percentage of students in each institution to which news from the other colleges of the coast is real "live" news—a thing always to be desired.
CLAUDE CLONER
Manager, Stanford Daily
In order to be interesting and up to the latest, it is necessary for news disseminated among the various Pacific Coast Collegiate publications, to be broadcasted with speed. All editions realize this and are striving to accomplish the immediate exchange of news.
This exchange of news is facilitated by modern science which has given us the telephone. The air mail service is the new medium of exchange, and we suggest that the various schools on the Coast use the air service to despatch their news to P.I.P.A. publications. In such a short time, however, by experience we find that the Pacific Air Transport is able to give us uninterrupted and immediate service. Use the air mail and we shall all profit by the ready despatch of news concerning Pacific Coast Universities.
Oregon Emerald
RAY NASH
Editor, Oregon "Emerald."
Despite what may appear on the surface a most flagrant violation of editorial confidence, we think ourselves justified in revealing that the editor of the Ubyssey has, in public resigned herself to the appearance of much made-in-America Babbletry hounding in-day college.
We, the contributors of Sinclair Lewis, are resentful, and bearing in mind that newspapers are notoriously disrespectful of chivalry, feel no obligation to give further foundation to her suspicions.
Suffice it that in our candid judgment U.B.C has the greatest of possibilities. The man commanding the superb vista of mountains and magnificent Howe Sound, is one destined to mould the loftiest philosophy. And with the support of Vancouver, tomorrow's greatest gateway to the world, students of U.B.C need doff their hats to no one.
P.I.P.A. Editor
GEORGE A. SCHANBACHER
Editor, Pacific Intercollegiate Press Association.
By holding the Pacific Intercollegiate Press Association Convention here in Vancouver, the University of British Columbia has materially aided the organization.
Because of this extended courtesy, the members of the P.I.P.A. will be brought closer together, which will make their news service more valuable to all.
On behalf of the Association I wish to thank the University of British Columbia, Miss Tolmie, Mr. Edmund Morrison, and Mr. Patrick for their splendid hospitality and putting efforts, making this convention possible.
O.A.C. Barometer
HUGHWAY K. FOLEY
Editor, O. A. C. Jally Barometer.
A future is a great thing if it isn't entirely in the background. The University of British Columbia is certainly fortunate in this respect in that its future is nearly at hand.
The prospect of an University in the making is a happy one. A person from a more settled college sees in the growing plant of the University of British Columbia an opportunity—an opportunity to put into practice the many new ideas that are impracticable for various reasons to the already developed institutions.
It was something in the nature of a stolen march on the other visiting P. I. P. A. delegates that the representatives from O. A. C. and the University of Oregon took when they were shown over the campus of U. B. C. Sunday.
Herveyel Patrick and Ralph Brown did the honors and were amply rewarded by the polite exclamations over the "temporary" buildings and the remarkable grounds and view.
As yet, all that the visiting delegates have seen has been the material side of the University—buildings and grounds, an important yet unimportant part of any institution. The Barometer of O. A. C. wishes the University of British Columbia a continued development in plant and, more especially, in the finer side of the college function.
Willamette Collegian
HUGH McGILORA
Editor, "Willamette Collegian"
Having never seen Vancouver in the daylight and never having been here before, we still insist that we appreciate your welcome and are going to enjoy our stay. This being said, ought to fulfill the requirement of the request for a line of "genial Babbletry," or plain American applause.
On the surface it looks as though the Willamette editors are the only persons that are going to have a vacation to-day. The Customs inspector at the border when we came across, indicated on his card that he was not interested in business trip when he was told that we were delegates to a press convention. Apparently it is a business trip although we thought that we had left the task of preparing copy miles behind.
This is terrible to have to reveal your journalistic weaknesses in the company of such a band of severe critics, but it has been done! What has been written, has been written!
Argonaut
BURTON L. MOORE
University of Idaho
"The Idaho Argonaut."
Development of a competent organization is getting under from one campus to another by members of the Pacific Intercollegiate Press Association is the real problem confronting this convention. This can be accomplished through real co-operation by the members.
A plan has been offered by some members of the association, which is a suggestion for the betterment of the association as a whole. This plan suggests the holding of the P. I. P. A. convention each year in connection with the meeting of graduates—held by the Jally meeting. It is believed that more business would be taken care of and more accomplished.
It is probable that such a meeting could be to some advantage—but the business men are not usually familiar with editorial problems and problems. They would, without doubt, be more instrumental in connection with the actual handling of the business. As for the real threshing out of it could be better accomplished at separate conventions of the editors.
1st English Prof.—It's a disgrace the way my students bash Bacon.
2nd Ditto.—That's nothing; my pupils always roast Lamb.
—Princeton Tiger.
"Pup, I want to go to college."
"What do you want to go to college for? The traveling salesman know just as good ones."—Brown Jug.
"Why did they send Brown to the insane asylum?"
"He murdered a man and refused to plead temporary insanity."
—Yale Record.
"Mother, what is that tramp doing with that piece of wrapping paper?"
"Hush, darling, that is a college graduate with his diploma."
—Wet Hen.
P.I.P.A. Conference Meets for First Time at University of B.C.
Editors and Business Managers Discuss the Problems of College Journalism
The University of British Columbia were highly honoured on Monday and Tuesday of this week when delegates from thirteen colleges and universities on the Pacific coast were guests on the campus of the most northerly member of the Pacific Intercollegiate Press Association.
The student body of British Columbia was visiting the delegates with "Kia How" to indicate that immediate friends into fellowship with this northern school.
For the first time in the history of British Columbia the Trojan, Bear, Cougar, Husky, Argonaut, Pioneer, and all other members of the conference will meet on Canadian soil to talk over matters of interest to the field of journalism. It is an occasion that will be long remembered at U.B.C. and the friendships and mutual understanding that always come from a conference will bind more closely the one Canadian college with its great sisters on the mainland. British Columbia has always had respect for the great spirit and organization of Washington, Oregon, California, Oregon Agricultural, Northwestern, California, Washington State, and the other large colleges, but with representatives of these institutions on our campus we can more closely draw the tie that binds our colleges together.
The visitors may find the University somewhat more unfinished and different than the colleges they are representing but they must remember that British Columbia is young. The presence of this northern school has been as yet but slightly felt, but by the time the next Pacific Coast conference is held in Vancouver there will be a much broader expansion of campus, and larger student body. British Columbia will always welcome the conference with open arms.
Visitors Meet in Conclave.
The questions of the status of editors-in-chief, a Canadian Press Association, and the general policy of the P. I. P. A. were discussed at length at the meeting of the editors of Pacific Coast college publications held in the Hotel Vancouver on Monday morning.
In the editorial gathering Mr. George Schanbacher of Berkeley, took the chair in the absence of Mr. H. C. Mr. Edmund Morrow of the U. B. C. Proceedings opened with a few well-chosen words of welcome from Miss Jean Toimle, Editor-in-Chief of the "Ubyssey," and the gathering immediately got down to business.
Miss Toimle brought up for discussion the matter of the "Ubyssey" standing in the P. I. P. A., the event of the organization of the proposed Canadian Universities Press Union. She was at once made aware that the "Ubyssey" was not fulfilling a double function by acting as a clearing house for both unions.
A discussion arose as to whether one union would be more effective, and it was finally decided that such proposal would be practically impossible because of the great distances separating the institutions, and the diversity of interests of the East and South.
It was left to the discretion of the British Columbia paper as to whether it would maintain membership in both organizations.
An attempt was made into the exact duties of the Editor-in-Chief of the P. I. P. A. which lead to the reading of Article two of the Constitution, while outlining the duties of the various officers. Discussion arose over the election of seniors to the offices. The point was raised that if students were to serve in the executive rights to the editorial office, none of the present delegates could possibly have attended a previous conference, and that much time would be wasted in the future.
The policy of the P. I. P. A. was thoroughly discussed. On account of long distances, it has been found that very often the P. I. P. A. needs collective strength to use. This applied especially in sport.
The complaint also came up that the association duplicates much of the work already done through the University Publicity Exchange. The advisability of sending clip sheets bi-weekly instead of merely duplicating the work done by the Exchange was also discussed.
"Go to the Arts '28 Class Party." was the popular slogan on the night of Tuesday, October 17. A little hell on earth existed on this important occasion at Peter Pan Hall where the dignified Seniors celebrated their forthcoming graduations into the cold world, and the cold world into the addition, the delegates to the P.I.P.A. Conference were given a warm reception by the denizens of this locality, and had an "Arts '28" of a time.
If the delegates from far had wandered into the hall he would have felt entirely at home with his surroundings. A devilish note prevailed throughout with plenty of encouragement reminders of torchlights, brimstone and flames. A red glow suffused the region which reminded the denizens that the stokers' union was on the job.
The necessary pandemonium was supplied by Lee's Orchestra, that presented a fiendish sight garbed as demons. Their alcove had been transformed into the infernal jaws of some monster of the infernal regions. In fact the only thing lacking were the proverbial celluloid cat and asbestos dog.
An innovation was presented in the form of Lucifer H. Satan and B. L. Zeebuls, presenting the wages of sin to the dancers in the shape of favours, favors, favors.
Dullough waltzes among the fires of Hades were outstanding features of the occasion. These proved far more enjoyable than anything that can be expected of the Wright Logie.
Supper was served early in the evening, in order to prevent the last dances from being cut short. Contrary to expectation there were no dullnesses or logs in the dance. During refreshment a dance demonstration was given by Mr. and Mrs. Vaughan Moore.
The speakers who conducted the devilish ideas were Doug Telford, Mary Cole, Audrey Robinson, Marjorie Greig, Annie Taylor, Jack Harkness, Guy Waddington, Albert Whitely, and Ruth Price. They were assisted by Dr. Hoggs, who were assailed with warm congratulations. His Satanic Majesty and all his subjects at some future date.
Patrons and patronesses were Dean M. L. Gilbert, and Dean and Mrs. Clarkman, Mr. and Mrs. Soward and Dr. Hoggs.
DELEGATES ENTERTAINED AT ARTS '28 CLASS PARTY
Muck Aboud About Nothing
Since the P. I. P. A. is gravely discussing student journalism it is the duty of the Feature Page of the "Ubyssey," as one of the most original sheets on the North American Continent to air its views on the functions of college paper.
The ordinary newspaper Babbitt has long been suffering under the strange delusion that news is necessary to a University Journal. Sound thinking, as usual, by the Muck-a-Muck Page, will convince him that this is not so.
Take sport news, for instance. This is almost entirely devoted to accounts of games. Many are obviously written for the benefit of those students interested in sport. But the people interested have already seen the game itself, or have taken trouble to get an account from a friend who has. They certainly will have nothing to read the stale items published in the paper a couple of days later. It is also obvious that students who are not interested in sport will not have any desire to go to the game and will not bother to read the write-ups in the paper.
Other news in the same way, such as the activities of clubs and societies, initiations or special events. Advance notices giving necessary information are always on the notice boards before the paper publishes them, while accounts of the events suffer in quality the same way as the sport news, they are equally stale, uninteresting and superfluous. A child can see by consideration of the above facts that news is entirely unnecessary in a college paper.
A large part of one page is devoted to editorials. These also are unnecessary. It has been proven time and time again that students never heed the editorials. Their present deplorable plight, their blighty apathy and their degenerate followings of bad habits have irrefutable testimony to the above contention. Editorials in any case are nearly always contrary to the fixed opinions of the student body and the leaders. Added to all this is the fact that no one reads editorials anyway.
Advertisements contain passing information about the student body in the form of wise cracks. Otherwise they possess no educative value and are completely ignored, except by the unscrupulous minded Business Department.
The Literary corner and the correspondence column are mere excessences of little value, and are likewise unread by the average student. These two departments are generally the offspring of the "Muck-a-Muck" department and will be treated as such in the following paragraph.
There is therefore only one Department left, namely the Feature Page, or as it is locally and colloquially termed the "Muck Pac." This is really the only reason for the local journals existence—as may be proved first hand by watching any student read the "Ubyssey." In nearly every case, the first page (or she) turns to "Muck a Muck" (after that the paper is hastily scanned and tossed aside. The Feature Page is the only part of the paper on which actual creative thinking is regularly fostered.
The fact must be faced, that except on the Feature Page the college paper is superfluous. But after all, the other pages must be filled somehow, and until more advertisements are forthcoming the old unsatisfactory state of affairs must continue. |
Caring about confusion
Citation for published version (APA):
van Velthuijsen, E. L. (2018). Caring about confusion: on the daily practice of diagnosis and management of delirium in older hospitalised patients. Ridderprint BV. https://doi.org/10.26481/dis.20180704ev
Document status and date:
Published: 01/01/2018
DOI:
10.26481/dis.20180704ev
Document Version:
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Valorisation
A valorisation is “the process of creating value from knowledge, by making knowledge suitable and/or available for social (and/or economic) use and by making knowledge suitable for translation into competitive products, services, processes and new commercial activities” (Promotiereglement Maastricht University, 2016). Basically, this means that the “knowledge” obtained in this dissertation should be made available and understandable for others to put it to (good) use, either to make the world a better place or to make money. The university has provided a series of topics to guide us through this valorisation addendum.
1. Societal and/or economic relevance
Results from my research have shown that delirium recognition and guideline adherence for the management of delirium among older hospitalised patients is poor. This poor recognition and management leads to potentially increased percentage of people who develop a delirium, and to longer or more severe delirious episodes. Results from my dissertation have also shown that some interventions that are already incorporated in daily practice can reduce the duration of delirious episodes and increase in the use of screening for delirium in older patients. These results are both of societal and economic relevance: the adverse outcomes associated with delirium can be very severe, and the health care costs associated with delirium are high.
With regards to the societal effects: older patients suffering a delirium during hospitalisation run a 62% increased risk of mortality within twelve months after the hospital admission compared to patients who did not develop a delirium.\textsuperscript{26} Other adverse outcomes include prolonged hospital stay, slower functional recovery, cognitive decline, institutionalisation after hospital discharge, greater chance of hospital readmissions, recurring delirium, and onset of dementia or deterioration of pre-existent dementia.\textsuperscript{27-30} Patients also suffer from emotional or psychological distress after a delirious episode.\textsuperscript{31} After recovering from a delirium, patients have been found to suffer from symptoms of depression, anxiety, and fear,\textsuperscript{32, 33} and delirium may be a risk factor for the development of post-traumatic stress disorder (PTSD).\textsuperscript{34} Taking into account that between 29 and 64% of older hospitalised patients develop a delirium, the results of this dissertation could potentially (positively) affect a lot of patients: shorter delirious episodes are beneficial for swifter functional and cognitive recovery. This dissertation also shows that delirium is severely under-recognised and under-reported. This knowledge is important because it shows there is a problem regarding recognition and adequate reporting of delirium, which may spark a discussion on the need to improve this. Early recognition of delirium may help in providing timely and adequate management, and reporting of delirium will help substantially in identifying patients with an increased risk of delirium during future hospital admissions, prompting the use of interventions to prevent delirium.
With regard to the economic effects: delirium places a serious financial burden on the health care system. Longer and more hospital admissions, long-term care institutionalisation, dementia; these are all adverse outcomes with high financial consequences. It has been calculated that delirium among older hospitalised patients costs more than US$164 billion a year in the USA, which is comparable to the healthcare costs for falls or diabetes mellitus.\textsuperscript{35} A German study team calculated what a patient with a hyperactive delirium actually costs the hospital excluding the costs for re-admissions or institutionalisation.\textsuperscript{36} They found that patients with a hyperactive delirium costs on average €1200,- more than patients with no delirium, based on extra time spent by physicians and nurses, longer hospital stay, and additional medication costs. Thus, the medication review as described in this dissertation, which has found to shorten the delirious episodes for certain groups of patients, could potentially decrease health care costs for these patients. Moreover, the educational intervention described in this dissertation, lead to an increase in the frequency of screening for delirium, which could potentially identify more patients at risk, prompting preventive measures and thus preventing delirium.
\textbf{2. Target groups}
The results of this dissertation are relevant to various groups of people outside the research community, mainly health care professionals, health care insurers, educators and policy makers, though they may also be important for older patients and their family members.
The results regarding the recognition and reporting of delirium, as well as the management of delirium using both non-pharmacological and pharmacological interventions, such as a medication review or the use of antipsychotic medication is important for health care professionals (i.e. nursing staff and physicians). These results show that the guidelines for detecting, reporting and managing a delirium are often not adhered. The guidelines are based on scientific research and expert opinions, and were made to improve the care for patients who have a delirium or run an increased risk of developing one. Adhering to the guidelines may help to prevent delirium, or, as is the case for the medication review, shorten the duration of a delirium in certain patient populations. Fewer and shorter delirious episodes decrease workload and stress for nursing staff and could potentially decrease the hospital stay for some patients, making place for new patients who need medical care. This could in turn lead to a decrease in health care costs, which make the results of this dissertation interesting for health care insurers.
Delirium has been made and indicator of hospital quality (kwaliteitsindicator ziekenhuiszorg) by the Dutch health care inspectorate (Inspectie GezondheidsZorg, IGZ). As such, the results regarding recognition and guideline adherence are of interest to policy makers and hospital boards, as decreasing delirium and increasing guideline adherence can increase the quality of care as assessed by the
IGZ. This could lead to a higher ranking in the national ranking of hospitals in the Netherlands, and increase overall quality of care for older patients. This research is also of interest to policy makers, because the results show that just having the guidelines in place and facilitation delirium recognition by implementing the use of the Delirium Observation Screening scale (DOS) is not enough to warrant good delirium care. Policy makers could use these results to increase the focus of delirium, for example by making delirium a mandatory part of the list of possible side effects to be discussed with all older patients undergoing elective surgery.
3. Products, services, processes, activities or commercial activities
All my research was bundled into this dissertation, which is freely available upon request and includes, among others, an educational intervention, which can be used to educate health care professionals on how to recognise and manage delirium in a hospital setting. Moreover, this dissertation shows that simply providing delirium education for the nursing staff is not enough to create the needed change in clinical practice to improve delirium care: this should go hand-in-hand with education for the medial staff, an increased focus on delirium throughout the hospital, a mandatory thorough medication review for all older (at-risk) people admitted to hospital, and preferably providing good information to patients and family members (especially before elective surgery) on what a delirium is, how it can be prevented, and what the consequences are. Thus, a factsheet for non-medically trained people (laymen), was developed, which can be used to educate patients and family members, thus increase the focus of delirium throughout the hospital. Furthermore, the knowledge created by the research presented in this dissertation has been disseminated in different ways over the past few years. Scientific articles have been published, which are available open-source on-line; the results were presented to fellow researchers and to health care professionals during national and international conferences. Knowledge was also disseminated through the newsletters of the Living Lab in Ageing & Long Term Care (Academische Werkplaats Ouderenzorg Zuid-Limburg) and the Academic Collaborative Centre for Sustainable Care (Academische Werkplaats Duurzame Zorg). The latter also has a website with information regarding the research presented in this dissertation (https://www.duurzamezorgmaastricht.nl). Moreover, health care professionals (nurse practitioners, geriatricians, clinical pharmacologists) and policy makers within the hospital were asked to co-author or participate in several studies, thus incorporating them in the process of improving knowledge and guideline adherence for delirium recognition and management.
4. Innovation
The research in this dissertation focussed on the daily practice in a hospital setting, and so no innovative products, services, processes activities or commercial
activities were created. This dissertation did, however, create an eye-opener for health-care professionals and policy makers, as the results made clear that just having guidelines does not mean that these guidelines are automatically adhered to. This could lead to policy makers having to find new and innovative ways to bring the guidelines concerning delirium to the attention of health care professionals: for example by making it mandatory to mention delirium as a possible (probable?) complication of hospital admission. This could increase awareness and sense of urgency among physicians. Moreover, by providing the previously mentioned factsheet and actively involving the patient and family members or carers in the process of delirium prevention and management, delirium recognition and care (thus guideline adherence) can be improved.
5. Planning & realisation
With regards to the implementation of the interventions described in chapters four and five (the medication review and the educational intervention), these specific interventions were fairly location-specific, as they were designed to be implemented in the MUMC+ with the resources available at the MUMC+. However, a medication review does not need to be exactly as described in chapter four of this dissertation: it can easily be designed to fit in with the available resources of any hospital, both academic and non-academic, as and all hospitals employ specialists in internal medicine, geriatricians and/or a clinical pharmacist to carry out these medication reviews. The same can be said for the educational intervention described in chapter five of this dissertation: this was designed to fit in with the needs and possibilities of the nursing staff of two specific wards in the MUMC+. However, the intervention was designed in such a way that it could be tailored for the specific wards, and could also be tailored for different hospitals.
The results of this dissertation are most valuable for hospital policy makers. They should use the knowledge to improve delirium care in their hospitals, for example through delirium education for the health care professionals, implementing medication reviews for all older patients admitted to hospital, and by providing the necessary means to (pro-actively) educate patients and family members about delirium, before delirium happens. Placing flyers on a ward is not enough: these are often not given to the people who need them (or given only after a patient developed a delirium), and are often not replenished once the flyers are gone.
In conclusion: delirium is serious, common, costly and often overlooked or mismanaged. Pro-active education (or at least timely information) should be presented to patients and family. Health care professionals should be educated about delirium, its recognition, prevention and management. This will be beneficial for patients, family members, health care professionals, health care insurers and the financial state of our health care system in general. |
IDAS VALLEY AS AN EXAMPLE OF THE CULTURAL LANDSCAPE OF THE CAPE WINELANDS (SOUTH AFRICA)
(IDAS VALLEY, UN EXEMPLE DU PAYSAGE CULTUREL DES VIGNOBLES DU CAP, AFRIQUE DU SUD)
Ms Penny Pistorius, Prof. Fabio Todeschini
email@example.com
Idas Valley is a rural area in the Stellenbosch district of the Western Cape province of South Africa. It is a particularly fine example of the broader regional cultural landscape known as the Cape Winelands – a characteristic combination of striking natural features and human adaptations. With the active participation and management of the landowners, Idas Valley has been protected as a heritage site since 1976.
Idas Valley is clearly defined as a distinctive place by its topography. Backed by the towering Simonsberg mountain (1 390m) in the north east, the south-facing valley floor is enclosed on each side by lower hills. Within this clear and defining framework, the valley topography is complex. The mountain and hills are intricately folded and eroded by winter streams that rush off the steep slopes and springs that continue to seep through the hotter months, feeding the tributaries of the Kromme (“crooked”) River which arises in the valley. There are thus a great variety of hills and sub-valleys, humps and hollows with differing orientation, soil types and micro-climates. Part of the fynbos biome, the mountain, valley and hills support a great diversity of flora and fauna. The valley is a “many-placed place” with numerous sub-areas of distinctive character. The interaction of people with this natural landscape over a long period has resulted in the formation of a cultural landscape that is itself complex and varied.
Stone artefacts found in the valley indicate that it has been a human habitat for at least 700 000 years. From about 500 AD Khoi pastoralists inhabited the South Western Cape, moving their herds around seasonally to ensure sufficient grazing for their cattle. When colonial settlement first took place in the 17th century the Stellenbosch area was part of the regular transhumance pattern of two groups of Khoi, the Gorachoqua and the Goringhaiqua. The Khoi burnt patches of bush at their grazing grounds in order to clear the tall, impenetrable fynbos and stimulate the growth of fresh grasses. When colonial agriculturalists first inhabited the valley in 1682, displacing the Khoi in the process, it is highly likely that they used these established clearings and routes as the basis for their dwellings and fields.
The Cape was established by the Dutch East India Company as a way station to the east. The Company initially discouraged colonial settlement but, unable to produce sufficient food itself, the Company soon began to grant land to “free burghers”, retaining tight control over production, marketing and contact with the indigenes. The fledgling settlement at the Cape was an amalgam of diverse people – various Europeans (Company employees and free burghers), slaves and “free blacks” from Mozambique and other parts of Africa, Madagascar, and the East Indies, and a few highly educated rulers and religious leaders from the East Indies who were banished to the Cape as political prisoners along with criminal bandieten. These people lived together in intimate conditions in an alien and hence threatening environment, forging a new “creole” culture with a distinctive language, cuisine, crafts and architecture.
The Khoi were officially excluded and segregated from this society, but it is clear from historical accounts that they began to be integrated from the earliest period – while remaining deeply mistrusted and denigrated.
Stellenbosch, established by Governor van der Stel in 1679, was the first “colonial” expansion beyond the Cape Peninsula to be sanctioned by the Company. Thereafter, continued expansion into the hinterland by colonists pushed the Khoi pastoralists (already decimated by foreign diseases) further and further from their traditional grazing lands and ultimately destroyed their way of life.
Idas Valley, which had three farmsteads by 1682, is an exemplar of the patterns and processes of colonial adaptation and development that have formed the Cape Winelands landscape that we know today. Among significant features and characteristics of the valley are the following:
- The magnificent natural setting, comprising dramatic mountain wilderness, rolling hills and gently sloping valley lands, streams and springs, gravelly and rich alluvial soils, and associated diverse flora (fynbos) and fauna.
- Evidence of human landscape modifications and patterns of land use over a long period. Farming activities have responded to the particular conditions in the different sub-areas of the valley (slope, hydrology, orientation, etc), as well as to external factors such as economic changes and technological advances. Changes in the Idas Valley landscape are associated with many of the significant historical factors that have affected productive agriculture in the Cape, such as the slave-labour based expansion of agriculture, the economic boom in the 19th century resulting from favourable wine tariffs under English rule, the freeing of the slaves in 1834 and their assimilation into society as an exploited labour force, the near-collapse of the rural economy after the 1890s phylloxera outbreak that destroyed the Cape vines, the subsequent development of the export fruit industry and improvement of wine quality, and the impact of better dam-building techniques after World War II. The broad patterns of the rural landscape at present are: indigenous bush on the steep mountain slopes, forestry (gums and various pines) on steep hillsides, vineyards and orchards with associated windbreaks of exotic trees on the elevated cultivatable slopes, and pastures and fodder crops for the Rustenschoon dairy herd on the valley floor.
- Remnants of the pioneer transport and communication network. The earliest road between the emerging villages of Stellenbosch and Franschhoek ran through the valley and over the pass known as “the Hell” (from the Afrikaans *helling*, indicating the steep gradient). The origin of this route was most likely a Khoi cattle path. The name Helshoogte was transferred to a new pass built in the 1890s, which bypassed the valley. Since then, Idas Valley has been a cul de sac, which has shielded it from the great pressure for development along through-routes in the Winelands.
- Significant Cape farmsteads. The oldest in the valley – Ida’s Valley, Rustenburg and Schoongezicht – are justifiably celebrated as superb examples of their type and period. The pioneer dwellings were simple longhouses, built of available materials and located on the valley floor close to streams (remnants survive on some farms), with a kraal (walled enclosure) to protect stock at night. Later, during prosperous times in the early 19th century, houses were extended and outbuildings such as wine cellars added, buildings were elaborated with gables, and farmsteads were extended to command the land and impose geometry on the dramatic natural wilderness of their setting (e.g. the oak avenue at Rustenburg). Cape architecture is a tangible expression of the varied cultural influences and combined skills of the diverse people who inhabited the region in the colonial period, and their response to the natural setting.
• A significant, layered sequence of networks for the capture and distribution of water (not yet fully researched), associated with the development of colonial settlement and agricultural production, and demonstrating natural resource use and technological advances through time. These networks span the entire colonial period, including remnants of ancient stone-lined channels for gravity irrigation and domestic water supply, 19th century irrigation piping made of timber, early 20th century capped springs and dams built from the 1930s with newly introduced caterpillar tractors. The current overlay of micro-jet irrigation and a major regional water pipeline demonstrates the continuing evolution of water use and distribution.
• Dwellings and farmsteads of the 19th and 20th centuries (Schoongezicht cottage, Glenbawn, Glenelly, Kelsey, and the cluster of smallholdings known as the "Wedges"). These are of historical and cultural interest, reflecting the ongoing evolution of the practice of agriculture in the valley and patterns of dwelling in this particular rural landscape. Dwelling sites are close to streams (or constructed water channels) and are consequently "tucked in" to the folds of the landscape, often looking out over the valley. There are very few extant vernacular workers' houses in the valley: workers on the biggest farms were rehoused in modern, serviced villages at the height of the apartheid era to avoid possible criticism by overseas importers – itself an illustration of changing labour practices and shifts in South African society in the last decades of the twentieth century.
The social history of the landowners of the valley is fairly well documented, and includes individuals and inter-related families who were influential in the development of the Cape – and in the late 19th and early 20th century, in the political affairs of the country (e.g. John X Merriman, Minister of Finance and of Agriculture in the cabinet of Cecil Rhodes, and highly influential in the massive agricultural transformations of the time; Thomas Smartt, Colonial Secretary, Commissioner of Public Works, leader of Unionist Party, Minister of Agriculture; Hon CP de Villiers, later 2nd Baron de Villiers, whose father was first Chief Justice of South Africa). Typically, the history of the workers on whom the elite depended has not been studied adequately to date, although there are undoubtedly families whose relationship with the place are even more longstanding than that of the successive owners.
At a key point in time, when modernism began to destroy large swathes of the rural landscape and Idas Valley was threatened by increasing subdivision and the expansion of the town of Stellenbosch, the landowners had the foresight to lobby for its protection. The valley, consisting of 21 farms and smallholdings, was declared a national monument in 1976 – the first time the protection of a whole rural environment had been attempted. It has been carefully managed ever since, with the active participation and custodianship of the owners.
Idas Valley is currently facing new threats: the local authority owns a prominent part of the valley which is not protected, and its development as a housing estate is repeatedly mooted; there is increasing pressure to convert smaller farms to commercial and touristic enterprises (there is already a health resort in the valley); as a provincial heritage site under new heritage legislation, the valley is affected by the lack of capacity and operative management systems in the provincial heritage authority. However, new opportunities are also apparent. The landowners are increasingly involving their workers in decision-making, and are actively assisting and empowering previously disadvantaged residents of the neighbouring township to participate in discussions about the future of the area.
Idas Valley is thus exemplary not only as a Cape Winelands landscape which is relatively undamaged by the ravages of modernist development, but as a model for participative heritage management in similar circumstances. Consensus is growing that the Cape Winelands is a very significant cultural landscape and that Idas Valley, which is already a protected heritage site, could appropriately form the core of a potential World Heritage Site representing that unique manifestation of shared colonial heritage.
REFERENCES:
DE BOSDARI, C (1953 and 1964): *Cape Dutch houses and farms: Their architecture and history*, AA Balkema, Cape Town and Amsterdam.
HOUSTON, D (1981): *Valley of the Simonsberg*, S A Universities Press, Cape Town.
PISTORIUS, P & S HARRIS (2003): *Stellenbosch Rural Heritage Survey: Idas Valley Area*, Data base, compiled for Stellenbosch Municipality Department of Planning and Development.
SMUTS, FRANCOIS, ED (1979): *Stellenbosch, three centuries/Stellenbosch, drie eeue*, Stellenbosse Stadsraad, Stellenbosch.
TODESCHINI, JAPHA and PISTORIUS (2000): “Cape Metropolitan Area: Towards Protection of the Cultural Landscape Phase 3 Final Report”, for the Cape Metropolitan Council.
TODESCHINI, F (1994): "A Planning and Conservation Approach to the Cultural Landscape of Cape Town: Its Past and Its Potentials", *A Vision of Cape Town: Conference Proceedings*, pp. 29-32, Cape Town Heritage Trust.
WORDEN N, E VAN HEYNINGEN & V BICKFORD-SMITH (1998): *Cape Town: The Making of a City*, David Philip Publishers, Cape Town.
The Cape Winelands is a region in South Africa known for its vineyards and wineries. It is located in the Western Cape province, between the city of Stellenbosch and the town of Paarl. The region is characterized by its rolling hills, picturesque vineyards, and stunning mountain views. The Cape Winelands is home to many famous wine estates, including Chateau Ste. Michelle, Boschendal, and Jordan Estate. Visitors can enjoy wine tastings, guided tours, and delicious meals at these wineries. The region also offers a variety of outdoor activities, such as hiking, cycling, and horseback riding. The Cape Winelands is a popular destination for tourists and wine enthusiasts alike, offering a unique blend of natural beauty and culinary delights. |
I. BACKGROUND
After the March 1979 accident at Three Mile Island, Unit 2, the Commission directed its technical review resources to assuring the safety of operating power reactors rather than to the issuance of new licenses. Furthermore, the Commission decided that power reactor licensing should not continue until the assessment of the TMI accident had been substantially completed and comprehensive improvements in both the operation and regulation of nuclear power plants had been set in motion.
At a meeting on May 30, 1979, the Nuclear Regulatory Commission decided to issue policy guidance addressing general principles for reaching licensing decisions and to provide specific guidance for near-term operating license cases. In November 1979, the Nuclear Regulatory Commission issued the policy guidance in the form of an amendment to 10 CFR Part 2 of its regulations, describing the approach to be taken by the Commission regarding licensing of power reactors. In particular, the Commission noted that it would "be providing case-by-case guidance on changes in regulatory policies." The Commission has now acted on three operating licenses, has given extensive consideration to issues arising as a result of the Three Mile Island accident, and is able to provide general guidance.
* All footnotes for this statement of policy appear at end of text.
Following the accident at Three Mile Island 2, the President established a Commission to make recommendations regarding changes necessary to improve nuclear safety. In May 1979, the Nuclear Regulatory Commission established a Lessons Learned Task Force, to determine what actions were required for new operating licenses and chartered a Special Inquiry Group to examine all facets of the accident and its causes. These groups have published their reports.
The Lessons Learned Task Force led to NUREG-0578, "TMI-2 Lessons Learned Task Force Status Report and Short-Term Recommendations" and NUREG-0585, "TMI-2 Lessons Learned Task Force Final Report." The Commission addressed these reports in meetings on September 6, September 14, October 14, and October 16, 1979. Following release of the report of the Presidential Commission, the Commission provided a preliminary set of responses to the recommendations in that report. This response provided broad policy directions for development of an NRC Action Plan, work on which was begun in November 1979. During the development of the Action Plan, the Special Inquiry Group Report was received, which had the benefit of review by panels of outside consultants representing a cross section of technical and public views. This report provided additional recommendations.
The Action Plan was developed to provide a comprehensive and integrated plan for the actions judged appropriate by the Nuclear
Regulatory Commission to correct or improve the regulation and operation of nuclear facilities based on the experience from the accident at TMI-2 and the official studies and investigations of the accident. In developing the Action Plan, the various recommendations and possible actions of all the principal investigations were assessed and either rejected, adopted or modified. A detailed summary of the development and review process for the Action Plan is provided in NUREG-0694, "TMI-Related Requirements For New Operating Licenses."
Actions to improve the safety of nuclear power plants now operating were judged to be necessary immediately after the accident and could not be delayed until the Action Plan was developed, although they were subsequently included in the Action Plan. Such actions came from the Bulletins and Orders issued immediately after the accident, the first report of the Lessons-Learned Task Force issued in July 1979, the recommendations of the Emergency Preparedness Task Force, and the NRC staff and Commission. Before these immediate actions were applied to operating plants, they were approved by the Commission. Many of the required immediate actions have already been taken by licensees and most are scheduled to be complete by the end of 1980.
On February 7, 1980, based on its review of initial drafts of the Action Plan, the Commission approved a listing of near-term operating license (NTOL) requirements, as being necessary but not necessarily sufficient TMI-related requirements, for granting new
operating licenses. Since then, the fuel load requirements on the NTOL list have been used by the Commission in granting operating licenses, with limited authorizations for fuel loading and low power testing, for Sequoyah, Salem, and North Anna.
On May 15, 1980, after review of the last version of the Action Plan, the Commission approved a list of "Requirements For New Operating Licenses", now contained in NUREG-0694, which the staff recommended for imposition on current operating license applicants. That list was recast from the previous NTOL list and sets forth four types of TMI-related requirements and actions for new operating licenses: (1) those required to be completed by a license applicant prior to receiving a fuel-loading and low-power testing license, (2) those required to be completed by a license applicant to operate at appreciable power levels up to full power, (3) those the NRC will take prior to issuing a fuel-loading and low-power testing or full-power operating license, and (4) those required to be completed by a licensee prior to a specified date. The Commission also approved the staff's recommendation that the remaining items from the TMI reviews should be implemented or considered over time to further enhance safety.
In approving the schedules for developing and implementing changes in requirements, the Commission's primary considerations were the safety significance of the issues and the immediacy of the need
for corrective actions. As discussed above, many actions were taken to improve safety immediately or soon after the accident. These actions were generally considered to be interim improvements. In scheduling the remaining improvements, the availability of both NRC and industry resources was considered, as well as the safety significance of the actions. Thus, the Action Plan approved by the Commission presents a sequence of actions that will result in a gradually increasing improvement in safety as individual actions are completed and the initial immediate actions are replaced or supplemented by longer term improvements.
II. COMMISSION DECISION
Based upon its extensive review and consideration of the issues arising as a result of the Three Mile Island accident, the Commission has concluded that the above-mentioned list of TMI-related requirements for new operating licenses found in NUREG-0694 is necessary and sufficient for responding to the TMI-2 accident. The Commission has decided that current operating license applications should be measured against the regulations, as augmented by these requirements.8/ In general, the remaining items of the Action Plan should be addressed through the normal process for development and adoption of new requirements rather than through immediate imposition on pending applications.
III. LITIGATION OF TMI-2 ISSUES IN OPERATING LICENSE PROCEEDINGS
In the November 1979 policy statement, the Commission provided the following guidance for the conduct of adjudicatory proceedings:
In reaching their decisions, the Boards should interpret existing regulations and regulatory policies with due consideration to the implications for those regulations and policies of the Three Mile Island Accident. In this regard, it should be understood that as a result of analyses still underway, the Commission may change its present regulations and regulatory policies in important aspects and thus compliance with existing regulations may turn out to no longer warrant approval of a license application.
The Commission is now able to give the Boards more guidance.
The Commission believes the TMI-related operating license requirements list as derived from the process described above must be the principal basis for consideration of TMI-related issues in the adjudicatory process. There are several reasons for this. First, this represents a major effort by the staff and Commissioners to address an almost overwhelming number of issues in a coherent and coordinated fashion. It is extremely doubtful this process can be reproduced in individual proceedings. Second, the NRC does not have the resources to litigate the entire Action Plan in each proceeding, nor does it believe it would be a responsible decision to do so. Third, many of the decisions involve policy rather than factual or legal decisions. Most of these are more appropriately
addressed by the Commission itself on a generic basis than by an individual licensing board in a particular case. Consequently, the Commission has chosen to adopt the following policy regarding litigation of TMI-related issues in operating license proceedings.
The TMI-related "Requirements For New Operating Licenses" adopted herein can, in terms of their relationship to existing Commission regulations, be put in two categories: (1) those that interpret, refine or quantify the general language of existing regulations, and (2) those that supplement the existing regulations by imposing requirements in addition to specific ones already contained therein. Insofar as the first category -- refinement of existing regulations -- is concerned, the parties may challenge the new requirements as unnecessary on the one hand or insufficient on the other. The Atomic Safety and Licensing and Appeal Boards' present authority to raise issues *sua sponte* under 10 CFR 2.760a extends to this first category.
Insofar as the second category -- supplementation of existing regulations -- is concerned, boards are to apply the new requirements unless they are challenged, but they may be litigated only to a limited extent. Specifically, the boards may entertain contentions asserting that the supplementation is unnecessary (in full or in part) and they may entertain contentions that one or more of the supplementary requirements are not being complied
with; they may not entertain contentions asserting that additional supplementation is required. The boards' authority to raise issues *sua sponte* shall be subject to the same limitations. Past adjudicatory decisions of the Commission have been clear that generally a finding of compliance with the regulations entitles one to the requested permit or license insofar as the requirements of the Atomic Energy Act are concerned.\(^9/\) Accordingly, absent some special showing,\(^10/\) no party has in the past been entitled to litigate matters going beyond NRC regulations before boards. The Commission guidance on litigation of this second category of requirements will thus serve to expand the scope of permissible contentions to include issues as to the necessity for or compliance with certain TMI-related requirements that are supplementary to existing regulations.
In order to focus litigation of TMI-related issues, the Commission instructs its staff to utilize, to the maximum extent practicable, the Commission's existing summary disposition procedures in responding to TMI-related contentions.
The Commission believes that where the time for filing contentions has expired in a given case, no new TMI-related contentions should be accepted absent a showing of good cause and balancing of the factors in 10 CFR 2.714(a)(1). The Commission expects strict adherence to its regulations in this regard.
Also, present standards governing the reopening of hearing records to consider new evidence on TMI-related issues should be strictly adhered to. Thus, for example, where initial decisions have been issued, the record should not be reopened to take evidence on some TMI-related issue unless the party seeking reopening shows that there is significant new evidence, not included in the record, that materially affects the decision.
Separate and dissenting views of Commissioners Gilinsky and Bradford are attached.*
Samuel J. Chalk
Secretary of the Commission
Dated at Washington, D.C.
the 16th day of June, 1980.
* Section 201 of the Energy Reorganization Act, 42 U.S.C. § 5841 provides that action of the Commission shall be determined by a "majority vote of the members present." Commissioner Bradford was not present at this Affirmation session, but had previously indicated his intention to dissent. Had Commissioner Bradford been present at the meeting he would have dissented. Accordingly, the formal vote of the Commission was 3-1 in favor of the decision.
FOOTNOTES
1/ "Staff Requirements - Discussion of Options Regarding Deferral of Licenses," memorandum from Samuel J. Chilk, Secretary to Lee V. Gossick, Executive Director for Operations, May 31, 1979.
2/ "Suspension of 10 CFR 2.764 and Statement of Policy on Conduct of Adjudicatory Proceedings," 44 FR 65050 (November 9, 1979).
3/ "Lessons Learned from TMI-2 Accident," Roger Mattson to NRR staff, May 31, 1979.
4/ Report of the President's Commission on The Accident at Three Mile Island, "The Need for Change: The Legacy of TMI," October 1979;
U.S. Nuclear Regulatory Commission, "TMI-2 Lessons Learned Task Force Status Report and Short-Term Recommendations," NUREG-0578, July 1979;
U.S. Nuclear Regulatory Commission, "TMI-2 Lessons Learned Task Force Status Report," NUREG-0585, August 1979;
U.S. Nuclear Regulatory Commission Special Inquiry Group, "Three Mile Island: A Report to the Commissioners and to the Public," January 1980.
5/ U.S. Nuclear Regulatory Commission, "NRC Views and Analysis of the Recommendations of the President's Commission on the Accident at Three Mile Island," NUREG-0632, November 1979.
6/ U.S. Nuclear Regulatory Commission, "NRC Action Plans Developed as a Result of the TMI-2 Accident," NUREG-0660.
7/ U.S. Nuclear Regulatory Commission, "TMI-Related Requirements for New Operating Licenses," NUREG-0694, June 1980.
8/ Consideration of applications for an operating license should include the entire list of requirements unless an applicant specifically requests an operating license with limited authorization (e.g., fuel loading and low-power testing).
9/ Maine Yankee Atomic Power Company (Maine Yankee Nuclear Power Plant, Unit 2), ALAB-161, 6 AEC 1003 (1973), affirmed, CLI-74-2, 7 AEC 2 (1974), affirmed, Citizens for Safe Power v. NRC, 524 F.2d 1291 (D.C. Cir. 1975).
10/ See 10 CFR § 2.758.
I regard the Action Plan as a directive to the staff from the Commission acting in its supervisory capacity and expect that it will be given appropriate deference by the adjudicatory boards. However, in view of the fact that the Action Plan and the NTOL list are not regulations, and are not the result of a public proceeding, they cannot be given the weight of rules. Nor does the fact that the Commission spent a great deal of time developing the Action Plan change the situation. There were many items to deal with and the Commission did not spend much time on each of them and very little on some. Moreover, as Commissioner Bradford has pointed out, the industry has had extensive opportunities to comment on the Action Plan and to obtain changes, which in almost all cases have resulted in a reduction of the requirements initially proposed by the staff. To now limit litigation to the issues of whether these requirements have been satisfied or are excessive, and to exclude discussion of whether they go far enough, is a manifestly unfair and unwise policy.
To curtail the rights of parties involved in NRC adjudicatory proceedings through the device of a policy statement is, if it is legal at all, a radical act requiring (one would have thought) urgent justification. The justifications advanced in this case amount to no more than a bored yawn toward the concerned public. Specifically, they are: 1) We have worked very hard, and what we have done is too complicated to defend; 2) We are too busy to listen to you, and despite our $400 million annual budget, we can't afford to hear you;¹/ and 3) Because the plan involves "policy" common to all cases rather than to a specific number of them, the public should not be heard on it at all. There are four reasons why the Commission should not be taking this action, even assuming that it has the power to do so.
First, the action embodies precisely the complacency that the Kemeny Commission, among others, suggested as a strong contributing factor to the accident at Three Mile Island. Rather than strengthening the role of the public in NRC proceedings as advocated by both the Kemeny Commission and the NRC's own Special Inquiry Group Report, this action lessens the public's
¹/ The statement that the Commission would have "to litigate the entire Action Plan in each proceeding (policy statement, page 6)" is of course false, and it reveals just how little the Commission understands its own proceedings. The entire Action Plan is not at issue here - only those items not within the reach of current regulations. Furthermore, it is inconceivable that each of those items (or even most of them) would be litigated in every proceeding.
ability to comment on the adequacy of many of the technical responses to Three Mile Island. This attitude that the regulatory agency and the industry between them know best ignores a series of failures in the AEC/NRC licensing history of which Three Mile Island was only the most dramatic example. It is noteworthy that the staff, which did most of the work on which the Commission now relies, did not recommend such a policy statement. It appears that they may briefly have learned more than the Commission.
Second, the action is clearly unfair. One set of prospective litigants - the industry - has been extensively involved in the development of the Action Plan. An industry panel met with the Commission, and the industry has been in constant contact with the staff and in the providing of written comments throughout the process. The plan has never been put out for public comment, and little or no public comment has taken place. However, as a result of the Commission's actions, the only group that will be permitted to contest the questions at issue here will be the industry. Thus, those who have had the greatest say in shaping the Action Plan will now be able to challenge its requirements further, while those who have had no say in shaping it will be foreclosed from challenging the very requirements that they have had no opportunity to comment on.
Third, this action is unnecessary. For one thing, legitimate processes exist through rulemaking for the Commission to develop a document of general applicability. I would not have recommended
it in this case, but such a process would at least have cured the worst of the defects in the Commission action. Furthermore, even without a rulemaking, the Action Plan could have been used to shape the staff position in NRC hearings. As a practical matter, this would have made it a document of considerable influence. In uncontested cases, it would clearly have governed. Intervenors in contested cases would have been taking on a very heavy burden in trying to go against a staff position and convince the Commission to change its mind on a document that it had already approved. However, they would have least had had a chance to prepare a record and to make the attempt.
Fourth, the Commission's action does not lend the desired certainty to the process. For one thing, it is certainly subject to challenge pursuant to *Pacific Gas and Electric Company v. Federal Power Commission*, 506 F.2d 33 (D.C. Cir., 1974). Should such a challenge prevail, the Commission will have lost far more time than it can possibly be saving through the measures taken here.
For another thing, it makes no sense for the Commission to take this action on the eve of the advent of a new Chairman, whose appointment is part of the President's response to Three Mile Island. In order that no party rely unduly on the policy statement at this time, I am hereby giving notice that I intend to seek its reconsideration and revocation upon the arrival of the President's new appointee. It may of course be that no change will occur, but at least the new appointee will have had a voice in choosing a vital policy which he or she must preside over and defend. |
AGENDA
REGULAR MEETING
ROLL CALL:
REVIEW OF MINUTES FOR APPROVAL: Minutes of April 13 & 27, 2010
VISITORS:
1. Mark Hoskins, Developer for the Tuscan Plan, formerly Cobblestone
SOLICITOR’S REPORT:
ENGINEER’S REPORT:
MANAGER’S REPORT:
ASSISTANT MANAGER’S REPORT:
SPECIAL PROJECTS MANAGER REPORT:
CORRESPONDENCE FOR THE BOARD’S INFORMATION:
FINANCIAL CONTROLLER’S REPORT:
FINANCIAL STATEMENT REVIEW: Month ending April 30, 2010
PAYMENT OF BILLS & REQUISITIONS:
OTHER BUSINESS:
1. Adoption of Resolution 04-05-10, for the US Route 19/Valley Brook Project PENNDOT Reimbursement
2. Award Contact 10-S1 BR Headworks HVAC modifications
3. Award Contact 10-S2 BR/DC VFD/DO Probe installations
4. Approval for the purchase of the Data Gator Flow Meter
5. Execution of PENNDOT Reimbursement Agreement (E.McMurray/Center Church)
ADJOURNMENT:
The regularly scheduled meeting of the Peters Township Sanitary Authority was called to order at 7:00 p.m. by the Chairman. Board members present were G. Robert Jacobs, Michael A. Silvestri, and Eric S. Grimm. Also present were Keith Bassi, Solicitor, Jason E. Stanton, Lennon Smith Souleret Engineering, Inc. (LSSE), James J. Miskis, Manager, Mark A. Chucuddy, Assistant Manager, Gary A. Parks, Special Projects Manager, Patricia L. Mowry, Financial Controller and Diane L. Gregor, Administrative Assistant. Mr. David G. Blazek, entered the meeting at 7:30 p.m. Absent from meeting was Terrence G. Byrne, Board Member.
Mr. Eric S. Grimm was appointed by Council to fill the vacancy on the Authority Board on April 26, 2010; his term will expire on December 31, 2013. The Chairman welcomed the new Board Member and began reorganization.
Mr. Jacobs and Mr. Silvestri were nominated for Chairman. Mr. Jacobs received the majority votes and was elected the Chairman.
Mr. Blazek and Mr. Silvestri were nominated for Vice-Chairman. Mr. Blazek received the majority votes and was elected the Vice-Chairman.
Mr. Byrne was nominated for Secretary. Mr. Byrne received the majority votes and was elected the Secretary.
Mr. Silvestri was nominated for Treasurer. Mr. Silvestri received the majority votes and was elected the Treasurer.
Mr. Grimm was nominated for Assistant Secretary-Treasurer. Mr. Grimm received the majority votes and was elected the Assistant Secretary-Treasurer.
**APPROVAL OF MINUTES:**
A Motion was made by Mr. Jacobs to approve the minutes of April 13, 2010 meeting as prepared by Patricia L. Mowry, with minor corrections. The Motion carried unanimously. Minutes are to reflect Mr. Silvestri was not in attendance at the April 13 meeting, and if a member is not present they would abstain from voting on the minutes, however, at the advice of Council and the fact only 3 members are present Mr. Silvestri participated in the vote to approve the minutes.
A Motion was made by Mr. Silvestri and seconded by Mr. Jacobs to approve the minutes of April 27, 2010 meeting as prepared by Patricia Mowry. The Motion carried unanimously.
VISITORS:
1. Mr. Mark Hoskins, of Hoskins Master Builders, Developer for the Tuscany Plan, formerly Cobblestone Plan and Mr. Steve Victor, of Victor – Wetzel Associates, Sewickley, PA
RE: JUSTABOUT ROAD SEWER EXTENSION (COBBLESTONE PLAN/TUSCANY PLAN)
Mr. Miskis gave a brief history of the proposed plan. The Developer’s property is situated beyond several large agricultural properties. The Developer has been unable to obtain rights of way across these properties to extend the public sewer, and had proposed several alternatives since 2004 utilizing the Justabout Road right of way. One alternative was a gravity sewer but the depth was excessive. The second alternative was a temporary pump station. The Authority imposed specific conditions on the pump station alternatives to minimize its operation costs.
Mr. Steve Victor representing the Developer presented a third alternative. The third alternative presented would cross over the road and install the sewer extension in easements on private property on the east side of Justabout. Those property owners are willing to grant the necessary easements. Most of the developed properties would be serviced by gravity with the deepest part at 11.5 feet; however several of the proposed lots would require grinder pumps. The Developer realizes that this is a temporary solution and would grant a permanent easement through the proposed development along the stream to allow the trunk sewer to be extended by the others. The Developer is seeking the Boards opinion in order for him to proceed with finalizing the alternative in order to present to Township Council.
Mr. Miskis indicated the disadvantage of this alternative is that it impedes the orderly development of sewer, however, the sewer extension would abate several septic systems, two of which are suspected of malfunctioning, provide service to the parcel owned by Eddy Homes, and could be extended to serve the majority of properties on Snyder Road (not all) by gravity, and is the best alternative proposed to date. Mr. Silvestri had a concern about additional footage of sewer pipe in the future due to of parallel sewers. The Developer does have the option to install a package plant if this alternative is not approved. Therefore, Mr. Miskis indicated this is a valid plan, and does not have any objections at this point. However, when the Developer submits a formal plan special conditions will apply to the land bride crossing. The Board had a consensus for the Developer to continue with the proposed alternative.
Mr. Hoskins and Mr. Victor thanked the Board and Management and left the meeting at 7:35 p.m.
SOLICITOR’S REPORT:
Mr. Bassi reported on the ongoing matter with the Quail Run Homeowner’s Association and the homeowners from the Quail Run/Scott Lane area for failure to take the agreed upon corrective action to address the defects in several of the building sewers that are allowing excessive infiltration to enter the sewers. A Hearing was held May 10, 2010 and District Justice Ellis placed the complaint on hold for 30 days in order for Homeowners’ and the Homeowner’s Association to resolve their differences. If the issue is not resolved after the 30-days the District Justice will make a ruling on the responsible party and establish a time line to repair the defects.
Mr. Bassi reported the Developer Wadwell Group and Contractor, Alton Industries for the Spring Meadows Plan Phase 2 provided the 18-month maintenance bond which included the terms and
conditions as set forth in the Assignment and Assumption Agreement that approved by the Board on April 13, 2010.
Mr. Bassi reported the Authority received notification from the Laborers’ District Council of Western Pennsylvania regarding the financial status of the Local 1058 Union Pension Plan. The notification indicated the pension plan is currently under funded and the Plan has been deemed by the actuaries to be in critical status. The Laborers’ District Council was required to file a corrective action plan, which states for a period of ten years contributions are required to increase annually. For 2011 the increase will be 12% and the remaining nine years will be 11% annually. Mr. Bassi has begun to research the Authority’s obligation and recommended not taking any action at this time until he has more time to make a formal recommendation. Further discussions of this matter will be at the May 25, 2010 Board meeting.
**ENGINEER’S REPORT:** Copy on file
Mr. Stanton is assisting Management with a supporting documentation required for the Authority’s participation in Allegheny Power’s Watt Watcher rebate program for the VFD installations at the Brush Run and DC treatment plants.
Mr. Stanton reported the DC treatment plant site expansion Phase I Archaeological request for proposals were sent out and proposals are due in early June for award at the June meeting.
Mr. Stanton reported the Act 537 Plan for the Donaldson Crossroads WPCP will be submitted to the Township on May 14, 2010. Revised pages will be provided to the Board and Management prior to the submission.
Mr. Stanton reported on the design for the PaDOT US Route 19 “Also Plans” project is being finalized. The project is expected to be bid in December 2010. LSSE and Management recommended using the PaDOT Contractor for the Authority’s portion of the project. There is a risk of higher pricing, but the advantage would be improved coordination and eliminate the possibility of one contractor delaying the other. Mr. Stanton recommended approval of the resolution required by PaDOT that grants the Chairman authority to execute documents associated with the reimbursement of costs incurred in relocating the sanitary sewer line.
A Motion was made by Mr. Blazek and seconded by Mr. Silvestri to adopt Resolution No. 04-05-10 authorizing the Chairman to execute the Utility Reimbursement Agreement for the PaDOT US Route 19/Valley Brook Project for 85.92% of all costs incurred in relocating the sanitary sewer line. The Motion carried unanimously.
Mr. Stanton reported he and Management attended a final utility coordination meeting on May 7, 2010 with PaDOT for the East McMurray and Center Church Intersection Improvements. The Board executed the PaDOT reimbursement agreement for the East McMurray and Center Church Road. PaDOT will be reimbursing the Authority 100% of cost incurred in relocating the sanitary sewer line.
Mr. Stanton reported the Brush Run WPCP Headworks Building HVAC Modifications re-bid opening was held on May 4, 2010 and two bids were received. Mr. Stanton reported the bid process did not include solicitation of Disadvantaged Business Enterprise (DBE) which is a grant agreement requirement. Mr. Stanton recommended rejecting the bids received and re-bidding the project to include all the grant agreement requirements.
Mr. Stanton reported the Brush Run and Donaldson Crossroads WPCP DO Probes and VFD Installations re-bid opening was held May 4, 2010 and two bids were received. Mr. Stanton reported the bid process did not include solicitation of Disadvantaged Business Enterprise (DBE) which is grant agreement requirement. Mr. Stanton recommended rejecting the bids received and re-bidding the project to include all the grant agreement requirements.
A Motion was made by Mr. Silvestri and seconded by Mr. Grimm to reject bids for the Brush Run and Donaldson Crossroads DO Probes and VFD Installations and Brush Run WPCP Headworks Building HVAC Modifications for the energy improvements project and to re-bid project with the bid opening scheduled for June 17, 2010. The Motion carried unanimously.
**MANAGER’S REPORT**: Copy on
Mr. Miskis reported the Brush Run WPCP density current baffle installation was completed in both clarifiers during April, and the baffles appear to improve performance measurably.
Mr. Miskis reported during April the Authority arranged with a local vendor to provide a demonstration flow meter of the model called Datagator at the DC Plant. The intent was to conduct a side by side evaluation of both the Datagator meter and the existing meter, but when the existing meter’s sensor was removed for calibration it started to perform erratically, and its data could not be relied on. The Datagator provides a very stable and consistent reading over the 10 days evaluated. Management recommends procurement of the Datagator meter. The price quoted is $9,720, which includes the flume, the flows metering system, and software. The device is a patented device and the sole source for the equipment is the manufacturer, who is also the patent holder.
A Motion was made by Mr. Blazek and seconded by Mr. Grimm to approve the purchase of the Datagator in the amount of $9,720.00. The Motion carried unanimously.
Mr. Miskis reported Senator Pippy met with Management. Some of the items discussed included the proposed tertiary treatment standards for nutrients, grant assistance and support for our Valley View sewer extension project, proposed regulations establishing State Auditor General oversight of municipal authorities which he supports, and the status of Senate Bill No. 205. Mr. Miskis reported Senator Pippy is a primary sponsor of SB No. 205, if the bill is approved it would allow the use of public money to address for private lateral problems, which would be essential for the Authority in managing wet weather flow.
Mr. Miskis reported the annual facility tour for the Board members will be held on May 17, 2010 from 2:00p.m. To 4:00p.m.
Mr. Miskis reported the electrical deregulation rate caps will expire on January 1, 2011. Management has been communicating with several independent brokers in order to obtain the best power pricing. Management attended a Peters Township Chamber of Commerce seminar regarding an aggregated buying pool. The Chamber has engaged OnDemand Energy Solutions, an energy consultant, to create an aggregated pool that all Chamber members in the Allegheny Power territory can participate. Mr. Miskis recommended becoming a Peters Township Chamber member in order to participate in this program.
Mr. Miskis reported Oakdale Construction completed several of the simpler repairs for the Hidden Brook Development. The Developer has reimbursed the Authority for all expenses to date. All of the repairs have not been completed and Management intended to get an extension on the Letter of
Credit, however the bank has declined that request. The Developer requested the Authority accept a restricted escrow account in the required amount in place of a Letter of Credit. The Board agreed to accept the escrow account upon execution of a satisfactory agreement approved by the Solicitor.
Mr. Miskis reported the progress meeting with CET Engineering Services was held via internet in regards to the design for the Brush Run WPCP Wet Weather Optimization Project.
Mr. Miskis presented an overview of significant points for the meeting with Council regarding the inspection of the building sewers at time of real estate transfer for the purpose of having defective sewers repaired to eliminate infiltration. A Workshop with the Township Counsel is scheduled for June 7th at 7:30 p.m. at the Township building.
**ASSISTANT MANAGER’S REPORT:** Copy on file
Mr. Chucuddy reported according to the PA safe Drinking Water Act and the Occupational Safety and Health Standards, PA American water is required to report that all backflow prevention devices on all nonresidential dwellings are tested annually by a “certified” tester. Mr. Chucuddy reported none of our employees are certified and has begun to look into obtaining training and certifications for one or more of our employees. In the meantime A.J. Buerkle Plumbing was retained to perform the testing.
Mr. Chucuddy gave a brief history on issues with the sanitary sewer on 190 Gateshead Drive. The Authority inadvertently sealed the wye connection believing the wye was not serving any building. Mr. Chucuddy recommended approval of reimbursement to the homeowner in the amount of $1,008 for cost incurred for repair of the sewer line. The Board approved the request.
Mr. Chucuddy reported notification has been given to the General Contractor for the Administration Building regarding replacement of trees that died.
Mr. Chucuddy recommended for safety reasons the replacement of the chlorine room double doors at the Brush Run WPCP for a cost of $1,650. The Board concurred.
**SPECIAL PROJECTS MANAGER’S REPORT:** Copy on File
**CORRESPONDENCE FOR THE BOARD’S INFORMATION:** Copy on file
**FINANCIAL CONTROLLER’S REPORT:** Copy on file
**FINANCIAL STATEMENT REVIEW:** Month ending April 30, 2010.
**PAYMENT OF BILLS & REQUISITIONS:** Copy on File
A Motion was made by Mr. Silvestri and seconded by Mr. Blazek to approve disbursements in the amount of $664,324.11 from the following funds:
| Fund | Disbursement | Total |
|------------|---------------------------------------------------|-----------|
| Operating | Checks: 18348-18438 | $267,699.68 |
| Payroll | Transfer from Operating to Payroll fund | $60,000.00 |
| Operating | Annual Transfer to CIRF per Trust | $140,000.00 |
The Motion carried unanimously.
**OTHER BUSINESS:**
Motion was made by Mr. Silvestri and seconded by Mr. Blazek to adjourn the meeting at 10:17 p.m. The Motion carried unanimously.
Respectfully Submitted,
Patricia L. Mowry
| MOTION NO. | MOVED | SECOND | MOTION SUMMARY TABLE | VOTE |
|-----------|---------|---------|--------------------------------------------------------------------------------------|------|
| 1 | Jacobs | Silvestri | Approve Minutes of the April 13th 2010 meeting | Approved |
| 2 | Silvestri | Jacobs | Approve Minutes of the April 27th 2010 meeting | Approved |
| 3 | Blazek | Silvestri | Approve Resolution No. 04-05-10 for the US Route 19 / Valley Brook Project PENNDOT Reimbursement | Approved |
| 4 | Silvestri | Grimm | Reject bids for Brush Run and Donaldson Crossroads WPCP DO Probes and VFD installations and Brush Run WPCP Headworks Building HVAC Modifications for the Energy Improvements Project | Approved |
| 5 | Blazek | Grimm | Approve purchase of Datagator in the amount of $9,720.00 | Approved |
| 6 | Silvestri | Blazek | Approve disbursements in the amount of $664,324.11 | Approved |
| 7 | Silvestri | Blazek | Adjourn the Meeting at 10:17 p.m. | Approved | |
“Volunteers Give Time – Touch Lives” was the theme of this year’s Volunteer Recognition Program. More than 100 enjoyed the vocal talents of Jill Sutherland accompanied by guitarist, David Erickson. The evening was a perfect opportunity to thank the many volunteers who gave of their time and talents throughout the year. The program began with a welcome by Joan Launer, Community Events Coordinator. Liz Hoppenworth, Director of Resident Services, expressed appreciation to all the volunteers for their service and acknowledged their nearly 10,000 hours of volunteer time provided this past year.
The highlight of the evening was the presentation of the resident and community Oak Leaf Awards. These awards are presented on the basis of number of hours and the impact of service.
This year the Resident Volunteer Oak Leaf Award was presented to Gayle Thistlethwaite. Gayle has been a resident since 2002 and has spent countless hours in the Oak Crest library where she organizes and shelves books and assists patrons with selections and is instrumental in the coordination of the Oak Crest Book Sales. This year the sale generated nearly $300, with proceeds benefitting the library inventory. Most notably is the amount of time and attention she provides to her fellow residents with visits and her willingness to lend a helping hand.
This year’s Community Volunteer Oak Leaf Award was presented to Linda Rodgers. Linda is a former Oak Crest employee who after seventeen years of service to the community turned around and returned to work the same day wearing the hat of a volunteer. Linda’s volunteering duties are far-reaching and so appreciated. She comes each week and assists with the scheduling of new volunteer orientations and programming, volunteers in the Shoppe, assists with Christmas decorating and welcomes new tasks and opportunities. Her energy is boundless and her level of commitment to the organization and residents makes her a true asset to the community.
Oak Crest volunteers assist with many activities, programs and special events. New volunteers are welcome to become involved and to feel the sense of fulfillment that comes from giving to others. Flexible and personalized volunteer opportunities are available; call Joan Launer at (815)756-8461 or email@example.com.
Studies have shown that children raised in an environment that embraces and encourages volunteerism have a greater tendency to share their time and talents throughout life. Make this the summer you instill in your children a spirit of service. Come and experience all that Oak Crest has to offer. Think about joining your children and experience the sense of fulfillment that comes from giving to others. We offer volunteer opportunities for people of all ages. Whatever your talents, we can tailor a program to fit your schedule and interests. The volunteer opportunities and possibilities are endless. To learn more about volunteering contact Joan Launer at (815) 756-8461 or e-mail firstname.lastname@example.org
Oak Crest is looking for a full-sized pick-up truck for donation or purchase. Please contact Stephen Cichy at (815)756-8461 or email@example.com
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**Board of Trustees**
Tim Beasley
Mike Harden
Rev. Joseph Gastiger
Jack Goodrich
Karen Grush
Josh Huseman
Rev. Paul Judd
Carol Larson
Dave Louis
Karen Manning
Linda Mason
Mary Jo McAdams
Rev. Young-Mee Park
Brian Scholle
Kathy Spears
Dick Stokke
Dr. Paul Stromborg
Ann Tucker
Wendy West-Krauch
Executive Director
Stephen Cichy
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**Calendar of Events**
Sat., June 18 2:00 pm “Wedding Revue”
Thurs., July 14 7:00 pm “Summer Fun” Ice Cream Social
Fri., July 24 7:00 pm Open Mic Night
Sat., August 13 7:00 pm “Vacation Destination” Trivia Night
Sat., Sept. 24 10am-2:30pm Annual Art and Craft Fest
**Summer School Series**
Tues., July 12 2:00 pm Interior Design
Tues., July 26 2:00 pm Wellness Lifestyle
Tues., Aug. 9 2:00 pm Estate Sale Planning
Tues., Aug. 23 2:00 pm Antiques
**Trips & Excursions**
Fri., July 15 Chicago Garden Trip
Sat., July 16 “Book of Mormon” — Chicago
July 20-22 Mississippi River Cruise
Sun., July 31 Chicago Tall Ships at Navy Pier
Sept. 9-17 Canada/New England Cruise
Dec. 5-9 Branson Holiday Show
For information Contact Joan Launer at (815)756-8461 or firstname.lastname@example.org.
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**Mission Statement**
The DeKalb Area Retirement Center is a faith based not-for-profit community serving people 62 years and older through a continuum of services enhancing an individual’s quality of life.
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**Art & Craft Fest**
Mark your calendars and join your family and friends on Saturday, Sept. 24th, 10:00 a.m. to 2:00 p.m. for this annual event. Art and Craft participants and volunteers are welcomed. Vendor applications are available by contacting the Oak Crest main office. For additional information or to volunteer contact Joan Launer, Community Events Coordinator, email@example.com , (815)756-8461.
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**Ice Cream Social**
Mark your calendar for our annual “Summer Fun” Ice Cream Social — Thursday, July 14th, 7:00 p.m.
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**Truck**
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**Building For Tomorrow**
Since opening in 1980 Oak Crest has enjoyed a wonderful history of providing quality services to the community. Recognized nationally as one of the first communities in Illinois accredited by the Commission for the Accreditation of Retirement Facilities (CARF), the Center has enjoyed a long history and a strong demand for retirement living. This demand has led to this current project. Executive Director Stephen Cichy said, “As a service-driven not-for-profit community, we are looking forward to the completion of our new Independent Living Addition and Wellness Center. In the past, the demand for larger apartment homes resulted in long waiting periods. This new project will expand our ability to serve the community now and in the future.”
Apartment interest and reservations have exceeded expectations. Now is the perfect time to come out and see what all the excitement is about. Oak Crest is located at 2944 Greenwood Acres Drive, DeKalb. Individuals interested in hearing more about this next chapter in Oak Crest history should contact Liz Hoppenworth at (815)756-8461 or firstname.lastname@example.org.
Dear Friends,
As chairperson of the Community Relations Committee of the Board of Trustees, I take this opportunity to thank all of you who graciously continue to support the Good Samaritan Fund.
So far this year in support of those individuals who have outlived their financial resources, the Circle of Care Campaign has generated $45,000 in cash contributions and pledges! Our goal is $60,000. If you have not already made your contribution, please consider it now. We look forward to hearing from you.
Truly, it is through your continued generosity and support that Oak Crest’s commitment of quality care and services continues.
Many thanks,
Ann Tucker
Vice President
To say there is never a dull moment at Oak Crest would be an understatement. In addition to the many and varied events, programs and activities occurring on the campus and the day to day workings of a thirty-one acre campus that serves 265 individuals and employs 245 staff we are devoting a great deal of time and attention to the progress being made on our new three-story independent addition. To date, we have seen the building fully constructed, the indoor pool and wellness center well underway, and individual apartments nearing completion. The last year has been an exciting one, and we are encouraged by the interest that has been shown by the many people who have inquired about making Oak Crest their home. In fact, we have seen a stronger interest to date than we had earlier estimated. As this newsletter goes to press, we have commitments on twenty of the twenty-four units. There is, however, an additional and exciting aspect of the expansion project and that is our Memorial Gifts Program. Throughout our lives we have known people who have made an impact on the people around them and their community. Whether a family member, a friend or business associate, a memorial tribute can be a wonderful way to salute those whose memories continue to enrich our lives. To this end, the Memorial Gifts Program is being developed by the Oak Crest Board of Trustees. This program will enable individual donors to give a gift that says, “I remember.”
General memorial gifts range from $1000 – $5000 and will be honored with a plaque recognizing the selected individual. Recognition of memorial gifts of greater amounts will be placed at specific sites throughout the addition. For example, a gift of $15,000 may be recognized at one of the new elevators, a $25,000 gift may be recognized in the new Resource Room, and a gift of $100,000 may be recognized in the new Bistro or as part of the new Wellness Center. This is an excellent way to remember someone dear to you and also a wonderful opportunity to assist the Center and create a legacy for future generations.
As a not-for-profit organization, your gifts are so important to the many people who make Oak Crest their home and your continued support is invaluable. As always, gifts to the Center are tax deductible and are always appreciated. There is a saying, “We make a living by what we get. We make a life by what we give.”
For more information about the Oak Crest Memorial Gifts Program and creating a Legacy of Giving, please contact me personally.
Stephen P. Cichy
Executive Director
Residents, family and friends enjoyed our 36th anniversary dance complete with music provided by “Jazz in Progress.” For many years the dance has been the highlight of the spring season and made possible thanks to the planning and effort of the Sycamore High School Key and Interact Clubs.
Residents Bob Brayfield and Jane Randolph are looking forward to their new roles, including taking to the road with appearances at community events and programs. Oak Crest extends heartfelt congratulations to the 2016-2017 Oak Crest King and Queen.
Residents, family and friends enjoyed our 36th anniversary dance complete with music provided by “Jazz in Progress.” For many years the dance has been the highlight of the spring season and made possible thanks to the planning and effort of the Sycamore High School Key and Interact Clubs.
Seven Oak Crest residents ranging in age from 100 – 107 and representing 718 years of life experiences were honored at a tea celebrating their milestone birthdays. One honoree was quoted as saying, “The first hundred years have been a blast, I can’t wait to see what the next hundred years bring!”
Tuesday, July 12, 2:00 p.m. “Interior Design – Your Space, Your Style” Stephanie Deckro
• Science of Color
• Scale Down, Style Up
• Repurposing with a Purpose
Tuesday, July 26, 2:00 p.m. “Developing a Wellness Lifestyle” David Benner
• Balance
• Strength and Flexibility
• Memory Workout (participation opportunity)
Tuesday, August 9, 2:00 p.m. “Estate Sale Planning” – Pam Fairre
• Taking an Inventory
• Making a Plan
• Sort, Save, Sell
Tuesday, August 23, 2:00 p.m. “Identification and Care of Antiques” Steve Reid
• Antiques, Reproductions and Fakes
• Evaluation and Authentication
• Preservation
Seating is limited. Please call and register today – (815)756-8461 |
EFFECT OF SUBSTRATE ON SETTLEMENT BEHAVIOUR, DEVELOPMENT, GROWTH, AND SURVIVAL OF AMERICAN LOBSTER POSTLARVAE, AND EVIDENCE THAT MUD BOTTOM CAN SERVE AS SECONDARY NURSERY HABITAT
by
Kristin M. Dinning
Honours Bachelor of Science, Dalhousie University, 2010
Honours Bachelor of Science, McMaster University 1997
A Thesis Submitted in Partial Fulfillment
of the Requirements for the Degree of
Master of Science
in the Graduate Academic Unit of Biology
Supervisor: Rémy Rochette, Ph.D., Biology
Examining Board: John Tremblay, Ph.D., Biology
Lucy Wilson, Ph.D., Geology
This thesis is accepted by the
Dean of Graduate Studies
THE UNIVERSITY OF NEW BRUNSWICK
February, 2014
©Kristin Dinning, 2014
ABSTRACT
Postlarval American lobsters, *Homarus americanus*, prefer settling onto a cobble substrate and delay settling onto other substrates. Using tanks lined with cobble, mud, or sand, I found that postlarvae settled first onto cobble, second onto mud, and last onto sand. Furthermore, postlarvae moulted sooner on cobble than on mud, and sooner on mud than on sand. The longest delay of settlement, over large, sand-lined tanks, resulted in reduced carapace length and mass at the next moult in comparison to postlarvae which settled earlier onto mud or cobble. The costs of delaying settlement could encourage settlement onto less-preferred substrates when cobble is unavailable. Accordingly, I deployed passive collectors onto mud habitat in Maces Bay, NB, Bay of Fundy. These collectors were colonized by juvenile lobsters ranging in size from young of the year up to adolescents. Consequently, I identify mud habitat as an overlooked nursery habitat for American lobster settlement and early life history.
ACKNOWLEDGEMENTS
I wish to thank my supervisor Rémy Rochette for his guidance and encouragement and for lifting 200 pound collectors into a wet boat in November. I am also grateful for the insightful feedback from my academic committee members: Jeff Houlihan, Heather Hunt, and Peter Lawton. The Coastal Zone Research Institute and Homarus Inc. provided lobster postlarvae for all my laboratory experiments, and Martin Mallet, Dounia Daoud, and Rémy Haché provided expert advice on their care. Julien Gaudette, the St. Andrews Biological Station, and the Huntsman Marine Science Centre provided laboratory facilities, while the captain and crew of the Fundy Spray ensured our field study ran smoothly. Peter Lawton and Michelle Greenlaw provided invaluable advice on site selection for the field study in Maces Bay, and Connie Browne created the map of my study site. As well, this research could not have succeeded without the talents and assistance of several technicians, MJ Maltais, Don Scott, Dave Needler, and Kelly Cummings-Martel, who helped build the laboratory apparatus, fixed it again when I broke it, and kept the lab from flooding. Also, I am indebted to the graduate and undergraduate students of the Rochette and Hunt labs for their help in removing pinching lobsters from snow-covered collectors in November. Funding was provided by an NSERC Canada Graduate Scholarship to K. Dinning and by NSERC and NBIF grants to R. Rochette.
# Table of Contents
**ABSTRACT** .......................................................................................................................... ii
**ACKNOWLEDGEMENTS** ..................................................................................................... iii
**Table of Contents** .............................................................................................................. iv
**List of Figures** .................................................................................................................... vi
**List of Abbreviations** ......................................................................................................... ix
**Introduction** ....................................................................................................................... 1
- Larval and juvenile early development, growth, and behaviour ........................................ 1
- Preferences for different habitats ....................................................................................... 4
- Energetic considerations in the search for shelter ............................................................... 5
- Secondary habitats ............................................................................................................. 6
**Methods** ............................................................................................................................. 10
- Postlarvae and general laboratory setup ........................................................................... 10
- Experiment 1: Individually monitored settlement in 1-L jars ........................................... 12
- Statistical analyses ........................................................................................................ 13
- Experiment 2: Group monitored settlement in 30-L tanks ............................................... 14
- Statistical analyses ........................................................................................................ 16
- Experiment 3: Group monitored settlement in 600-L tanks ............................................. 17
- Statistical analyses ........................................................................................................ 19
- Maces Bay field experiment .............................................................................................. 21
- Description of Maces Bay study site ............................................................................. 21
- Collector deployment .................................................................................................... 23
- Statistical analyses ........................................................................................................ 26
**Results** ............................................................................................................................. 28
- Experiment 1: Individually monitored settlement in 1-L jars ........................................... 28
- Swimming behaviour ..................................................................................................... 28
- Post-moult survival and morphometrics ........................................................................ 28
- Experiment 2: Group monitored settlement in 30-L tanks ............................................... 30
- Swimming behaviour ..................................................................................................... 30
- Post-moult survival and morphometrics ........................................................................ 33
- Experiment 3: Group monitored settlement in 600-L tanks ............................................. 35
- Swimming behaviour ..................................................................................................... 35
- Post-moult survival and morphometrics ........................................................................ 40
- Maces Bay field experiment .............................................................................................. 43
- Size frequency distribution of lobsters in collectors ..................................................... 44
- Mean number of lobsters caught in collectors ............................................................... 46
**Discussion** ........................................................................................................................ 48
- Settlement delay in the laboratory .................................................................................... 48
Settling postlarvae and early benthic phase lobsters exhibit substrate preferences ................................................................. 48
Lobster preference for a substrate reflects the habitat quality of the substrate ................................................................. 51
The costs of delayed settlement .................................................. 52
Mechanisms underlying developmental and growth costs of delayed settlement ................................................................. 59
Mud substrate as juvenile habitat in Maces Bay ............................. 61
Settlement onto cobble and mud bottom ........................................ 63
Use of mud bottom by early benthic phase juveniles ....................... 65
Conclusion .................................................................................. 69
References .................................................................................. 74
Curriculum Vitae
List of Figures
Figure 1: Locations of the five study sites in Maces Bay, Bay of Fundy, New Brunswick. Black dots indicate individual collectors, while open symbols indicate seafloor substrate identified by sediment grabs or video survey: mud O, rock Δ, and sand □. 26
Figure 2: Mean (± 95% CI) time lobster postlarvae took to moult to stage V in cobble-lined, mud-lined, sand-lined, or bare 1-L jars (sample sizes shown above error bars). Different letters indicate significantly different means (p < 0.05) identified by Wilcoxon Rank-Sum post hoc tests with Bonferroni adjustment of p-values. 29
Figure 3: Mean increment (± 95% CI) in carapace length ● and mass ○ of lobster postlarvae after moult to stage V over cobble-lined, mud-lined, sand-lined, or bare 1-L jars (sample sizes shown above error bars). Different letters indicate significantly different mean mass increments (p < 0.05) identified by Wilcoxon Rank-Sum post hoc tests with Bonferroni adjusted p-values. 30
Figure 4: Mean proportion of lobster postlarvae swimming over cobble-lined, mud-lined, sand-lined, or bare 30-L tanks (n = 5 tanks per treatment); observations were made every 15 minutes in each tank, averaged twice daily and then these values were averaged across replicate tanks. 32
Figure 5: Mean percent survival (± 95% CI) of lobster postlarvae to stage V over cobble-lined, mud-lined, sand-lined, or bare 30-L tanks (n = 5 tanks per treatment). 33
Figure 6: Mean number of days (± 95% CI) before lobster postlarvae moulted to stage V over cobble-lined, mud-lined, sand-lined, or bare 30-L tanks (n = 5 tanks per treatment). Different letters indicate significantly different means (p < 0.05) identified by Tukey HSD post hoc tests.
Figure 7: Mean (± 95% CI) carapace length ● and mass ○ after lobster postlarvae moulted to stage V over cobble-lined, mud-lined, sand-lined, or bare 30-L tanks (n = 5 tanks per treatment).
Figure 8: Mean proportion of lobster postlarvae swimming over cobble-lined, mud-lined, or sand-lined 600-L tanks (n = 4 tanks per treatment) observed twice daily.
Figure 9: Relationship between time for 100% of lobster postlarvae in a tank to leave the water column and their (A) mean time until moult, (B) mean post-moult carapace length, and (C) mean post-moult mass. The 600-L tanks (n = 4 per substrate treatment) were lined with cobble ●, mud ●, or sand ○.
Figure 10: Mean percent survival (± 95% CI) of lobster postlarvae to stage V over cobble-lined, mud-lined, or sand-lined 600-L tanks (n = 4 tanks per treatment).
Figure 11: Mean (± 95% CI) time lobster postlarvae took to moult to stage V over cobble-lined, mud-lined, or sand-lined 600-L tanks (n = 4 tanks per treatment). Different letters indicate significantly different means (p < 0.05) identified by Tukey HSD post hoc tests.
Figure 12: Mean (± 95% CI) carapace length ● and mass ○ of lobster postlarvae after moult to stage V over cobble-lined, mud-lined, or sand-lined 600-L tanks (n = 4 tanks per treatment). Different letters indicate significantly different means (p < 0.05) identified by Tukey HSD post hoc tests.
Figure 13: Plots showing (A) the size frequency distributions and (B) the cumulative size frequency distributions of lobsters caught in collectors in Maces Bay. No Name Rock and Pocologan Rock were pooled into an area named “Pooled Rock”, while North Mud and South Mud were pooled into an area named “Pooled Edge Mud”. To exclude recent settlers, only individuals with ≥13 mm carapace length were analyzed.
Figure 14: Mean (± 95% CI) number of lobsters caught per collector in Maces Bay. Size groupings are based upon Lavalli and Lawton’s (1996) behavioural life history phases with the exception of their shelter-restricted (5-14 mm CL) phase. Juveniles < 13 mm CL, representing young of the year, were analyzed separately and juveniles 13-14 mm CL were combined into the emergent juveniles group (13-25 mm CL). No Name Rock and Pocologan Rock were pooled into an area named “Pooled Rock”, while North Mud and South Mud were pooled into an area named “Pooled Edge Mud”. Different letters indicate significantly different means identified by Wilcoxon Rank-Sum post hoc tests with Bonferroni correction.
| Abbreviation | Description |
|--------------|-------------|
| ANOVA | analysis of variance |
| CL | carapace length |
| CI | confidence interval |
| EBP | early benthic phase juvenile (< 40 mm CL) |
| SCUBA | self-contained underwater breathing apparatus |
| SD | standard deviation |
| SE | standard error |
| TAG | triacylglycerol |
| Tukey HSD | Tukey honest significant difference |
| YOY | young of the year |
Introduction
The American lobster, *Homarus americanus*, is a commercially important crustacean found in the western Atlantic Ocean from North Carolina to Newfoundland (Cooper and Uzmann 1977). The species supports the single most valuable fishery in Atlantic Canada, grossing over $600 million in 2011 (DFO 2012). For the past 30 years, landings by the fishery, which are often used as a proxy for population size (DFO 2007, DFO 2012), have been increasing across many parts of the lobster’s range in Canada and the United States of America (FAO n.d.). This has been attributed to various factors including increased juvenile survival owing to decreased populations of predators and decreased predator body sizes from overfishing, improved lobster conservation measures, and the benefits (in cold water areas) of increasing water temperature (Acheson and Steneck 1997, Boudreau and Worm 2010, Steneck and Wahle 2013). In addition to increased landings, there has been a concurrent steady recruitment of juveniles to some populations, through high settlement, although in recent years this may be slowing (Pershing *et al.* 2012).
*Larval and juvenile early development, growth, and behaviour*
Larval lobsters are released from a female as a stage I larva, and spend the early part of their life swimming in the upper water column (Scarratt 1973, Harding *et al.* 1987) where they develop through three additional moults. At each moult, the animal undergoes minor anatomical changes and increases in size (Charmantier *et al.* 1991). The duration of each stage (development rate), and the post-moult size increment (growth rate), are influenced by an interplay of environmental factors such as food,
temperature, salinity, light, and chemicals (Templeman 1936, Carlberg and Van Olst 1976, Aiken et al. 1981, Eagles et al. 1986, MacKenzie 1988) as well as biological factors such as injury (Cheng and Chang 1993) and conspecific density (Cobb 1970, Cobb and Tamm 1974, Aiken and Waddy 1978). The most striking morphological modifications occur at the fourth moult into stage IV, when the larva adopts the adult body form. Accordingly, the fourth moult represents metamorphosis of the larva and the resultant individual is termed a postlarva (Charmantier et al. 1991).
In addition to morphological changes, a stage IV postlarva begins to alter its behaviour in various ways (Charmantier et al. 1991). As with earlier stages, postlarvae initially swim at or near the water’s surface (Ennis 1975, Cobb et al. 1983, Harding et al. 1987). However, after several days, postlarvae begin performing dives to the bottom and spend relatively more time swimming near the bottom of the water column than near the surface (Cobb et al. 1983, Cobb et al. 1989). When a postlarva encounters the seafloor on a dive, the animal will explore the seabed looking for shelter. Exploring involves probing among the crevices of hard substrates, or probing, fanning, and digging in sedimentary substrates (Pottle and Elner 1982, Wahle 1992). If the postlarva locates a suitable shelter, the individual will occupy it and begin its benthic existence, otherwise the lobster re-enters the water column and resumes swimming (Cobb et al. 1983). It is unknown how long postlarvae in the wild will delay settlement, but it is exceedingly uncommon to see stage V or older juveniles swimming in the water column (Herrick 1911; Templeman 1940, Templeman and Tibbo 1945, as cited by Lavalli and Lawton 1996); thus, stage IV of the lobster’s life typically marks the animal’s transition from a
planktonic life in the water column, to its final, settled life on the seafloor (Scarratt 1973, Cobb et al. 1989).
While leaving the water column and exploring the bottom, young lobsters are highly vulnerable to predation and may be attacked very quickly by predators (Wahle and Steneck 1992, Ball et al. 2001, Sigurdsson and Rochette 2013). Thus, shelter is essential to protect young lobsters from predation (Lavalli and Barshaw 1986, Johns and Mann 1987, Barshaw and Lavalli 1988, Wahle and Steneck 1992) and also helps to protect small lobsters against water currents (Howard and Nunny 1983, Johns and Mann 1987). Over a period of months to years, lobsters gradually outgrow many of their predators (Wahle and Steneck 1992) and eventually venture farther from shelter, probably to satisfy their growing nutritional demands and changing diet (Sainte-Marie and Chabot 2002). This has led Lavalli and Lawton (1996) to propose five broad life history phases for settled lobsters. These phases and approximate size ranges are based largely upon ontogenetic behavioural changes observed in the laboratory and to a lesser extent in the field. Shelter restricted juveniles are lobsters with a carapace length (CL) of 4-14 mm, which are believed to never leave shelter (Roach 1983, Barshaw and Bryant-Rich 1988); these animals are thought to initially consume plankton brought into the shelter on currents generated by the individual (Barshaw and Bryant-Rich 1988, Lavalli and Barshaw 1989), and subsequently they may ambush prey at the shelter entrance (Barshaw and Bryant-Rich 1988), and scavenge items from larger lobsters’ prey (Saint Marie and Chabot 2002). Emergent juveniles (15-25 mm CL) spend most of their time sheltered but make brief, short forays outside shelter, presumably to forage. Vagile juveniles (25-40 mm CL) also continue to use shelter but venture farther abroad.
Collectively, these three shelter-associated phases (all < 40 mm CL) are referred to as early benthic phase (EBP) lobsters (Wahle and Steneck 1991). Adolescents and adults (approximately ≥ 40 mm CL) still use shelter, but are commonly found out in the open as well (Wahle and Steneck 1991). Thus, shelter is an important part of the lobster’s life history, particularly early after settlement and probably for the first 1-5 years of life.
**Preferences for different habitats**
Postlarval and early benthic phase lobsters exhibit substrate preferences in selecting the habitat they occupy (Botero and Atema 1982, Pottle and Elner 1982, Wahle and Steneck 1992), and these preferences likely reflect the relative shelter-providing qualities of each substrate. Both laboratory experiments (Botero and Atema 1982, Wahle and Steneck 1992) and field observations (Wahle and Steneck 1991) confirm that postlarval and early benthic phase lobsters prefer rocks corresponding to cobble on the Wentworth Scale of rock grades (Wentworth 1922). Spaces between cobbles provide ready-made and relatively sturdy shelters (Botero and Atema 1982, Pottle and Elner 1982, Wahle and Steneck 1991), and lobsters can also remove sediment from under cobbles to produce a shelter underneath (Berrill and Stewart 1973). Both laboratory and field studies indicate cobbles produce a structurally complex, three-dimensional habitat, and offer the best protection against predators (Lavalli and Barshaw 1986, Barshaw and Lavalli 1988, Wahle and Steneck 1992, Barshaw *et al.* 1994). In soft, cohesive mud sediments, lobsters may dig U-shaped tunnels by loosening sediments with their legs and pushing, carrying, or fanning the mud away (Cobb 1971, Berrill and Stewart 1973, Botero and Atema 1982), but these tunnels offer less
protection (Barshaw and Lavalli 1988, Wahle and Steneck 1992), and they require more time to build, maintain, and repair (Barshaw and Bryant-Rich 1988) than shelters on cobble bottoms. In contrast to mud, bare sand is not cohesive enough to burrow into, and lobsters can only dig shallow depressions in this substrate (Botero and Atema 1982, this study), which offer poor protection against predators (Lavalli and Barshaw 1986, Barshaw et al. 1994). In accordance with these differences in shelter quality, lobsters in the laboratory settled fastest and preferentially onto cobble rather than mud, and were slowest settling onto sand (Botero and Atema 1982), although the consequences of delayed settlement were not examined. In field experiments, late stage IV lobsters released in the water column made dives to the bottom where they burrowed into crevices in rocky substrate or resumed swimming if they encountered flat mud or sand (Cobb et al. 1983), while in field surveys, newly settled postlarvae and early benthic phase juveniles have predominantly been found in cobble reefs or under rocks on sedimentary substrates (Cooper and Uzmann 1977, Hudon 1987, Wahle and Steneck 1991, Wahle 1993).
**Energetic considerations in the search for shelter**
The importance of shelter means that stage IV postlarval lobsters may continue swimming for several days while searching for an appropriate seafloor habitat (Botero and Atema 1982). However, the time which the lobster will spend diving and sampling the seafloor could ultimately be limited by the animal’s available energy reserves (Sasaki et al. 1986). Stage IV lobsters begin to store more lipids (primarily of triacylglycerol, i.e. TAG) relative to previous stages, which may afford 3-5 days of
energy reserves providing time for a postlarva to find or construct a shelter where it will settle and eventually moult (Sasaki et al. 1986). In stage I larvae of the closely-related *Homarus gammarus* lobster, if starvation prevents the animals from accumulating enough reserves before a certain point in the moult cycle, they delay moult (Anger 1987). Similarly, in stage III American lobsters fed a diet with low levels of TAG, the time to develop to stage IV is lengthened, and growth and survival are reduced (Thériault and Pernet 2007). Hence, if prolonged swimming depletes energy stores before moulting, settling lobsters may exhibit delayed moult, reduced growth, and higher mortality rates. Therefore, when postlarvae are swimming over a “poor” substrate, they likely face a trade-off between the benefits of delaying settlement, which may lead to a subsequent encounter with a better substrate, and the cost of continued swimming in terms of consumption of energy stores.
**Secondary habitats**
If there are potential costs to delaying settlement, this could promote occupation of less-preferred, secondary habitats in nature. Laboratory experiments indicate that older postlarvae become less selective in choosing a shelter over time (Boudreau et al. 1993), and when cobble is unavailable, postlarvae do eventually settle onto other substrates (Botero and Atema 1982). While this has not yet been tested in the field, postlarvae in nature may similarly become less selective about where they settle after spending a prolonged period swimming in search of a quality settlement substrate. Although this question has received relatively little consideration, postlarvae may end up occupying secondary habitats as cobble habitat is relatively scarce and very patchily
distributed throughout much of the lobster’s range (USGS 2005, Fader *et al.* 1977, Shaw *et al.* 2012, Schumacher *et al.* in preparation). This is particularly true in the Bay of Fundy as most regions of the Bay have extensive areas of mud or a sand-gravel mix (Fader *et al.* 1977, Shaw *et al.* 2012, Schumacher *et al.* in preparation). At the same time, the demand for cobble habitat is likely growing in regions experiencing increasing settlement. Much like adult lobsters, juvenile lobsters are territorial and dominant individuals will prevent others from using shelter in their territory (Paille *et al.* 2002), which could force some individuals that had previously settled onto cobble to move into secondary habitats. Furthermore, populations of many of the lobsters’ large predators have declined, and those predators remaining tend to be less abundant and diverse outside of cobble habitats (Wahle and Steneck 1992), perhaps improving survival in secondary habitats. If secondary, non-cobble habitats are able to support postlarval settlers and juveniles, the carrying capacity of lobster nurseries may be greater than the availability of primary cobble habitat would suggest.
Previous field surveys that examined non-cobble habitats found postlarvae and early benthic phase (EBP) juveniles burrowed into structurally-complex peat reefs (Able *et al.* 1988) as well as low densities of EBP juveniles in eelgrass beds (Hudon 1987, Wahle and Steneck 1991). While there are poorly quantified accounts of very low densities of early benthic phase juveniles on bare mud bottom (MacKay 1929; Cooper and Uzmann 1977; Normandeau Associates 1999; Lawton *et al.* 2009; Peter Lawton, pers. comm.), to my knowledge only four peer-reviewed studies have attempted to quantify juvenile lobster densities on structurally simple substrates such as sand, mud, or bedrock. On bare sand at a site near the Iles de la Madeleine, Quebec, SCUBA divers
found no newly settled or EBP juveniles in 7 transects (2 m wide x 100 m long), although EBP juveniles were common in rocky habitat at the site (Hudon 1987). On mud bottom in the Annapolis Basin, Nova Scotia, SCUBA divers found only 4 juveniles < 50 mm CL in a transect 2 m wide x 150 m long, and in 129 minutes of SCUBA diving over 5 additional mud-bottom sites, observed only 9 juveniles < 50 mm CL (Lawton et al. 1995). SCUBA divers also visually surveyed and suction sampled 323 quadrats (each 0.25m$^2$) of unvegetated seabed (mud, sand, or bedrock ledges) at five sites in mid-coast Maine where they found no EBP lobsters on unvegetated sedimentary bottom, and only two on bedrock ledges (sheltered amongst mussels) even though juveniles were common in cobble areas at the sites (Wahle and Steneck 1991). Similarly, SCUBA divers visually surveyed 6 transects (2 m wide x 30 m long) at six sites with sedimentary bottom in Narragansett Bay, Rhode Island (Wahle 1993), and found only a single EBP lobster (35 mm CL) on these structurally simple seabeds although EBP juveniles were again common on structurally complex cobble bottom. All four studies suggested that early benthic phase lobsters are largely restricted to cobble habitat, and only large adolescents and adults are commonly found upon structurally simple substrates. Despite the near absence of juvenile lobsters on structurally simple substrates, juvenile use of these habitats may now be increasing in some areas due to the increases in lobster abundances in many parts of the species’ range. Given that after cobble, postlarvae and juveniles preferentially select mud habitat in the laboratory (Botero and Atema 1982, Wahle and Steneck 1992), and given the prevalence of mud across the lobster’s range (USGS 2005, Fader et al. 1977, Shaw et al. 2012, Schumacher et al. in preparation), mud substrate in particular warrants further examination as nursery habitat.
The overarching goal of my thesis is to investigate the potential for mud to serve as settlement and nursery habitat for the American lobster (*Homarus americanus*). The first part of this thesis involves a series of laboratory experiments which assess how long lobsters will swim before settling onto various substrates (cobble, mud, sand, or a bare tank bottom), and which unlike previous studies, examines whether delayed settlement over some substrates affects survival, development, and growth of postlarva as they mature to stage V. This will establish whether there are costs to delayed settlement, which could explain why postlarvae do not delay settlement indefinitely and eventually settle onto less preferred substrates (at least in the lab). The second part of this thesis involves a field study to investigate whether juvenile lobsters are using mud bottom in Maces Bay (in the Bay of Fundy), which is largely comprised of mud seafloor with scattered cobble patches in the vicinity of reefs (Peter Lawton, pers. comm.). The study will describe for the first time, which life phases of juvenile lobsters are present on mud seafloor, will compare their relative abundances, and will examine how the juveniles are using the habitat. Determining whether mud seafloor is supporting juvenile lobsters, and describing which life stages may be using mud habitat, could greatly change our understanding of the diversity of substrate types that lobsters actually use for settlement and early survival. Taken together, the results of my thesis reveal new complexities in the settlement behaviour of postlarvae and challenge our current understanding of the importance of mud bottom to the demography of the American lobster.
Methods
This study involved three laboratory experiments to assess the effect of substrate on the behaviour (swimming and settlement), development, and growth of American lobster postlarvae, and one field survey to determine whether lobster postlarvae settle upon, and young juveniles use, less-preferred mud bottom at a site containing large stretches of mud where cobble is patchily distributed.
Postlarvae and general laboratory setup
All lobsters used in the laboratory experiments were stage IV postlarvae, mass-reared at 20°C in a hatchery by Homarus Inc. and the Coastal Zone Research Institute in Shippagan, New Brunswick. Lobsters used in the three laboratory experiments were from three separate batches of larvae produced between mid-June and mid-August 2012. All animals in each of these batches had moulted to the fourth stage within the past few hours (maximum 24 hours) before transportation from the hatchery to our laboratory facilities where the experiments were conducted; hence they were all one day into their fourth stage when received. In each of the experiments, animals were transported in an aerated cooler from Shippagan, N.B., to the University of New Brunswick, Saint John (experiments 1 and 2), or to the St. Andrews Biological Station in St. Andrews, NB (experiment 3). Lobsters were placed in either 1-litre glass jars (Experiment 1: Individually monitored settlement), 30-litre rectangular tanks (Experiment 2: Group monitored settlement), or 600-litre round tanks (Experiment 3: Group monitored settlement). Jars and tanks were either lined with cobble (irregularly shaped, intertidal stones), mud (taken from a nearby mudflat in Pocologan, N.B.), sand (commercial play
sand), or were left bare. All animals were maintained under a 14:10 hour, day:night cycle, and were fed frozen brine shrimp *ad libidum* throughout the experiment.
Recently-moulted lobsters were identified visually as they changed from a bright green or blue colour to a dull olive green or yellow, and antennae of the stage V lobsters were noticeably longer than the antennae of the unmoulted stage IV lobsters. In each experiment, approximately 4% of the individuals exhibited an extremely small size increase after moulting and appeared no larger than the unmoulted stage IV individuals. These individuals occurred on each of the substrates and were assumed to have moulted normally as in many cases an exuvia was seen, the individuals changed colour, and they did not possess the dorsal spines or long telson spines characteristic of a stress-induced or damage-induced moult to an intermediate V' stage (Charmantier and Aiken 1987). Accordingly, the swimming behaviour, time until moult, and post-moult morphometrics of these individuals were included in all analyses, and it should be noted that removing these data points did not alter any of the conclusions drawn. Morphometrics involved measuring the carapace length (CL) as the distance from back of the eye socket to the end of the thorax, under a dissecting microscope with an ocular micrometer (± 0.1 mm), and blotting the animal dry for five minutes before weighing mass on a digital balance (± 0.001 g). At the end of each experiment, to measure lobsters after their moult to stage V, carapace length and mass were measured three days after an individual had moulted to allow the animal time to absorb water and fill out its new, larger carapace. Only lobsters retaining both claws after moulting were included in analyses of time until moult and post-moult morphometrics, as limb regeneration can alter time until moult and post-moult size increment (Cheng and Chang 1993). The incidence of claw loss was
independent of substrate in each experiment (Fisher’s Exact Test; experiment 1: $p = 0.52$, df = 3; experiment 2: $p = 1$, df = 3; experiment 3: $p = 0.89$, df = 2) and resulted in 3-11% of lobsters being excluded from analyses. All statistical analyses were performed using R statistical software (R Core Team, 2013).
**Experiment 1: Individually monitored settlement in 1-L jars**
To examine the effects of substrate on lobster development and growth while reducing any potentially confounding effects of swimming, as well as to track individual postlarvae, lobsters were held individually in small 1-L glass jars (8 cm diameter x 16.5 cm height) which constrained swimming. Jars were lined with either 3 small cobbles (1 cm thick, longest dimension 3 cm) on a 1 cm-deep sand base, 3 cm of mud (dried for 48 hours at 80°C, sieved through a 1-mm mesh), 3 cm of sand, or were left bare. Each jar was supplied with filtered seawater (20 μm) transported by truck from Brandy Cove, St. Andrews, N.B., and recirculated through a closed system in the laboratory. Seawater entered via the top of each jar at a rate of approximately 4 L/min, while excess water overflowed through a mesh screen covering the top of each jar. Larvae for this experiment were transported to the University of New Brunswick on July 21, 2012 and were held overnight in an aerated cooler where they acclimated from the 20°C hatchery temperature to the 18°C laboratory temperature. The initial carapace length and mass were measured for each animal, and individuals were randomly distributed among the substrate treatments. Each treatment’s lobsters began with a similar mean carapace length (ANOVA, $F_{3,71} = 0.96$, $p = 0.42$) and mass (ANOVA, $F_{3,71} = 1.27$, $p = 0.29$). This batch of lobsters exhibited high post-transport mortality and claw loss but allowed the
following number of lobsters retaining both claws to be used in each treatment: $n_{\text{cobble}} = 19$, $n_{\text{mud}} = 20$, $n_{\text{sand}} = 19$, $n_{\text{bare}} = 17$. Lobsters were checked twice daily for mortality or moults. Upon moulting, the time until moult (days between moult to stage IV and moult to stage V), post-moult carapace length and wet mass were recorded for lobsters that had retained both claws (assessment of mortality included all lobsters regardless of claw loss). Holding lobsters in separate jars allowed individuals to be tracked, thus it was possible in this experiment to analyze length and mass increment for each lobster (i.e. the amount by which length or mass increased after moult to stage V) rather than being limited to comparing final length or mass. The experiment began on July 22, 2012 (when the postlarvae were into their second day as stage IV lobsters) and ended August 11, 2012.
**Statistical analyses**
Proportion of individuals surviving the 21 day experiment was compared among substrates using a G-Test, while time until moult and mass increment were compared among substrates using non-parametric Kruskal Wallis tests (Cochran’s Tests and Shapiro-Wilk Tests indicated ANOVA assumptions were not met even after transforming the data). Significant global results were further investigated with Wilcoxon Rank-Sum post-hoc tests with a Bonferroni correction. Mean post-moult increment in carapace length was compared amongst substrates using a One Way ANOVA on untransformed data (Cochran’s Tests and Shapiro-Wilk Tests indicated homoscedasticity and normality assumptions were met). Significance was tested at $\alpha = 0.05$ for all analyses.
Experiment 2: Group monitored settlement in 30-L tanks
To examine the effects of substrate on lobster swimming, development, and growth, the postlarvae were held at 18°C in clear-sided, 30-litre acrylic tanks (length x width x depth = 48.5 x 23 x 26 cm) of non-recirculating (static) seawater filtered to 20 μm and transported by truck from Brandy Cove, St. Andrews, N.B, and aerated with an air stone. Each tank was lined with 3 cm of the same cobble used in Experiment 1 (1 cm thick, longest dimension 3 cm), mud (dried for 48 hours at 80°C, sieved through a 1-mm mesh), sand, or was left bare. Five replicate tanks were used for each substrate treatment, and five lobsters were introduced into each tank. Two of the five lobsters in every tank were first measured with respect to carapace length and wet mass before beginning each experiment to ensure all treatments began with similarly-sized animals (carapace length: ANOVA, $F_{3,36} = 0.98$, $p = 0.41$; mass: ANOVA, $F_{3,36} = 0.18$, $p = 0.91$). A trial experiment run in 1-L jars found no significant difference between handled ($n = 10$) and unhandled ($n = 10$) lobsters with respect to post-moult carapace length (t-test, $t = -0.85$, $df = 16.4$, $p = 0.41$), post-moult mass (t test, $t = -1.02$, $df = 15.3$, $p = 0.32$), or survival (Chi Square test, $X^2 = 0.5$, 1df, $p = 0.48$). Time until moult was only marginally non-significant (Welch’s t-test, $t = -2.02$, $df = 12.1$, $p = 0.066$) but if handling did introduce error here, this would have been equally distributed across all experimental treatments as two out of five lobsters were handled (measured) in each tank. Larvae for this experiment were transported to the University of New Brunswick on June 15, 2012. The experiment began the same day (the postlarvae’s first day as a stage IV lobster) and ended on July 8, 2012.
Lobsters were allowed to swim in the tanks, and the proportion of the five animals in the water column was observed for 30 seconds for each tank every fifteen minutes for 13 days using a team of observers. Night observations in the dark were performed using a red flashlight. Swimming proportions were eventually averaged across observation periods to produce twice-daily estimates, a daylight estimate (06h00 - 19h45), and a night-time estimate (20h00 - 05h45), to simplify analyses and graphical representations of swimming trends over time. Observations of swimming behaviour ceased after 13 days even though not all postlarvae had settled, because some individuals had begun moulting and it was impossible to remove them without disturbing the last few individuals still swimming in each tank. Lobsters in cobble-lined tanks left the water column after 1-3 days to shelter under their cobbles where they could not be checked for moult; therefore, three days after the last individual left a cobble tank’s water column, all lobsters of that tank were removed and placed into individual, gravel-lined 1-L jars to await moult. Individuals in the mud-lined, sand-lined, or bare tanks were visible through the clear tank walls and moulted individuals were readily identified; accordingly, these lobsters were allowed to moult in their 30-L tank. All tanks and jars were checked twice daily, and the time until moult (days between moult to stage IV and moult to stage V), the post-moult carapace length, and the post-moult wet mass were measured for surviving lobsters that had retained both claws (assessment of survival included all lobsters regardless of claw loss).
Statistical analyses
The proportion of lobsters swimming over each substrate over time was compared via a Repeated Measures ANOVA using the “aov” command in R (repeated factor = day of experiment, non-repeated factor = substrate, error term = tank). For the factor “day of experiment”, the proportions of lobsters swimming during daylight and dark were averaged into a single daily proportion as paired t-tests performed for each substrate showed that the two periods did not differ (cobble: $t = -1.05$, df = 3, $p = 0.37$; mud: $t = -1.22$, df = 12, $p = 0.25$; sand: $t = -1.16$, df = 12, $p = 0.27$; bare: $t = -0.02$, df = 12, $p = 0.99$). The repeated measures sphericity assumption was not upheld ($\epsilon = 0.17$) so Greenhouse-Geisser – adjusted degrees of freedom were used. Significant global results (using $\alpha = 0.05$) were further explored with post-hoc pairwise comparisons with a Bonferroni correction.
Mean percent survival, carapace length, and mass were compared amongst substrates using One Way ANOVAs on untransformed data (Cochran’s Tests and Shapiro-Wilk Tests indicated homoscedasticity and normality assumptions were met). For all tests, each of the five tanks was used as a replicate in each of the substrate treatments. Significance was tested for at $\alpha = 0.05$ and significant global results were further explored with Tukey HSD post hoc comparisons to determine which substrates differed from one another. Mean time until moult was compared amongst substrates using a Welch’s ANOVA to accommodate for unequal variances (Brown-Forsythe Test indicated heteroscedasticity) followed by pairwise comparisons with a Bonferroni correction to identify which substrates differed.
Experiment 3: Group monitored settlement in 600-L tanks
Postlarvae in 30-L tanks consistently encountered tank walls while swimming. To examine the effects of substrate on lobster swimming, development, and growth, in larger tanks with more swimming room, particularly in the vertical axis, the postlarvae were held at 16°C in round 600-litre fibreglass tanks (dimensions 100 cm diameter x 75 cm depth) at the St. Andrews Biological Station. Each tank was lined with 5 cm of cobble (ca. 5 cm thick, longest dimension 5 cm), 5 cm of mud, or 5 cm of sand. It was impractical to dry the quantities of mud used in this experiment, so fresh, unsieved intertidal mud was used (from the same Pocologan mudflat as the dried mud used in the other experiments). Water was pumped from Brandy Cove outside the station, and filtered through sand before entering into each individual tank at a rate of ca. 10 L/min. Water entered via a pipe mounted over the side of the tank and exited through a central standpipe. Four replicate tanks were used for each substrate treatment, and 13 lobsters were introduced into each tank. Three of the 13 lobsters in each tank were first measured with respect to carapace length and wet mass to confirm all treatments began with similarly-sized animals (carapace length: ANOVA, $F_{2,33} = 0.84$, $p = 0.44$; mass: ANOVA, $F_{2,33} = 0.86$, $p = 0.43$). Larvae for this experiment were transported to the St. Andrews Biological Station in St. Andrews, N.B. on August 17, 2012. The experiment ran from August 18, 2012 (when the lobsters were into their second day as a stage IV lobster) until September 18, 2012.
Lobsters were allowed to swim in the tanks and the proportion of individuals in the water column was recorded once during daylight hours and once in the evening in the dark using a small white flashlight as red light did not illuminate the entire tank or
its depths. Swimming lobsters were caught in a hand net to facilitate counting all the lobsters in the large tank; a trial run simultaneously with this experiment demonstrated there was no significant difference in mean time to moult, post-moult carapace length, or post-moult mass of lobsters caught twice a day in the net compared to unhandled lobsters (Nested ANOVAs, time until moult: $F_{1,6} = 0.23$, $p = 0.65$; carapace length: $F_{1,6} = 0.07$, $p = 0.80$; mass: $F_{1,6} = 0.0003$, $p = 0.99$). Unlike the previous experiment in 30-L tanks, swimming observations in the 600-L tanks continued until all individuals in all tanks had left the water column as the tanks were sufficiently large to remove and examine individuals for moulting without disturbing postlarvae still swimming in the tank.
Lobsters that had settled onto the bottom were allowed to remain in their tank until moulting. If not clearly visible from the surface of the tank, suspected moulted lobsters were caught in the hand net for closer inspection. To facilitate moult checks in the cobble substrate, the uniform layer of cobble was removed after 13 days and replaced by small clumps of 4-5 cobbles arranged around the tank, which the settled lobsters immediately occupied. These cobble clumps were lifted twice daily to inspect the lobsters underneath. Upon moulting, the time until moult (days between moult to stage IV and moult to stage V), the post-moult carapace length, and post-moult wet mass of each surviving individual that had retained both claws were measured for lobsters in all treatments (assessment of survival included all lobsters regardless of claw loss).
Statistical analyses
The proportion of lobsters swimming over each substrate over time was compared via a Repeated Measures ANOVA using the “aov” command in R (repeated factor = day of experiment, non-repeated factor = substrate, error term = tank). For the factor “day of experiment”, the proportions of lobsters swimming during daylight and dark were averaged into a single daily proportion as paired t-tests performed for each substrate showed that the two periods did not differ significantly (cobble: $t = 0.46$, df = 7, $p = 0.66$; mud: $t = 2.11$, df = 7, $p = 0.073$; sand: $t = -0.54$, df = 7, $p = 0.61$). The difference between the proportion of lobsters swimming over mud in daylight versus night almost reached significance but the difference was only 8% more swimming during daylight. Moreover, the main interest was how long postlarvae swam over each substrate over the course of the experiment, and whether that swimming was performed largely in daylight or night was irrelevant as swimming observations were made during both times. Accordingly, the proportion of postlarvae swimming over mud was also reported as a single daily averaged proportion. The repeated measures sphericity assumption was not upheld ($\epsilon = 0.13$) so Greenhouse-Geisser – adjusted degrees of freedom were used. An interaction between substrate and day of experiment ($F_{58,261} = 14.8$, $p < 0.00001$) precluded analyses of main effects so two additional Repeated Measures ANOVAs were performed. Since postlarvae swimming over cobble clearly settled much sooner than those over mud or sand, the two additional Repeated Measures ANOVAs only examined the proportion of postlarvae swimming over mud or sand. Furthermore, the experiment was divided into two time periods based on visual examination of changes in swimming behaviour over time, the first 14 days, during
which time the proportion of lobsters swimming over mud or sand appeared fairly constant, and the last 16 days of the experiment, during which time the proportion of lobsters swimming over mud or sand decreased rapidly. Accordingly, a Repeated Measures ANOVA was performed on the proportion of lobsters swimming over mud or sand during the first 14 days of the experiment (repeated factor = day of experiment, non-repeated factor = substrate, error term = tank), and another was performed for the final 16 days of the experiment (repeated factor = day of experiment, non-repeated factor = substrate, error term = tank). Again, Greenhouse-Geisser - adjusted degrees of freedom were used ($\epsilon_{\text{first 14 days}} = 0.29$, $\epsilon_{\text{final 16 days}} = 0.14$).
To examine whether settlement time influenced development and growth, the mean number of days until 80% and 100% of lobsters in each tank had settled was compared via a regression to each tank’s average time for lobsters to moult, as well as to their post-moult carapace length and mass. Mean percent survival, time until moult, carapace length, and mass were compared amongst substrates via one-way ANOVAs on untransformed data (Cochran’s Tests and Shapiro-Wilk Tests indicated homoscedasticity and normality assumptions were met). Each of the four tanks was used as a replicate in each of the substrate treatments. Significance was tested using $\alpha = 0.05$ and significant global analyses were further explored with Tukey HSD post hoc comparisons to determine which substrates differed from one another.
Maces Bay field experiment
Description of Maces Bay study site
To investigate the possibility that lobster postlarvae and juveniles use mud seafloor for settlement and early survival, a field study was conducted in Maces Bay, New Brunswick, which is a large bay on the north shore of the southwestern Bay of Fundy. Maces Bay was chosen for this study because multibeam backscatter imaging (UNB Ocean Mapping Group) and extensive SCUBA diving-based surveys by the Department of Fisheries and Oceans Canada indicates that it contains extensive stretches of mud and sand-mud seafloor as well as several islands and tidally-exposed reefs containing fringing subtidal gravel, cobble and boulder habitats (Peter Lawton, pers. comm.). As well, past surveys of these cobble patches by Fisheries and Oceans Canada found good densities and a wide size range of juvenile and adult lobsters in Maces Bay (Lawton et al. 2001), and recent surveys indicate cobble patches continue to support strong settlement of lobsters and relatively high juvenile densities (Gudjon Mar Sigurdsson, pers. comm.). The study area in Maces Bay was located just west of New River Island on the western side of the bay as this area has an extensive stretch of mud with two rocky reefs at its southern end.
To explore whether early benthic phase (EBP) lobsters found on mud had originally settled there or had recently wandered in from cobble reefs, the muddy section of the study area was subdivided into three separate mud sites: a North site, a Centre site, and a South site (Fig. 1). The north and south sites, hereafter referred to as North Mud and South Mud, were designed as sites of intermediate distance between the Centre Mud section, and respectively, the rocky coastline to the north, and the rocky reefs to the
south. If juveniles found in the three mud-bottom sites had initially settled in rocky reef areas and had walked into all three mud sites rather than having settled on the mud itself, we would expect high catches of EBP lobsters in collectors on rock, moderate catches in collectors at the North Mud and South Mud sites (~ 400 m from known cobble reefs or rocky shore), and few in the Centre Mud collectors (~ 400 m from North or South mud sites and > 800 m from known cobble reefs or rocky shore). Since the smaller shelter-restricted and emergent juveniles are thought to remain closely associated with their shelter (Lavalli and Lawton 1996) and are unlikely to have walked 400-800 m while unsheltered, we would expect to find very few of these lobsters in North Mud, South Mud, and Centre Mud collectors unless they had settled there as postlarvae.
The bottom composition at each of the three sites was characterized using a combination of benthic grabs, video footage taken by an ROV towed by a boat, and the boat’s bottom sounder. The North Mud site ($14,870 \text{ m}^2$) was approximately 400 m from shore, and its bottom was predominantly mud with an isolated patch of sand and a patch of rock (6 benthic grabs, 9 video transects; Fig. 1). The Centre Mud site was a stretch of mud ($55,700 \text{ m}^2$) lying approximately 400 m south of North Mud, and was at least 800 m from shore in all directions. Within the Centre Mud site, the bottom appeared to be entirely comprised of mud (5 benthic grabs, 12 video transects; Fig. 1); similarly, mud seabed separated the Centre Mud site from the North Mud and South Mud sites (16 benthic grabs around the periphery of the Centre Mud site all revealed only mud, Fig. 1). The South Mud site ($24,140 \text{ m}^2$) lay ~ 480 m south of Centre Mud, and its bottom was a
mix of mud and rock (4 benthic grabs, 9 video transects, 18 bottom soundings; Fig. 1). This site had a very small rock island about 125 m from its southeastern edge.
Two cobble reef sites in the Maces Bay study area, known lobster nurseries (Gudjon Mar Sigurdsson, pers. comm.), were also examined. Both sites were located northeast of Pocologan Island, within 100 m of an unnamed island. The first site, “No Name Rock”, lay 400 m south of South Mud, while the second cobble site, “Pocologan Rock”, lay approximately 200 m southwest of No Name Rock.
**Collector deployment**
The fine sediment bottom of Maces Bay rendered sampling quadrats by SCUBA diving impractical as the sediments were easily disturbed and obscured visibility. Instead, artificial lobster habitats, hereafter referred to as collectors, were deployed at each of the five sites to attract juvenile lobsters for collection. The collectors were wire cages measuring 61.0 x 91.5 x 15.0 cm (Wahle *et al.* 2009) that were filled with cobbles ranging from 9 - 22 cm (longest dimension) and lined with 2-mm mesh to retain specimens during retrieval onto the boat. When deployed on the seafloor, collectors mimic the natural habitat of settling and young EBP lobsters and passively attract postlarval lobsters as they settle out of the water column, as well as young juveniles that crawl in from the benthos (Wahle *et al.* 2009). Collectors have been previously used to describe the presence and sizes of juvenile lobsters present in an area and are largely comparable to more active sampling techniques such as suction sampling quadrats, in terms of the size range and densities of lobsters caught (at least in cobble habitats where the two techniques have been compared) (Wahle *et al.* 2009, Wahle *et al.* 2013).
It is unknown how large an area a collector samples, whether areas of equal size are sampled on cobble reefs and mud bottom, and whether catchability of juvenile lobsters is equal in collectors deployed on cobble and mud bottom. As a result, the density of lobsters retrieved in a collector does not necessarily reflect the true density of juveniles in the surrounding habitat. As well, the frequency and distance of juvenile movements increase with increasing body size, which could introduce a size bias to sampling with collectors relying on colonization by lobsters. Collectors do, however, allow us to note the presence or absence of various size classes of juvenile lobsters at a site, and allow general comparisons of abundances between sites, and general comparisons of relative abundances of different size classes within and between sites. Most importantly, collectors can readily sample a fine-sediment bottom, and can be deployed over a wide area, for a long period of time.
Collectors were deployed on July 4 and 9, 2012, before postlarval settlement began, in lines running roughly from WNW to ESE at the North Mud site (42 collectors in 2 parallel lines, mean depth = 8.6 ± 1.0 m SD relative to 0 Chart Datum, Canadian Hydrographic Services), at the Centre Mud site (100 collectors in 5 parallel lines, mean depth = 9.0 ± 1.0 m SD), at the South Mud site (42 collectors in 2 parallel lines, mean depth = 7.4 ± 0.4 m SD), and at the No Name Rock site (20 collectors in 1 straight line, mean depth = 9.3 ± 1.4 m SD) (Fig 1). Collectors were deployed in an inverted “V” at Pocologan Rock to follow the reef (20 collectors in 1 line, mean depth = 9.1 ± 0.7 m SD) (Fig 1). Temperature loggers attached to two different collectors at each site indicated that the mean temperature during the study (all sites combined) was 13.3°C, and each site’s mean temperature varied from this by no more than 0.15°C. After
approximately four months, the collectors were retrieved in two sessions: October 26 and November 7, 2012. Retrieval of all collectors on a single day was not possible so approximately half of the collectors at each of the five sites in Maces Bay were retrieved on each date. The collectors were brought to the Huntsman Marine Science Centre, St. Andrews, NB, where it took 2-3 days to sort through their cobbles and count and remove all lobsters. All lobsters were rinsed, blotted dry and weighed on a digital scale (± 0.0001 g), and had their carapace length measured with digital Vernier callipers (± 0.1 mm). Only lobsters ≥ 13 mm carapace length were used in most analyses because these were benthic juveniles that had settled to the seafloor in a previous year and colonized the collectors from the surrounding area. In contrast, individuals < 13 mm carapace length likely represented newly-settled young of the year (Gudjon Mar Sigurdsson, pers. comm.) that settled onto the cobble in the collectors from the water column and therefore would not represent occupation of the surrounding cobble or mud substrate upon which the collectors were deployed.
Figure 1: Locations of the five study sites in Maces Bay, Bay of Fundy, New Brunswick. Black dots indicate individual collectors, while open symbols indicate seafloor substrate identified by sediment grabs or video survey: mud O, rock Δ, and sand □.
Statistical analyses
To examine the relative abundance of various size classes at each site, the size frequency distributions of juveniles were compared by Komolgorov-Smirnov Tests. Since the size frequency distributions of lobsters found inside collectors at the two rocky sites were similar to one another (D = 0.14, p = 0.73) they were pooled into a “Pooled
Rock” area. Likewise, the two edge mud sites were similar to one another ($D = 0.095$, $p = 0.91$) and were pooled into a “Pooled Edge Mud” area. The Pooled Rock and Pooled Edge Mud areas were compared to one another and to the Centre Mud site by further Komolgorov-Smirnov Tests.
To further investigate potential differences in use of cobble and mud areas by different sized/aged juveniles, the juveniles > 13 mm CL caught in collectors were divided into Lavalli and Lawton’s (1996) life history phases (13-25 mm CL: shelter restricted and emergent; 25-40 mm CL: vagile; $\geq 40$ mm CL: adolescent), and each phase’s abundance inside collectors was compared among sites (with collectors as the unit of replication) using Kruskal Wallis Tests (Cochran’s Tests and Shapiro-Wilk Tests indicated homoscedasticity and normality ANOVA assumptions were not met). This test was also used to compare the abundance of recent settlers ($\leq 13$ mm CL) among sites. Significant global tests were followed by Wilcoxon Rank Sum Tests (with Bonferroni correction) to determine which of the 5 sites differed. Once again, the two rocky sites were pooled because they did not differ from one another with respect to abundance of juveniles in any of the life history phases (all p values > 0.50), and the two edge mud were pooled because abundance of juveniles in each life history phases did not differ from one another (all p values > 0.25). This facilitated comparing abundances of juveniles in each life history phase between rocky and muddy habitats via additional Kruskal Wallis Tests (Cochran’s Tests and Shapiro-Wilk Tests indicated homoscedasticity and normality ANOVA assumptions were not met) followed by Wilcoxon Rank Sum Tests (with Bonferroni correction) to investigate significant differences.
Results
Experiment 1: Individually monitored settlement in 1-L jars
Swimming behaviour
Handling lobsters while introducing them to 1-L jars often triggered an escape response with the animal tail-flipping away from the handler, which caused the animal to quickly encounter the bottom of the jar. Many individuals re-entered the water column and swam around the circumference of the jar for a few minutes, but swimming soon became sporadic and ceased amongst most lobsters, particularly those in the cobble treatment which sheltered under their cobbles. After the first 4 days, most postlarvae occupied the jar bottom, except for a few postlarvae in mud-lined or bare glass jars which sometimes hung from the mesh covering the jar’s mouth. After the first week, all postlarvae occupied the bottom of their jar. No complex tunnels were observed in any of the sedimentary substrates, although 9 of 19 lobsters in mud-lined jars, and 13 of 20 lobsters in sand-lined jars sheltered in shallow depressions they had excavated along the side of their jar.
Post-moult survival and morphometrics
Survival of lobsters to stage V was similar across all substrates (G = 1.83, df = 3, p = 0.62) and averaged 62.2 ± 4.4% (SE). However, substrate treatment had a significant effect on mean time until moult ($X^2 = 20.0$, df = 3, p = 0.00017), with moulting taking significantly longer (37%) in the unlined glass jars than in all three substrate-lined jars, in which lobsters moulted at approximately the same time (Fig. 2). After moulting to the fifth stage, the mean increment in carapace length did not differ significantly among
substrate treatments ($F_{3,36} = 1.65$, $p = 0.195$, Fig. 3). The mass increment of lobsters, however, was dependent upon substrate ($X^2 = 9.38$, df = 3, $p = 0.025$, Fig. 3), with lobsters moulting over mud showing only 79% of the mass increment that lobsters moulting over cobble showed. Lobsters over mud were also lighter than those in bare jars (only 78% of the mass) although the difference was marginally non-significant (Fig. 3).
Figure 2: Mean (± 95% CI) time lobster postlarvae took to moult to stage V in cobble-lined, mud-lined, sand-lined, or bare 1-L jars (sample sizes shown above error bars). Different letters indicate significantly different means ($p < 0.05$) identified by Wilcoxon Rank-Sum post hoc tests with Bonferroni adjustment of p-values.
Figure 3: Mean increment (± 95% CI) in carapace length ● and mass ○ of lobster postlarvae after moult to stage V over cobble-lined, mud-lined, sand-lined, or bare 1-L jars (sample sizes shown above error bars). Different letters indicate significantly different mean mass increments (p < 0.05) identified by Wilcoxon Rank-Sum post hoc tests with Bonferroni adjusted p-values.
**Experiment 2: Group monitored settlement in 30-L tanks**
**Swimming behaviour**
Upon introduction to a 30-L tank, postlarvae often retreated from their handler to the tank bottom. With the exception of lobsters in cobble-lined tanks, most individuals soon re-entered the water column and resumed swimming. Unlike lobsters in 1-L jars, the five lobsters in each of the 30-L tanks could swim longer before encountering a wall, although some were still occasionally seen swimming along a tank wall. Early in the
experiment, the red light used during dark observation periods attracted postlarvae as they swam at the surface. Over time, fewer individuals responded to the light, especially those observed on the tank bottom; these individuals remained motionless or walked into shaded areas when illuminated.
The average proportion of lobsters swimming during the experiment declined somewhat the first two days over all substrates (except cobble where lobsters settled immediately upon introduction to the tank) and then remained relatively stable on each substrate for the remainder of the 13 days of observations (Fig. 4). Despite the small decline in swimming during the first two days there was no significant interaction between day of experiment and substrate ($F_{36,192} = 0.90$, $p = 0.50$), so the main effects of each factor were interpreted separately. The proportion of lobsters swimming was independent of the day of the experiment ($F_{12,192} = 1.48$, $p = 0.23$), but varied significantly by substrate ($F_{3,16} = 47.9$, $p < 0.00001$) with cobble-lined tanks having significantly fewer swimming lobsters than all other treatments (all comparisons $p < 0.00001$), mud-lined tanks having significantly fewer swimming larvae than bare and sand-lined tanks (both $p < 0.00001$), and finally, bare and sand-lined tanks having similar numbers of swimming postlarvae ($p = 1$) (Fig. 4). It was not possible to track individual lobsters and determine whether the same few lobsters remained swimming or whether all the lobsters rotated between the tank bottom and the water column, although lobsters on the bottom very rarely started swimming during observations.
Lobsters in cobble tanks were always the first to leave the water column and 100% of the survivors hid under cobbles and made no further forays into the water column. Among the other substrates, only a single mud-lined tank had all of its lobsters
leave the water column within the 13-day experimental period. The other four mud-lined tanks and all sand-lined and bare tanks always had at least one lobster swimming over the 13-day experimental period. Lobsters on the bottom of mud-lined or sand-lined tanks sometimes occupied small depressions dug into the sediment along the sides of the walls but no tunnels were constructed under the sediment’s surface. Lobsters on the bottom of bare tanks usually remained along the sides of the tank walls or in corners.
Figure 4: Mean proportion of lobster postlarvae swimming over cobble-lined, mud-lined, sand-lined, or bare 30-L tanks (n = 5 tanks per treatment); observations were made every 15 minutes in each tank, averaged twice daily and then these values were averaged across replicate tanks.
Post-moult survival and morphometrics
Survival of lobsters to stage V averaged $68.0 \pm 4.1\%$ SE and did not differ among substrates ($F_{3,16} = 0.64$, $p = 0.60$, Fig. 5). While substrate significantly affected mean time until moult ($F_{3,74} = 8.50$, $p = 0.0086$, Fig. 6), with a shorter time until moult on cobble than on sand (all other comparisons were not significantly different), neither mean post-moult carapace length ($F_{3,16} = 0.59$, $p = 0.63$, Fig. 7), nor mean post-moult mass ($F_{3,16} = 2.89$, $p = 0.068$; Fig. 7) varied significantly by substrate.
Figure 5: Mean percent survival ($\pm 95\%$ CI) of lobster postlarvae to stage V over cobble-lined, mud-lined, sand-lined, or bare 30-L tanks ($n = 5$ tanks per treatment).
Figure 6: Mean number of days (± 95% CI) before lobster postlarvae moulted to stage V over cobble-lined, mud-lined, sand-lined, or bare 30-L tanks (n = 5 tanks per treatment). Different letters indicate significantly different means (p < 0.05) identified by Tukey HSD post hoc tests.
Figure 7: Mean (± 95% CI) carapace length ● and mass ○ after lobster postlarvae moulted to stage V over cobble-lined, mud-lined, sand-lined, or bare 30-L tanks (n = 5 tanks per treatment).
**Experiment 3: Group monitored settlement in 600-L tanks**
**Swimming behaviour**
Unlike the 1-L jars and 30-L tanks, the 600-L tanks provided much more room for swimming. When first introduced to a tank, a lobster’s retreat from a handler did not immediately bring the animal into contact with the bottom as generally happened in the 30-L tanks and 1-L jars. Instead, lobsters remained within the top few centimeters of the water column and began swimming in the centre of their tank and along the tank walls. A white flashlight was used during night observations as the red light could not illuminate the entire tank or its depths. Early in the experiment, postlarvae swimming at the surface were attracted to the light, but towards the end of the first week, fewer
swimming individuals moved towards the light, and postlarvae on the tank bottom either ignored the light or walked away from it into shaded areas.
In contrast to experiments in the 1-L jars and 30-L tanks, the proportion of lobsters swimming in each 600-L tank was observed until all lobsters in the experiment had settled. There was a highly significant interaction between day of experiment and substrate ($F_{7,6,261} = 14.8$, $p < 0.00001$), which precluded interpretation of the main effects of these factors via the Repeated Measures ANOVA. The interpretation of this interaction was, however, both straightforward and informative when separately examining the first 14 days of the experiment and the last 16 days. Whereas the proportion of postlarvae swimming over cobble decreased abruptly and reached 0% after only 8 days, the proportion swimming over mud and sand remained similar between these two substrates and declined with time as shown by performing a Repeated Measures Anova on just the mud and sand treatments for the first 14 days of the experiment (day of experiment by substrate interaction: $F_{3,7,78} = 1.0$, $p = 0.41$; substrate: $F_{0.29,6} = 0.066$, $p = 0.47$; day of experiment: $F_{3,7,78} = 2.9$, $p = 0.030$). About 80% of lobsters were still swimming over mud or sand by day 14. For the remaining 16 days of the experiment, the proportion of postlarvae swimming over mud and sand varied by time and between the two substrates as indicated by an interaction between the two factors when performing a Repeated Measures Anova on just the mud and sand treatments for the last 16 days of the experiment (day of experiment by substrate interaction: $F_{2,1,90} = 3.9$, $p = 0.022$). The proportion of postlarvae in the water column finally reached 0% after 25 days over mud and after 30 days over sand (Fig. 8).
Figure 8: Mean proportion of lobster postlarvae swimming over cobble-lined, mud-lined, or sand-lined 600-L tanks (n = 4 tanks per treatment) observed twice daily.
When each of the replicate tanks was plotted separately to examine how the time until settlement affected time to moult and post-moult morphometrics, the time until 100% of lobsters exited the water column showed a strong positive exponential relationship to time until moult ($R^2 = 0.92$, df = 2,9, $p < 0.0001$, Fig. 9A). In contrast, time for 100% settlement showed a negative and non-significant relationship to post-moult carapace length ($R^2 = 0.28$, df = 2,9; $p = 0.23$, Fig. 9B) and post-moult mass ($R^2 = 0.12$, df = 2,9; $p = 0.56$, Fig. 9C), with most of the variability in lobster size seeming to occur between the sand treatment and the other two substrates. The time for 80% of lobsters to leave the water column was also regressed against time until moult, post-moult carapace length, and post-moult mass to exclude individuals taking
disproportionately longer to settle, however, the conclusions were unchanged (time until moult: $p < 0.0001$, carapace length: $p = 0.11$, mass: $p = 0.45$).
It was again impossible to track individual lobsters and determine whether the same few lobsters remained swimming or whether all the lobsters rotated between the tank bottom and the water column. In the 600-L tanks, however, all of the lobsters in all of the tanks eventually left the water column and descended permanently to the bottom (Fig. 8). Lobsters in cobble-lined tanks hid under and amongst cobbles while in mud-lined tanks, some lobsters remained on the surface of the sediment and others occupied depressions in the mud or short tunnels under the mud. Tunnels were rare and generally had 2-3 openings approximately 3-5 cm apart. All depressions and tunnels were constructed along the sides of the tank or against the central standpipe. In sand-lined tanks, most lobsters remained on the surface of the sediment although a few did occupy shallow depressions in the sand against the tank wall.
Figure 9: Relationship between time for 100% of lobster postlarvae in a tank to leave the water column and their (A) mean time until moult, (B) mean post-moult carapace length, and (C) mean post-moult mass. The 600-L tanks ($n = 4$ per substrate treatment) were lined with cobble ●, mud ●, or sand ○.
Post-moult survival and morphometrics
Survival of lobsters to stage V averaged $52.2 \pm 2.5\%$ (SE) and did not differ amongst substrates ($F_{2,9} = 0.31$, $p = 0.74$, Fig. 10). In contrast, mean time until moult varied significantly among substrates ($F_{2,9} = 32.0$, $p < 0.0001$) with time until moult on Cobble < Mud < Sand (Fig. 11). On average, lobsters took 22% longer to moult over mud than over cobble, and 49% longer to moult over sand than over cobble. One individual in a sand-lined tank took 45 days to moult (compared to the average of 28 days over sand). It is possible this individual had moulted unnoticed to stage V and remained swimming until moulting to stage VI, when its moult was recorded. Consequently, this animal’s time until moult and morphometrics were excluded from all analyses. This animal was missing an eye and due to eyestalk damage may have prematurely moulted (Trider et al. 1979, Cheng and Chang 1993) into a stage V lobster superficially resembling a stage IV, except lacking settling behaviour (Charmantier and Aiken 1987). For the remaining lobsters, post-moult mean carapace length varied by substrate ($F_{2,9} = 7.83$, $p = 0.011$) and was significantly smaller (by 3.9%) in lobsters from sand-lined tanks than from either cobble-lined or mud-lined tanks (Fig. 12). Post-moult mean mass also varied by substrate ($F_{2,9} = 5.52$, $p = 0.027$) and exhibited a similar pattern to carapace length, with lobsters from sand-lined tanks significantly lighter (by 16%) than those from mud-lined tanks and 10% lighter than those from cobble-lined tanks, although this second difference was not significant (Fig. 12).
Figure 10: Mean percent survival (± 95% CI) of lobster postlarvae to stage V over cobble-lined, mud-lined, or sand-lined 600-L tanks (n = 4 tanks per treatment).
Figure 11: Mean (± 95% CI) time lobster postlarvae took to moult to stage V over cobble-lined, mud-lined, or sand-lined 600-L tanks (n = 4 tanks per treatment).
Different letters indicate significantly different means (p < 0.05) identified by Tukey HSD post hoc tests.
Figure 12: Mean (± 95% CI) carapace length ● and mass ○ of lobster postlarvae after moult to stage V over cobble-lined, mud-lined, or sand-lined 600-L tanks (n = 4 tanks per treatment). Different letters indicate significantly different means (p < 0.05) identified by Tukey HSD post hoc tests.
**Maces Bay field experiment**
All collectors were successfully retrieved from Maces Bay except for two from the Centre Mud site and one from the No Name Rock site. Collectors deployed onto mud substrate occasionally had small amounts of mud inside which, while not quantified, seemed to have filled no more than 10% of the depth of the few affected collectors. Lobsters colonized collectors at all sites, and ranged in size from 7.1 mm to 51.0 mm carapace length (CL), representing both recent settlers of the year (< 13 mm CL, Gudjon Mar Sigurdsson, unpublished data) and older juveniles (Fig. 13A). The
number of lobsters, excluding recent young of the year (YOY) settlers, that colonized a collector from the benthos ranged from 0 to 6 individuals.
**Size frequency distribution of lobsters in collectors**
After excluding the YOY (<13 mm CL), the cumulative size frequency distribution of lobsters in the Centre Mud site was significantly different from that at the Pooled Rock area ($D = 0.32$, $p < 0.00001$, Fig. 13B) and the Pooled Edge Mud area ($D = 0.25$, $p < 0.001$, Fig. 13B), and the latter two were similar to each other ($D = 0.15$, $p = 0.14$, Fig. 13B). The most pronounced differences were between the size frequency distributions at the Centre Mud and Pooled Rock areas, with the Pooled Edge Mud areas showing an intermediate pattern (Fig. 13A). Focusing on the Centre Mud site and Pooled Rock areas and visually comparing the cumulative size frequency distributions, the most striking difference seen was in juveniles ranging from 25-36 mm CL, which were much more relatively abundant (Chi Square Test: $\chi^2 = 10.5$, df = 1, $p = 0.0012$) at Pooled Rock (44.7%) than at Centre Mud (23.1%) while larger juveniles between ~37-51 mm CL were relatively more abundant (Chi Square Test: $\chi^2 = 22.9$, df = 1, $p < 0.00001$) on Centre Mud (38.9%) than on Pooled Rock (9.6%). The 25-36 mm juveniles were probably 2-4 years old and the 37-51 mm juveniles were probably 3-5 years old (Taryn Minch, unpublished data). A less pronounced but significant difference (Chi Square Test: $\chi^2 = 3.9$, df = 1, $p = 0.049$) in relative abundance was also observed for smaller lobsters measuring 13-16 mm CL, which somewhat surprisingly were relatively more abundant on Centre Mud (22.2%) than on Pooled Rock (11.7%). These animals were probably 1 year of age with a few 2-year-olds (Taryn Minch, unpublished data).
Figure 13: Plots showing (A) the size frequency distributions and (B) the cumulative size frequency distributions of lobsters caught in collectors in Maces Bay. No Name Rock and Pocologan Rock were pooled into an area named “Pooled Rock”, while North Mud and South Mud were pooled into an area named “Pooled Edge Mud”. To exclude recent settlers, only individuals with $\geq 13$ mm carapace length were analyzed.
Mean number of lobsters caught in collectors
Lobsters < 13 mm CL, representing juveniles that settled that year, were not equally abundant among the pooled areas (Kruskal Wallis Test, $X^2 = 22.7$, df = 2, p < 0.0001), being significantly more numerous in collectors at the Pooled Rock areas than those at the Centre Mud or Pooled Edge Mud areas, which in turn supported similar numbers to one another (Fig. 14). Similarly, lobsters measuring 13-24.9 mm CL, representing Lavalli and Lawton’s (1996) shelter-restricted and emergent life history phases, were not uniformly abundant across areas (Kruskal Wallis Test, $X^2 = 21.4$, df = 2, p < 0.0001), nor were lobsters 25-40 mm CL, representing juveniles at the vagile phase (Lavalli and Lawton 1996) uniformly abundant across collectors sampled in the different areas (Kruskal Wallis Test, $X^2 = 30.7$, df = 2, p < 0.00001). For these life history phases, juveniles were most abundant in collectors at the Pooled Rock areas, less abundant in collectors on the Pooled Edge Mud areas, and least abundant in collectors on Centre Mud, although only the differences between Centre Mud and the two other areas were significant (Fig. 14). In contrast, adolescent lobsters >40 mm CL (Lavalli and Lawton 1996) appeared somewhat more abundant in collectors on Centre Mud than in the other two areas, although the differences were not significant (Kruskal Wallis Test, $X^2 = 3.4$, df = 2, p = 0.18, Fig. 14).
Figure 14: Mean (± 95% CI) number of lobsters caught per collector in Maces Bay. Size groupings are based upon Lavalli and Lawton’s (1996) behavioural life history phases with the exception of their shelter-restricted (5-14 mm CL) phase. Juveniles < 13 mm CL, representing young of the year, were analyzed separately and juveniles 13-14 mm CL were combined into the emergent juveniles group (13-25 mm CL). No Name Rock and Pocologan Rock were pooled into an area named “Pooled Rock”, while North Mud and South Mud were pooled into an area named “Pooled Edge Mud”. Different letters indicate significantly different means identified by Wilcoxon Rank-Sum post hoc tests with Bonferroni correction.
Discussion
The laboratory results presented in this thesis verify that cobble is the preferred settlement substrate for postlarvae, and that postlarvae will delay settlement over other substrates. The results also reveal that postlarvae delaying settlement, and prolonging swimming, risk incurring reductions to both development and growth, although there is no evidence that survival is compromised. A trade-off between finding suitable shelter and avoiding a reduction in developmental and growth rates could explain why postlarvae will eventually settle upon less preferred substrates such as mud bottom in Maces Bay. Indeed, I found evidence of postlarval settlement on mud bottom in Maces Bay as well as conclusive evidence that this habitat is used by juvenile lobsters ranging from shelter-restricted juveniles up to adolescents. These findings challenge our understanding of what habitats juvenile American lobsters are currently using as nursery.
Settlement delay in the laboratory
Settling postlarvae and early benthic phase lobsters exhibit substrate preferences
In all four components of this study (one field and three lab experiments), lobster postlarvae and early benthic phase (EBP) juveniles showed a strong and consistent preference to settle, and ultimately remain upon, structurally complex cobble bottoms versus more homogeneous substrates (i.e. mud, sand, or tank bottom). In the three lab experiments, substrate preference was assessed on the basis of how rapidly postlarvae left the water column to establish residence on the bottom. It was not possible to track individual lobsters in the 30-L and 600-L tanks to distinguish whether the dwindling number of lobsters in the water column over time represented (i) the increasing
settlement of individuals permanently onto the bottom, or (ii) individuals spending more time on the bottom before periodically re-entering the water column. However, the first scenario is most likely to be true for two reasons. First, after the first few days of the experiment, lobsters on the bottom were usually stationary, sheltering under cobble, or (in tanks without cobble) against the tank wall, the central standpipe, or in a depression. Individuals occasionally walked about but were rarely seen swimming from the bottom back into the water column despite observation periods totalling 13 days in the 30-L tanks, and 33 days in the 600-L tanks. Second, individuals in 1-L jars could be individually monitored and once on the jar bottom, they almost never re-entered the water column. The disappearance of postlarvae from the water column almost certainly represented permanent settlement onto the bottom. It is also possible that the structurally complex cobble substrate separated individual lobsters, reduced agonistic interactions, and accordingly promoted faster settlement compared to the other homogenous treatments where aggressive interactions, which can alter a subdominant lobster’s behaviour (Lawton 1987), may have forced subdominant individuals to constantly retreat into the water column. However, even though lobsters in mud, sand, and bare treatments were not separated from one another or prevented from interacting, the proportion of individuals swimming in the water column in 30-L tanks and the settlement time of individuals in 600-L tanks still differed by substrate. Thus, settlement time was unlikely to have varied by substrate due to differences in agonistic interactions. Accordingly, the proportion of postlarvae swimming in the water column and postlarval settlement time likely represents, and serves as a good proxy for, substrate preference.
Although the three laboratory experiments differed markedly in their design, particularly in terms of space afforded for postlarval swimming, they all suggest that postlarvae prefer cobble substrate. In all experiments, postlarvae left the water column much more rapidly over cobble bottom than over less complex substrates. Also, the faster settlement upon mud compared to sand or bare tank bottom in both the 30-L and 600-L tanks indicates that mud is a preferred settlement substrate when cobble is absent. We can conclude that postlarval settlement substrate preferences are: cobble > mud > sand and bare. These substrate preferences are similar to previous findings in the lab (Botero and Atema 1982), and field (Cobb et al. 1983, Hudon 1987, Wahle and Steneck 1991). For example, postlarvae given a choice of substrates in the same tank settled preferentially and most rapidly upon cobbles, followed by mud, and last upon sand (Botero and Atema 1982). Similarly, early benthic phase lobsters given a choice of substrates in the same tank sheltered on cobble more often than mud, and on mud more often than on sand (Wahle and Steneck 1992), while in a tank with exposed cobbles at one end and cobbles buried by silt-clay (i.e. mud substrate) at the other, significantly more EBP lobsters sheltered in the exposed-cobbles end of the tank (Pottle and Elner 1982). In a field experiment, swimming postlarvae settled and sheltered when encountering rock crevices on the bottom but kept swimming when encountering a sand-mud substrate (Cobb *et al.* 1983). In a field survey, newly-settled and small EBP lobsters were seen in cobble but not on sand or flat bedrock (Hudon 1987, Wahle and Steneck 1991). Similarly my field study in Maces Bay indicated that both YOY and juvenile EBP lobsters prefer cobble to mud (see below). Thus, there is considerable evidence that postlarval and early benthic phase lobsters prefer cobble substrate, or in the absence of cobble, they prefer mud.
Lobster preference for a substrate reflects the habitat quality of the substrate
There is good evidence that substrate preference demonstrated by lobster postlarvae and juveniles in this and previous studies is a good indicator of each substrate’s suitability as juvenile habitat. Given that settling postlarvae and small juvenile lobsters are vulnerable to predation (Wahle and Steneck 1992, Ball et al. 2001, Sigurdsson and Rochette 2013), a good habitat should provide ready access to a shelter and should protect well against predators and be easy to maintain. Rapid settlement onto cobble, a delay before settlement onto mud, and a longer delay before settlement onto sand or a bare substrate suggests cobble is the most suitable habitat followed by mud followed by flat sand and bare exposed surfaces (such as flat bedrock).
Cobble does indeed protect juvenile lobsters from some predators better than either mud (Barshaw and Lavalli 1988, Wahle and Steneck 1992) or sand does (Lavalli and Barshaw 1986). Cobble provides ready-made, permanent shelters in the interstices of the cobbles, or underneath if lobsters remove sediment from underneath (Cobb 1971, Berrill and Stewart 1973, Botero and Atema 1982). On bare mud with no rocks, lobsters must excavate a U-shaped tunnel into the sediment (Botero and Atema 1982, this study), which takes considerable time and energy as the tunnel must be continuously maintained or rebuilt when it collapses (Barshaw and Bryant-Rich 1988). Also, and perhaps most importantly, mud does not protect against predation as well as cobble (Barshaw and Lavalli 1988, Wahle and Steneck 1992), although presumably an underground tunnel would afford better protection than being exposed on open sand or bedrock. Sand is not cohesive enough to support burrowing, and on bare sand with no rocks, lobsters can only scoop out a shallow depression to occupy (Botero and Atema 1982, this study). Even
simple manipulations are impossible on bedrock; thus, on bare sand as on exposed bare rock, lobsters cannot produce a shelter. Clearly, a structurally complex, three-dimensional environment (such as that produced by cobble or tunnels in mud) provides better shelter than a simpler, structurally homogenous environment (such as that provided by flat sand or bare bedrock). This varying shelter quality probably explains why postlarvae rapidly settle upon cobble, settle upon mud after a short delay, and delay settling the longest when encountering sand or a hard tank bottom.
**The costs of delayed settlement**
The experiments reported here suggest that postlarvae delaying settlement may incur three costs: (i) greater risk of predation, (ii) decreased development rate by delaying moult to stage V, and (iii) decreased growth rate due to a smaller size increment in carapace length and mass after moulting. First, delaying settlement increases the duration that swimming postlarvae are exposed to predation while they are in the water column (Hudon 1987), as they dive to the bottom to explore (Roach 1983, Sigurdsson and Rochette 2013), and while they remain exposed on the bottom while seeking shelter (Lavalli and Barshaw 1986, Wahle and Steneck 1992). The risk of predation presumably drops once a lobster leaves open water or open ground and occupies a protective shelter.
The second potential cost to delaying settlement is a delay in the moult to stage V, and its associated size increase, which would render an individual competitively inferior to larger conspecifics that had already moulted, and extend the amount of time small lobsters are susceptible to some predators. It is notable that in the 30-L tanks, in which swimming (particularly vertically) was more constrained and only monitored over 13
days, time until moult showed fewer significant differences between substrate treatments than in the 600-L tanks, although the pattern was similar. More specifically, in both the 30-L and 600-L tanks, lobsters settled more rapidly onto cobble bottom than onto all other substrates. However, whereas in the 600-L tanks this resulted in lobsters moulting significantly faster over cobble than over mud, and significantly faster over mud than over sand, in the 30-L tanks the only significant difference in time until moult was between postlarvae over cobble and sand. I believe the reason why patterns were not as clear in the 30-L as in the 600-L tanks is related to constraints to swimming behaviour imposed by the smaller tanks. Interestingly, differences in swimming time and time until moult on different substrates in these two experiments support this interpretation. More specifically, over cobble, a substrate that consistently led to rapid settlement in both experiments, the average time until moult was similar in the 30-L and 600-L tank experiments (15 d). However, over the less-preferred substrates, where postlarvae delayed settlement, lobsters did not swim as long in the smaller 30-L tanks (after 13 days, only 20% still swam over mud, 30% over sand, and 39% over bare) as they swam in the 600-L tanks (after 13 days, 85% still swam over mud, and 86% over sand). Neither did lobsters delay moult as long in the 30-L tanks (mud = 17 d; sand = 18 d; bare = 19 d) as they did in the 600-L tanks (mud = 19 d; sand = 23 d). I cannot directly investigate the relation between settlement time and time until moult in the 1-L jar experiment, given that swimming behaviour was not quantified in this experiment as the small containers offered little space for swimming and indeed very few postlarvae were seen swimming during daily observations, even after only 4 days (estimated at less than 5-10%).
However, moult patterns in this experiment also suggest that constraining swimming
behaviour affects time until moult, as postlarvae in 1-L jars consistently moulted more rapidly on all four substrates (cobble = 11 d; mud = 12 d; sand = 12 d; bare = 16 d) than in larger tanks as outlined above. Thus, delayed settlement over less-preferred substrates was associated with delayed moult, although this effect became less clear when swimming behaviour was constrained by reduced tank size.
The third potential cost to delaying settlement is a decreased growth rate, manifested as a smaller size increment in carapace length and mass upon moulting to stage V. In the 600-L tanks, the postlarvae taking longest to settle (those over sand) exhibited, on average, a smaller increase in carapace length and mass after moulting than postlarvae that settled sooner (those over cobble and mud). Substrate had comparatively little effect on growth of postlarvae in the 1-L jar and 30-L tank experiments, again probably because these offered little space for swimming, as just discussed in regards to variation in time until moult. Interestingly, when using each of the 12 individual tanks of the 600-L experiment as replicates, settlement time showed no continuous relationship with post-moult carapace length or mass as seen for time until moult. Instead, increasing settlement time resulted in no differences in post-moult growth except at the longest delay times (over sand) where post-moult growth suddenly dropped. This result was surprising, and in particular the observation that growth of lobsters over mud was not significantly different from those over cobble, despite the fact that they delayed settlement markedly longer relative to conspecifics over cobble (100% settlement took 8 days over cobble, and 25 days over mud). In fact, the mass of stage V lobsters over mud in the 600-L tanks tended to be less variable and somewhat greater (5-17% heavier) than those over cobble, although not significantly so. Given our attempts to provide food *ad
libidum to lobsters in all treatments, these results suggest that there may exist a complex relationship between settlement time and growth, where increments in time to settle have little effect on postlarval growth up until a point beyond which marked effects on growth occur. More specifically, the extra days spent swimming over mud (versus cobble) did not reduce post-moult growth, or at least reduced it insufficiently to be detected by the morphometric indicators I used (length and mass), whereas the few days extra spent swimming over sand (versus mud) strongly reduced growth. This result suggests that, in the laboratory, lobster postlarvae over mud do not delay settlement to the point of negatively impacting growth, as those over sand do, and suggests that juveniles regard mud as a better settlement habitat than sand when cobble is not available.
An alternative explanation for the similar growth of lobsters over cobble and mud, despite the markedly different swimming time over the two substrates, is that unequal feeding opportunities between the cobble and mud treatments may have compensated for differences in energetic status arising from the different settlement times on these two substrates. Under this scenario, postlarvae delaying settlement over mud would have been expected to experience lower growth relative to postlarvae over cobble, but in my experiments these differences may have been compensated for in one of two ways. First, if lobsters on mud acquired more food from their substrate after settlement this could have boosted their growth to a level similar to lobsters on cobble. The mud used in the 600L tanks was not dried or sieved and contained some macroscopic organisms such as small worms and crustaceans. Lobsters on mud could thus have supplemented their brine shrimp diet with these items. Although a possibility, I do not believe this food compensation occurred. If lobsters on mud were supplementing growth by consuming
live organisms from the mud, then growth in the 600-L tanks lined with fresh mud should have been greater than growth in the 30-L tanks lined with mud that had been sieved and dried to remove most of these additional food sources. Instead, the mean mass of stage V on mud was similar in 600-L (0.040 g) and 30-L (0.042 g) tanks, and mean carapace length was identical (4.4 mm). Furthermore, if lobsters were feeding on small pieces of organic matter present in either fresh or dried mud, then growth over mud should have been enhanced in all the laboratory experiments. Instead, in the 1-L jars, lobsters on mud had a smaller mean carapace length (4% shorter) and significantly lower mean mass (11% lower) than those on cobble. It is clear that the use of intertidal mud was not consistently linked to increased growth in the mud treatment and it therefore seems unlikely this could account for the similar post-moult size of individuals in the mud and cobble treatments in the 600-L tank experiment.
A second potential food-related explanation for the similar growth of lobsters over cobble and mud, despite the markedly different swimming time over the two substrates, is that lobsters in cobble tanks may have tended to remain sheltered and as such, encountered food less frequently than conspecifics on mud. In the 600-L and 30-L cobble-lined tanks, postlarvae quickly left the water column to shelter under cobbles and were not seen foraging outside their shelter. Recent settlers are believed to remain in their shelter, feeding by capturing organisms in the water using pleopod fanning or by ambushing prey at the shelter entrance (Barshaw and Bryant-Rich 1988, Lavalli and Barshaw 1989). It is possible that this cryptic behavior limited access to food as brine shrimp that fell to the bottom would not always have landed immediately in front of the cobble shelters. In contrast, in the 600-L and 30-L tanks, postlarvae delaying settlement
over mud, sand, or a bare tank bottom were observed feeding readily on food floating in the water column. Once these postlarvae settled to the bottom of their tank, they may have been more likely to detect and encounter brine shrimp falling to the bottom than postlarvae hidden under a cobble shelter would have. Accordingly, postlarvae over mud, sand, or a bare tank may have had better access to food than those over cobble. This interpretation is supported by the fact that the mean mass of stage V lobsters in cobble in the small 1-L jars, where food was confined in the immediate area of settled postlarvae, was heavier (0.044 g) than the mean mass of lobsters in the larger cobble-lined 30-L tanks (0.036 g) or 600-L tanks (0.038 g). The design of my study does not enable me to assess the effect of food acquisition (in the plankton and on the benthos) on the relationship between settlement delay and growth, but it does conclusively demonstrate that delaying settlement can negatively affect lobster development and growth. Future studies should investigate the separate and interactive effects of food availability (planktonic and benthic) on settlement time and growth.
While several studies have looked at substrate preference by lobster postlarvae and early benthic phase juveniles (Botero and Atema 1982, Pottle and Elner 1982, Wahle and Steneck 1992), and one has quantified postlarval settlement time on different substrates (Botero and Atema 1982), my study is the first to demonstrate that delaying settlement can negatively affect lobster development and growth. Growth in lobsters is only possible when the old carapace is moulted to free the new, larger carapace that has developed underneath. Thus, frequency of moulting, time to each moult, and size increment after moult all determine the rate at which a lobster develops and grows. Although it is unknown if postlarval lobsters delaying settlement incur costs only to their
first benthic moult or to subsequent moults as well, in some species the costs of delaying settlement persist through subsequent developmental stages (de Jesus de Brito Simith *et al.* 2013), or may even manifest in later juvenile or adult stages (Pechenik 2006).
However, even if development and growth rates soon resume levels exhibited by non-delaying individuals, those that delayed settlement may still be smaller than average due to their first reduced growth increment (Gebauer *et al.* 1999). For juvenile lobsters, any reduction of development and growth is problematic, given that smaller individuals are at a disadvantage when competing with larger conspecifics for food and shelter (O’Neill and Cobb 1979), and are at greater risk of predation with a smaller body size (Wahle and Steneck 1992). Any delay in moult and any reduction in carapace length and mass increment would extend the amount of time an individual is at higher risk.
It is likely because of these costs of delayed settlement that larvae do not indefinitely delay settlement in search of high quality cobble habitat. Instead, postlarvae are known to become less selective about the quality of their shelter with time (Boudreau *et al.* 1993), and in my study they eventually settled on all substrates before survival to stage V was affected. This behaviour would limit the expenditure of energy and its associated costs to development and growth, while still allowing some time to seek high-quality shelter. Ultimately, to maximize growth and survival postlarvae must balance the hazards of settling into a poor quality habitat (risking higher exposure to predation by pelagic and benthic predators), against the hazards of spending more time swimming in the water column (risking predation by pelagic predators as well as energy depletion and the associated reduced development and growth rates).
Mechanisms underlying developmental and growth costs of delayed settlement
Delayed settlement could delay moult and reduce post-moult size increment in several different ways, but it seems most probable that the energetic demand associated with the additional swimming while delaying settlement is responsible. Postlarval lobsters store more lipids than earlier larval stages, and these stores are believed to serve as an energy reserve allowing postlarvae a few days to find or construct shelter as they transition to the benthos before they must begin feeding (Sasaki et al. 1986). The growth increment between stage IV and V is extremely low relative to earlier larval stages as well as older juveniles up to stage XIV (Hudon 1987, James-Pirri and Cobb 1987), which has been interpreted to mean that new settlers are spending more time seeking shelter or remaining sheltered than they are feeding (Hudon 1987, James-Pirri and Cobb 1997). Shelter-restricted behaviour may increase the reliance of newly-settled postlarvae on their energy stores (Sasaki et al. 1986), which extended swimming may have depleted. Lobsters that are poorly nourished or starved (i.e. have reduced energy reserves) have been shown to delay moult or exhibit smaller growth increment upon moulting (Templeman 1936, Carlberg and Van Olst 1976, Anger 1987, Thériault and Pernet 2007). In a similar fashion, reduction of energy reserves by extended swimming may also delay moult and reduce the post-moult size increment. In my experiments, the amount of swimming room in the tanks influenced how strongly swimming time (i.e. settlement delay) affected time until moult as well as post-moult increase in carapace length and mass. Only in the large 600-L tanks, which had ample room for postlarvae to swim extensively, and where more swimming activity was indeed observed, did we consistently see significantly different times to moult and significantly smaller size
increments in lobsters taking the longest to settle (i.e. swimming the longest). These results suggest that in nature, where swimming is not constrained, delayed settlement reduces development and growth by way of the energy consumed during prolonged swimming.
Energy consumed while swimming during delay of settlement is a more plausible explanation for the reductions in development and growth seen in these experiments than other factors such as establishment of a dominance hierarchy, effects of high conspecific density, or energy consumed while manipulating a substrate. While a dominance hierarchy may delay moult (Cobb 1970, Cobb and Tamm 1974), and high conspecific density may lower post-moult size increments (Aiken and Waddy 1978, Roach 1983), I saw marked growth differences in the 600-L and not the 30-L tanks, despite the fact that lobsters were stocked at lower densities, and presumably interacted less, in the 600-L tanks than in the 30-L tanks. Bottom substrates themselves do not appear to directly affect time until moult or growth at moult (Cobb 1970, Roach 1983), although substrate manipulation could consume energy normally put into moulting and growth. However, the length and mass of stage V lobsters in 30-L and 600-L mud-lined tanks were similar to, or even greater than, the length and mass of lobsters on cobble or sand, even though lobsters on mud had manipulated the substrate the most by scooping out depressions and digging tunnels. In contrast, individuals on cobble or sand performed no or few substrate manipulations as lobsters on cobble were too small to move their cobbles, and lobsters on sand made very few depressions and no complex shelters, due to low cohesiveness of this substrate. Thus, extended swimming time and depletion of energy reserves seem to best
explain the differences among substrates in time until moult and post-moult carapace length and mass.
In summary, it is advantageous for postlarvae to delay settlement for some time over substrates which provide only poor shelter. However, there can be a trade-off in terms of the energy consumed and the resulting effects on development and growth if an individual delays too long. The decisions made by individual postlarvae are important as they can influence the demography of lobster populations. The amount of time spent swimming in the water column over various substrates will influence dispersal distances and patterns and will shape connectivity within and between populations, while the substrate choices postlarvae make when settling will result in settlers being patchily distributed in nature. In particular, we can expect higher densities on high quality cobble habitat, and this is indeed observed in nature (Hudon 1987, Wahle and Steneck 1991), but my lab findings also suggest that postlarvae may also be settling on mud bottom to avoid development and growth costs associated with delaying settlement when preferred cobble bottom is not encountered.
**Mud substrate as juvenile habitat in Maces Bay**
The field survey in Maces Bay, in the Bay of Fundy, an area containing cobble reefs known to support lobster settlers and EBP juveniles (Gudjon Mar Sigurdsson, pers. comm.) was performed to assess whether settlers and juvenile lobsters are also present on mud substrate in Maces Bay and to examine how the juveniles are using mud habitat. Our current understanding is that only cobbles, or cobbles scattered on sedimentary substrates, play a significant role as settlement habitat for American lobsters (Hudon
However, in nature, cobble habitat may not always be available and my laboratory experiments (see also Botero and Atema 1982) have shown that postlarvae prefer mud substrate over sand or glass bottom and will settle upon non-cobble substrates rather than die. Mud, in particular, can be modified to produce a structurally complex shelter in the form of tunnels (Berrill and Stewart 1973, Botero and Atema 1982). Given that mud is present across the lobster’s range (USGS 2005, Fader et al. 1977, Shaw et al. 2012, Schumacher et al. in preparation) and abundant in many parts of the Bay of Fundy (Fader et al. 1977, Shaw et al. 2012, Schumacher et al. in preparation) such as Maces Bay, and given the previous observations of juvenile lobsters on mud seafloor (see Introduction), mud habitat has the potential to serve as settler and juvenile habitat in the wild.
In this field study, I found evidence of newly-settled lobsters and early benthic phase juveniles using mud bottom as habitat in Maces Bay. Juvenile lobsters measuring 7.1 - 51 mm in carapace length (CL) were found in the collectors, encompassing animals only a couple of months old, up to probably 5 years of age (Taryn Minch, pers. comm.). This represents all juvenile life history phases, including shelter-restricted juveniles (4-14 mm CL), emergent juveniles (15-25 mm CL), vagile juveniles (25-40 mm CL), and adolescents (>40 mm CL) (Lavalli and Lawton 1996). While this size range has been previously seen in collectors on cobble reefs (Wahle et al. 2009, Wahle et al. 2013, Gudjon Mar Sigurdsson, pers. comm.), this is the first time collectors were deployed on mud bottom and my findings strongly suggest that mud habitat in Maces Bay is supporting juvenile lobsters encompassing all of the Lavalli and Lawton (1996) life history phases. Whereas animals < 13 mm CL were probably young of the year (YOY)
that settled on cobble inside the collectors, and thus never lived on mud bottom, the older individuals $\geq 13$ mm CL had likely spent some or all of their lives on mud bottom (see below).
**Settlement onto cobble and mud bottom**
The densities of newly-settled young of the year (YOY) in the collectors support our current understanding that postlarval settlers preferentially settle in cobble habitat. There were more YOY settlers found in collectors on cobble than in collectors on mud (centre and edge), despite both types of collectors containing identical cobble substrate. This is most likely due to postlarval preference of the surrounding cobble substrate over mud substrate (Botero and Atema 1982, Wahle and Steneck 1992, this study) leading to individuals spending more time testing the bottom over their preferred cobble substrate and less often over mud, leading to fewer encounters with collectors on mud.
The greater abundance of YOY settlers in collectors on cobble is also far more likely to reflect higher initial settlement into collectors on cobble rather than factors such as oceanography or differential mortality. While the numbers of settlers at a site can be influenced by site-specific differences in oceanographic properties such current strength and direction, water depth, and temperature (Boudreau *et al.* 1992, Wahle and Incze 1997, Xue *et al.* 2008, Chassé and Miller 2010), this is unlikely to be the case here. My five sites in Maces Bay were in close proximity (in an area of roughly $1.8 \text{ km}^2$), the mean depth among sites varied at most by 1.8 m, whereas depth could vary by 1.4-5.3 m within a site, and mean bottom temperature only varied by 0.15°C among sites, whereas temperature could vary by 7-16 °C within a site over the study period. Higher mortality
in collectors on mud could also have lowered counts of YOY settlers compared to collectors on cobble, but it is unclear why mortality by lobster predators would differ for postlarvae in collectors on the two substrates. Lobsters would have been sheltering in identical cobble-filled cages placed on either mud or cobble seafloor and predators of small lobsters, such as fish and crabs, exist at higher densities in cobble habitat (Wahle and Steneck 1992). Thus, it seems most likely that the different abundance of YOY settlers between the cobble and mud environments was due to higher settlement into collectors on cobble, possibly due to increased sampling of the preferred cobble seabed, leading to more encounters with the collectors on cobble.
Although postlarvae prefer settling onto prime cobble habitat, my study provides evidence that they are also settling onto mud bottom. It is important to stress that the presence of settlers of the year (YOY: carapace length 7.1 - 13 mm) (Gudjon Mar Sigurdsson, unpublished data) in collectors on mud does not actually provide evidence of settlement on mud bottom, as these postlarvae settled into a small patch of cobble habitat I provided that was surrounded by mud, but they did not settle onto mud itself. However, the presence of YOY does indicate larvae are present in the water over the mud sites and are sampling the benthos in muddy areas. Instead, the best evidence for settlement onto mud comes from the presence of the small juveniles measuring 13-16 mm CL in collectors on mud bottom at the Centre Mud site, which includes both shelter-restricted and small emergent juveniles according to the Lavalli and Lawton (1996) scheme, and probably comprises individuals that are mostly 1 year old, and possibly some that are 2 years old (Taryn Minch, pers. comm.). Shelter-restricted juveniles are thought to be largely confined to their shelters, acquiring food by suspension feeding or ambushing
prey at the entrance of their shelter (Barshaw and Bryant-Rich 1988, Lavalli and Barshaw 1989), while emergent juveniles make only short forays outside shelter (Lavalli and Lawton 1996). It thus seems unlikely these individuals would have left patches of prime cobble habitat, which I estimate would have been a minimum of 400 m away from the centre of the mud patch where I deployed collectors, and walked unsheltered and exposed into an area of mud habitat with poorer prospects for shelter. It is also interesting that the relative abundance of these small individuals (13-16 mm CL), compared to other-size lobsters, was significantly greater in collectors on mud than in collectors on cobble, which may reflect a greater tendency for these individuals to move in mud habitat, where shelters may periodically degrade, than in structurally complex cobble habitat. Thus, there is evidence for both settlement and retention of postlarval lobsters on mud habitat.
**Use of mud bottom by early benthic phase juveniles**
The presence of lobsters measuring 17-51 mm CL in collectors provides further evidence that juvenile lobsters occupy mud bottom. I believe variation in the abundance and relative abundance of lobsters 37-51 mm CL, which are estimated to be 3-5 years of age (Taryn Minch, pers. comm.), is best interpreted as resulting from emigration of larger individuals into mud-bottom areas. Whereas settlement was greater in collectors on cobble bottom than on mud, and densities of previously settled juveniles in my study were markedly greater in collectors deployed on cobble than those on mud, the relative abundance of individuals 37-51 mm CL compared to other sizes was actually greater in collectors on mud (38.9%) than on cobble (9.6%). Similarly, the absolute abundance of the larger adolescent juveniles measuring more than approximately 40 mm CL was as
high inside collectors on mud as inside those on cobble. I believe these patterns reflect larger lobsters moving into the Centre Mud site from outlying areas. The Pooled Edge Mud areas had an abundance and size structure of juvenile lobsters intermediate to those at the Centre Mud site and Pooled Rock areas, between which it lay. This observation could reflect movement of juveniles from rocky areas into the Pooled Edge Mud areas where they influenced the abundances and size composition of EBP juveniles therein (although the substrate composition of the Pooled Edge Mud areas, which was intermediate to that at the purely mud Centre Mud site and the rocky Pooled Rock area, may also explain the observed patterns). Nonetheless, given the mobility of larger juveniles, and their patterns of abundance, I believe their presence in collectors on mud is at least partly the result of these individuals moving broadly among different substrates.
A recent ultrasonic telemetry study has shown that large juveniles 37-51mm CL are capable of crossing the ~ 400 m separating the cobble patches from the Pooled Edge Mud areas and the ~ 400 m distance from the Pooled Edge Mud areas to the Centre Mud site (Bryan Morse, unpublished data). These individuals correspond to the largest vagile juveniles and adolescents (Lavalli and Lawton 1996), which are thought to be less strictly associated with shelter and to range farther abroad (Lavalli and Lawton 1996), since risk of predation decreases with larger body size (Wahle and Steneck 1992) and the diet of larger lobsters changes from items foraged or scavenged near the shelter, to one more reliant on larger, captured prey (Sainte-Marie and Chabot 2002). Furthermore, there is evidence that larger lobsters move away from areas of high conspecific density into areas of lower density, and reduced competition (Steneck 2006). As a result of these
ontogenetic changes in movement patterns, larger juveniles may move out from cobble reef and onto mud.
The abundance and relative abundance of smaller juveniles, including emergent and vagile individuals measuring 17-36 mm CL, which are estimated to be 1-4 years of age (Taryn Minch, pers. comm.), were markedly greater in collectors on cobble than in collectors on mud. The greater relative abundance of 17-36 mm CL juveniles in comparison to other size individuals in collectors on cobble than in collectors on mud is probably a result of the movement of large adolescents discussed above. As individuals over 37 mm CL leave cobble habitat and move into mud, this would increase the relative abundance of the 17-36 mm CL juveniles remaining on cobble, and decrease the relative abundance of 17-36 mm CL juveniles on mud as larger adolescents migrate in. The greater absolute abundance of the 17-36 mm CL juveniles inside collectors on cobble is not surprising, and undoubtedly is the result of much greater settlement, possibly combined with greater survival, on cobble than on mud bottom (Barshaw and Lavalli 1988, Wahle and Steneck 1992). As well, perhaps the small 17-36 mm CL juvenile lobsters move more on cobble bottom than on mud bottom, and are caught more frequently in collectors on cobble, either because they are more likely to be displaced by dominant individuals on cobble bottom where densities are much higher (Paille et al. 2002, Steneck 2006), and/or because they are more likely to forage over larger areas on structurally complex bottom than over more homogeneous mud bottom (Hovel and Wahle 2010). This latter hypothesis may initially appear contradictory to one proposed earlier, which suggested that the relative abundance of smaller individuals 13-16 mm CL was greater inside collectors on mud than those on cobble due to an increased tendency to
move about on mud when shelters degrade. The 13-16 mm CL individuals are predominantly shelter-restricted and are believed to remain tightly-bound to their shelters, at least when living on structurally complex cobble bottom where shelters are sturdy and more permanent. On mud bottom, however, shelters may collapse and force these small individuals to move to find or construct another shelter, hence 13-16 mm CL lobsters may move more on mud than on cobble, thereby appearing more frequently in collectors on mud than in those on cobble. In contrast, the larger 17-36 mm CL individuals (emergent and vagile phases) are thought to need to leave their shelters to forage over larger areas (Lavalli and Lawton 1996), including on cobble bottom. When in a cobble habitat, these individuals may be able exploit the complexity of their environment to move more freely, farther, and safely, than those on a homogenous mud bottom, hence 17-36 mm CL lobsters may move more on cobble than on mud, thereby appearing more frequently in collectors on cobble than in those on mud. It is not possible to say from my data which of these hypotheses is most likely, and clearly empirical work is needed to quantify survival and movement of juvenile lobsters on cobble and mud bottom.
In summary, the differences in lobster abundance and size frequencies between collectors at the Pooled Rock, Pooled Edge Mud, and Centre Mud areas suggest a pattern of habitat use that includes settlement on mud and also juvenile range expansion from cobble into mud habitat as juveniles grow. In the lab, postlarvae settle from the water column onto both cobble and mud habitat although cobble habitat is settled preferentially (Botero and Atema 1982), and the same is probably true in nature. The high numbers of postlarvae on cobble beds give rise to high numbers of small shelter-restricted, emergent,
vagile, and adolescent size classes in this habitat. All these life phases of juveniles, with the exception of adolescents, appear to be markedly less abundant on mud seafloor, probably due to the lower number of initial YOY settlers there, but they are nonetheless present. As juveniles grow in size, they increasingly move over larger distances and, given their densities are much greater on cobble than on mud bottom, these movements result in a net movement of juveniles from cobble to mud bottom. The largest juveniles disperse the farthest and appear to be spread out more uniformly across different seafloor substrates in Maces Bay. This, in turn, allows the population to spread out from its initial settlement sites (Wahle and Incze 1997), until as adults, lobsters are found in a great variety of habitats (Cooper and Uzmann 1977). The results of my study indicate that we may have underestimated the use of mud substrate by juvenile lobsters (7-51 mm CL), which in Maces Bay seem to be using mud habitat as initial settlement grounds, as habitat during early development, and as expansion habitat as they grow.
**Conclusion**
The results of this study are consistent with earlier work demonstrating that lobster postlarvae prefer to settle upon structurally-complex cobble bottom rather than upon more homogenous substrates such as mud, bedrock or sand, and that they will delay settlement when swimming over these homogenous substrates (Botero and Atema 1982). These findings strongly suggest that modelling efforts to understand stock structure and connectivity need to incorporate seafloor substrate as a parameter when estimating dispersal and settlement. This study also shows, for the first time, that there is a significant development cost and potential growth cost associated with delayed
settlement. However, more experimental work is needed to determine the actual relationship between settlement delay and postlarval development and growth to stage V under natural conditions, including natural food availability, and to determine whether the effects of settlement delay have longer-term consequences. Irrespective of the precise shape of the relationship between settlement delay, development, and growth, it appears that the costs of delaying settlement limit the amount of time postlarvae will swim in search of cobble habitat, and this likely explains why they have been observed to settle on structurally simpler substrates in the lab when the preferred cobble substrate was not available (Botero and Atema 1982, this study). Somewhat surprisingly, there is very little empirical evidence of postlarvae settling on substrates of low structural complexity in nature (see Introduction), and my field study in Maces Bay provides some of the scant evidence to date of lobster settlement on bare mud (see also Cooper and Uzmann 1977, Normandeau Associates Inc. 1999). I believe the scarcity of data pointing to postlarval settlement on structurally simple bottom is due to a combination of low settlement densities on such substrates, few attempts to survey non-cobble habitats for early benthic phase lobsters, and large challenges involved with sampling for lobster settlement in these habitats.
My study presents evidence of postlarval and juvenile lobster use of mud bottom in Maces Bay, but does not clearly indicate how important mud bottom is to the demography of lobsters within the bay, let alone more broadly within the Bay of Fundy (although see Introduction for previous studies noting EBP juveniles on mud bottom in other locations). Based upon densities of juveniles in the collectors, a conservative estimate suggests mud habitat could be important as lobster nursery grounds in these
areas. While the average density of juveniles in collectors was approximately 10 times higher on cobble (0.23 individuals m\(^{-2}\)) than on mud (0.021 individuals m\(^{-2}\)), at my study site in the north western portion of Maces Bay, mud bottom was roughly 4.5 times more common than cobble bottom. Furthermore, mud seafloor is prevalent in the Quoddy region in the Bay of Fundy (Fader et al. 1977, Shaw et al. 2012, Schumacher et al. in preparation) and across much of the lobsters’ range (USGS 2005). Hence, even though mud may support a lower density of juveniles than cobble reefs do, mud’s prevalence across the species’ range could make this an important secondary habitat for juveniles.
These rough calculations must be taken with caution given that the collector is a passive sampling tool and hence, lobster densities in collectors do not necessarily correspond to *in situ* densities (see Methods). EBP lobster densities in collectors on cobble have been found to be similar to densities obtained by suction sampling quadrats (Wahle et al. 2009, Wahle et al. 2013). However, collectors on mud may artificially concentrate densities as the collectors offer a higher quality patch of structurally complex substrate than the surrounding homogenous habitat does. Now that my study provides strong evidence of use of sediment bottom by a large size range of juvenile lobsters, including for settlement, it will be worth exploring more logistically difficult and costly sampling approaches to attempt to obtain accurate estimates of densities of these lobsters on mud bottom. Based on preliminary attempts, I believe that quadrats sampled by SCUBA divers do not represent the best approach to obtain these estimates, given the low densities expected and the difficulty of sampling large areas of bottom where easily-disturbed sediments rapidly compromise visibility. Instead, I believe two approaches worth exploring are (i) a modified *Nephrops* trawl, which is designed to capture
crustaceans that reside in mud depressions and burrows (Conan et al. 1994), or (ii) a clam dredge, which uses jets of water to lift infauna buried in sediments for collection in the trawl (Smolowitz and Nulk 1982). These instruments sample a known area (instrument width x tow length), and would provide more reliable estimates of juvenile densities.
In addition to accurate estimates of juvenile lobster densities on mud bottom, estimating the real contribution of mud and cobble bottom to lobster productivity will require a better understanding and estimates of several vital processes. First, given the evidence that juvenile lobsters are moving between habitats, tracking studies should be done to quantify juvenile movements, and help determine the proportion of time individuals spend in different habitats at different phases of their life. Second, it will be important to compare the health, development, growth, and survival of juveniles on mud and on cobble bottom.
It is unclear if mud bottom has always served to some extent as lobster nursery, or whether this habitat has only recently become important as lobster populations in many areas have grown. Preferred cobble habitat could be undergoing crowding, thereby leading to increasing numbers of juvenile lobsters moving out of cobble reefs and onto mud. At the same time, survival on mud may be improving with declining predator populations in many areas (Acheson and Steneck 1997). Mud may be serving as expansion habitat, and may even help some lobster populations avoid a bottleneck caused by limited availability of cobble (Wahle and Steneck 1991). Interestingly, the movement of juveniles into mud habitat may even make this substrate a good place to detect signs of population expansion, or early signs of contraction, before they are visible in cobble habitats (Ross Claytor, pers. comm.). If the current upward trend in lobster populations
continues, the importance of mud seafloor as American lobster nursery habitat is likely to increase.
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Curriculum Vitae
Candidate’s full name: Kristin Midori Dinning
Universities attended: Dalhousie University, 2010, Honours Bachelor of Science
McMaster University, 1997, Honours Bachelor of Science
Publications:
Dinning, KM, Metaxas, A. (2012). Patterns in the abundance of hyperbenthic zooplankton and colonization of marine benthic invertebrates on the seafloor of Saanich Inlet, a seasonally hypoxic fjord. *Marine Ecology* (2012), 1-12.
DOI:10.1111/j.1439-0485.2012.00517.x.
Conference Presentations:
Dinning, KM, Rochette, R. (2014). Juvenile American lobsters use mud-bottom seafloor as nursery habitat. *Canadian Capture Fisheries Research Network, Lobster Node 4th Annual General Meeting*. Awarded best poster presentation.
Dinning, KM, Rochette, R. (2013). Settlement delay and growth of postlarval American lobsters on different seafloor substrates, and juvenile use of mud seafloor. *Atlantic Canada Coastal and Estuarine Science Society 2013 Conference*. Awarded best oral presentation.
Dinning, KM, Rochette, R. (2013). Lobster population connectivity via larval dispersal: the importance of substrate. *Canadian Capture Fisheries Research Network 3rd Annual General Meeting*. Awarded best poster presentation.
Dinning, KM, Rochette, R. (2012). Is muddy seafloor important to settlement and early survival of American lobster? *The American Lobster in a Changing Ecosystem, a US/Canada Science Symposium*. Awarded best poster presentation.
Dinning, KM, Rochette, R. (2012). Implications of settlement delay in the American lobster and potential settlement in mud. *Fishermen and Scientists Research Society 19th Annual Conference*. Awarded best poster presentation.
Dinning, KM, Metaxas, A. (2009). Life on VENUS: Invertebrate colonization at depth in Saanich Inlet. *Canadian Meteorological and Oceanographic Society 43rd Annual Congress*. |
Multi-Phase Texture Segmentation Using Gabor Features Histograms Based on Wasserstein Distance
Motong Qiao\textsuperscript{1,*}, Wei Wang\textsuperscript{2} and Michael Ng\textsuperscript{3}
\textsuperscript{1} Department of Mathematics, Hong Kong Baptist University, Kowloon Tong, Hong Kong.
\textsuperscript{2} Department of Mathematics, Tongji University, Shanghai 200092, China.
\textsuperscript{3} Centre for Mathematical Imaging and Vision and Department of Mathematics, Hong Kong Baptist University, Kowloon Tong, Hong Kong.
Received 6 December 2012; Accepted (in revised version) 11 October 2013
Available online 14 March 2014
Abstract. We present a multi-phase image segmentation method based on the histogram of the Gabor feature space, which consists of a set of Gabor-filter responses with various orientations, scales and frequencies. Our model replaces the error function term in the original fuzzy region competition model with squared 2-Wasserstein distance function, which is a metric to measure the distance of two histograms. The energy functional is minimized by alternative minimization method and the existence of closed-form solutions is guaranteed when the exponent of the fuzzy membership term being 1 or 2. We test our model on both simple synthetic texture images and complex natural images with two or more phases. Experimental results are shown and compared to other recent results.
AMS subject classifications: 68U10
Key words: Multi-phase texture segmentation, Wasserstein distance, Gabor filter, Mumford-Shah model.
1 Introduction
Image Segmentation has been one of the most talked about issues in recent decades, due to its fundamental role in many image processing applications, such as image coding, image synthesis, pattern recognition and so on. From the point of view of human vision, most images, including both synthetic ones and natural ones, can be easily segmented into several phases by human naked eyes. However, this human visual system has complex neurobiological criterion for segmentation that would be challenging to imitate exactly for a computer. In a machine vision system, the segmentation criterion is usually
\textsuperscript{*}Corresponding author. Email address: firstname.lastname@example.org (M. Qiao)
based on the difference in intensity value, regional statistics and other features of disjoint phases.
The general $N$-phase segmentation problem can be illustrated as follows: Given a gray scale image $I : \Omega \rightarrow \mathbb{R}$, where the image domain $\Omega$ is a bounded, smooth and open subset of $\mathbb{R}^2$, the aim is to partition $\Omega$ into $N$ disjoint connected open subsets $\{\Omega_i\}_{i=1}^{N}$, i.e., $\Omega_i \cap \Omega_j = \emptyset$, $j \neq i$ and $\bigcup_{i=1}^{N} \Omega_i \cup \Gamma = \Omega$, by certain suitable measures, where $\Gamma$ is the union of the part of boundaries of the $\Omega_i$ inside $\Omega$. The segmentation is achieved by minimizing the summary energy functional:
$$\min \left\{ E(\Gamma, \Omega) = \sum_{i=1}^{N} \left( \int_{\Gamma_i} ds + \lambda \int_{\Omega_i} r_i(x) dx \right) \right\}, \quad (1.1)$$
where the first term is to restrict the boundary of the segment as short as possible and the second term is to use the error function $r_i(x)$ to measure the similarity between the features of the underlying $x$ and of different phases, so as to determine which phase it should belong to. Many edge-based and region-based models in literature share this idea in nature, while differs in the representation of the region $\Omega_i$, the error function $r_i$ and some other regularization terms might be added.
Snakes/Active Contours [22] and Balloons [13] are classical edge-based segmentation methods which minimize the energy through deforming an initial contour towards the object boundaries. However this energy model cannot deal with topological changes. Incorporating the techniques of curve evolution and geometric flows, many active-contour-based models were proposed (e.g., see [5, 6, 24]). These models works for those images whose object boundaries are smooth and clearly defined by intensity gradient, but in many cases the boundaries might not be simply defined in such a way, especially for texture images. This difficulty inspires many researchers to integrate regional features with edge information. Chan and Vese [7] incorporated the classical Active Contour model with Mumford-Shah functional [35] and assumed each region can be approximated by a piece-wise constant function. The difference with the classical Active Contour model is that its stopping criterion does not rely on gradient of the image. Thus the blurry edges or gaps caused by missing edges would not be an issue. Later they extended this model to handle vector-valued images [8] and recently many other variances were proposed (see [17, 41–43]). M-S model which studied by Mumford and Shah [35] holds the idea that each sub-region $\Omega_i$ can be approximated by a piece-wise smooth function $s_i$. Hence their model consists of three terms, one is the error function $r_i = (1 - s_i)^2$, the other two are regularizer on the approximate function $|\nabla s_i|^2$ and on the total length of the boundaries $|\Gamma|$. It has become one of the most dominating region-based models due to its great compatibility with other models and variability of the interpretation, for instance, Bresson et al. [3] incorporate the boundary information and shape prior to the M-S model, Brox and Cremers [44] introduced a statistical interpretation of the M-S functional, recently Sochen and Bar proposed a generalization of the original M-S model in combination of the Beltrami Framework.
Since their model is continuous, in terms of implementation, the main questions need to be considered are the discretization of the edge $|\Gamma|$ and the representation of the sub-regions $\Omega_i$. The first question can be addressed by some discrete approximation methods (see [2, 10, 15]). As for the latter question, a general approach is to apply the level set method of Osher and Sethian [38]. At the beginning, the level set method can only handle two-phase segmentation problem. Later in 2002, Chan and Vese [45] developed a multiphase level set framework based on M-S model. Recent applications of the level set method on image segmentation can be found in [12, 26, 27, 39].
Another dominating representation is based on the theory of fuzzy logic (see [25]) and region competition (see [50]). Zhu and Yuille first illustrate a unified theory of region competition and analysis in [49]. In [34], Mory and Ardon proposed a convex two-phase segmentation framework for fuzzy region competition, using the convex relaxation approach. Moreover, it has been proved that the relaxed convex and the original non-convex problems share the same global minimizers. Readers can refer to [5, 9] and others. Based on their work, Ng and Li developed two multi-phase segmentation methods using nonparametric probability density function [29] and piece-wise constant Mumford-Shah function [28] separately.
In addition to the two questions mentioned above, the feature space chosen to be based on is another essential aspect. Most of the models, such as classical M-S model and C-V model, are based on the intensity value itself of the original image, while other feature spaces often considered includes the regional statistics or histograms, LBP (Local Binary Patterns) and Gabor-filter responses. Among which the Gabor filter has been recognized as a good tool for texture analysis [21] formulated in 2-D case as:
$$G_{\sigma,f,\gamma} = g_\sigma(x,y)\exp\left[2\pi j f(x\cos\gamma + y\sin\gamma)\right], \quad (1.2)$$
where
$$g_\sigma(x,y) = \frac{1}{2\pi\sigma^2}\exp\left[-\frac{x^2+y^2}{2\sigma^2}\right].$$
It can be viewed as an oriented complex sinusoidal grating modulated by the 2-D Gaussian kernel $g_\sigma$ with the frequency $f$ of the spars-limited sinusoidal grating, the orientation $\gamma$ and the scale $\sigma$. It is a complex function with real and imaginary part as $G_{\sigma,f,\gamma} = G_R + jG_I$. To obtain the Gabor response of an image, one can just convolve the original image with the Gabor function and compute the magnitude as $G_{\sigma,f,\gamma} * I = \sqrt{(G_R * I)^2 + (G_I * I)^2}$. In real applications on the texture analysis or segmentation, people usually use multiple Gabor functions with different frequencies, orientations and scales, so called the filter bank, to achieve a Gabor feature space. It brings the problem of Gabor filter design, which aims at how to determine the parameters of the Gabor feature space.
In this paper, we take into consideration the histogram of the Gabor feature space based on the frequency $f$. For simplicity, we experimentally fix the parameter as $f = 0.01; 0.01:1$, $\sigma = 0.5$ in most cases and the orientation $\gamma$ need to be tuned for different image. The reason we choose this characteristic is that we experimentally find that the most dominant factor to the segmentation performance is the orientation of the Gabor filter.
Once $\gamma$ is chosen appropriately, reasonable performance can be obtained while tuning the other two parameters can achieve subtle improvement, but not be necessary in most cases. The advantage of this Gabor feature space towards intensity value is shown in Fig. 1, which consist of two different texture patterns with exactly the same local intensity histogram. Making use of the Gabor filter and the Wasserstein distance, we proposed a generalized multi-phase fuzzy region competition model which includes the model of Chan et al. [36] as a special case.
The other parts of this paper are arranged as follows. In Section 2, some related segmentation models are reviewed, which bring us the inspiration and motivation. Then
we introduce our proposed model in Section 3, followed by numerical analysis and algorithm. Finally, we test our method on some synthetic and natural images with two or more phases in Section 4 and present some discussions in Section 5.
2 Related works
In 2007, Mory and Ardon [33] proposed a two-phase segmentation method based on Fuzzy Region Competition model [34], using $\lambda \int_A (p_1(y) - K(I(x) - y))^2 dy$ as the error function $r_i$ to measure the similarity between a probability density function $p_i(y)$ and a symmetric kernel $K(I(x) - y)$. Their model is as following:
$$\min \left\{ E(u, p_1, p_2) = \int_\Omega |\nabla u| + \lambda \int_{x \in \Omega} u(x) \int_{y \in A} (p_1(y) - K(I(x) - y))^2 dy dx \right.$$
$$+ \lambda \int_{x \in \Omega} (1 - u(x)) \int_{y \in A} (p_2(y) - K(I(x) - y))^2 dy dx \right\}$$
subject to
$$\int_A K(y) dy = 1 \quad \text{and} \quad K(y) > 0, \quad \forall y \in A.$$
Their model is non-parametric and utilizes a point-wise distance between two probability density functions $p_1$ and $p_2$. Those models using this kind of point-wise distance, such as $\chi^2$ statistics, Kullback-Leibler distance (see [18, 19, 48]) and the Bhattacharyya distance (see [14, 32]), have some certain disadvantage that, for instance the distance between two delta functions with disjoint supports is the same no matter how close or how far the two supports are from each other.
In the same year, Chan et al. [9] proposed a level set based model utilizing different error function which measures the similarity between two cumulative distribution functions instead, so called the Wasserstein distance (or Monge-Kantorovich distance, details refer to [23] and [40]). Although this distance metric overcomes the drawback mentioned above, this model would face the problem of non-convexity of the level set functions, which means the segmentation results are sensitive to initialization. Later in 2009, Ni et al. [36] modified this model to a convex version with fuzzy membership $u \in [0, 1]$ as following:
$$\min \left\{ E(u, P_1, P_2) = \int_{\partial \Omega} ds + \lambda \int_\Omega W_1(P_1, P_x) u(x) dx + \lambda \int_\Omega W_1(P_2, P_x)(1 - u(x)) dx \right.$$
$$= \int_{\partial \Omega} ds + \lambda \int_\Omega \int_0^L |F_1(y) - F_x(l)| u(x) dl dx$$
$$+ \lambda \int_\Omega \int_0^L |F_2(l) - F_x(l)| (1 - u(x)) dl dx \right\}, \tag{2.1}$$
where $P_1$ and $P_2$ represent the histograms of intensity of object and background region separately, $F_1$ and $F_2$ are their corresponding cumulative distribution functions and $W_1(\cdot)$
is the linear Wasserstein distance. The Wasserstein distance in literature can be defined in general form:
\[
p-\text{Wasserstein Distance} = W_p(P_a, P_b) := \left( \int_0^L |F_a(l) - F_b(l)|^p dl \right)^{1/p},
\]
(2.2)
where \(P_a, P_b\) stand for two normalized histograms with \(F_a, F_b\) being their corresponding cumulative distributions and \(l \in [0, L]\) is the bar index of the histogram. However, the proof of the minimizer existence still remains to be resolved when using \(W_1\) distance and the solution of \(F_1, F_2\) requires calculation of weighted median for each bar in the histogram in each iteration. It would be much more costly using the method as they mentioned when the image is larger.
Other variants of this region-based active contour model in combination with regional statistics are as follows. In 2010, Xie [47] proposed another level set based model combing the Gabor filtered feature distribution instead of intensity. Wang et al. [46] extend the model to vector-valued version, which aims at integrating the responses from a filter bank with various orientation, scale and frequency and they introduced a way to select the optimal bins in the histogram. In 2011, Ma and Yu [31] incorporated the global convex Chan-Vese model with quadratic-chi histogram distance as the error function term, as well as using feature from Gabor-filter bank.
The afore mentioned works gave us the inspiration to develop a multi-phase model that overcomes those shortcomings, such as non-convexity, the expensive calculation and the bias caused by the point-wise distance, while makes an appropriate choice among different features like intensity, Local Binary Pattern (LBP) map and Gabor feature space. In the next section, we propose our model which extends Tony et al.’s model to a multi-phase case using the squared \(W_2\) distance based on the Gabor feature space and the proof of existence is given.
### 3 Proposed model
Firstly, we can rewrite the multi-phase fuzzy region competition model in [28] based on the \(p\)-Wasserstein distance (2.2) into a general form as following:
\[
\min \left\{ E(u_i, P_i) = \sum_{i=1}^{N} \int_{\Omega} |\nabla u_i| dx + \frac{\lambda}{q} \sum_{i=1}^{N} \int_{\Omega} W_p(P_x, P_i)^p u_i^q dx \right\},
\]
(3.1)
which incorporates the several previously mentioned model (see [9, 31, 36, 47]) as special cases: when \(N = 2, p = q = 1\) and \(u_i = \{0, 1\}\) being the Heavyside Function of a level set variable, the above model is the one in [9]; with the same setting, if the histogram is based on the Gabor feature space instead of intensity, this is the model proposed in [47]; when \(u_i = \{0, 1\}\) changes to a fuzzy membership function \(u_i \in [0, 1]\), this is the model in [36]; further on, if change the Wasserstein distance to quadratic-chi histogram distance, it becomes the model in [31].
In our multi-phase segmentation model, we set $p = 1$ or $2$, $q = 1$ or $2$, which means that the $W_1$ distance or squared $W_2$ distance are both considered and the fuzziness of the membership function $u_i$ is controlled by $q$ and the phase number $N$ can be greater than 2. Thus our model is given as:
$$\min_{u_i, P_i} \left\{ E(u_i, P_i) = \sum_{i=1}^{N} \int_{\Omega} |\nabla u_i| dx + \frac{\lambda}{q} \sum_{i=1}^{N} \int_{\Omega} W_p(P_{x,r}, P_i)^p u_i^q dx \right.$$
$$= \sum_{i=1}^{N} \int_{\Omega} |\nabla u_i| dx + \frac{\lambda}{q} \sum_{i=1}^{N} \int_{\Omega} \int_{0}^{1} |F_{x,r}(l) - F_i(l)|^p u_i^q dl dx \right\} \quad (3.2)$$
subject to:
(i) $\sum_{i=1}^{N} u_i = 1$, \quad (ii) $0 \leq u_i \leq 1$, for $i = 1:N$,
where $u_i(x)$ is the fuzzy membership function representing the probability of each pixel $x \in \Omega$ belonging to the corresponding phase $\Omega_i$, $P_{x,r}$, $P_i$ are the histograms of Gabor-filter responses corresponding to the local region $N_r(x)$ centered at $x$ and the resulting segment $\Omega_i$, $F_{x,r}(l)$, $F_i(l)$ are their normalized cumulative histograms with $l$ denoting each bar.
The numerical analysis of the solution of this minimization problem is given in the next section.
### 3.1 Numerical analysis
In this section, the existence of the minimizer of the following energy functional in the case of $p = 2$ is proved, however, the existence proof when $p = 1$ still remains to be resolved. Here we are trying to minimize the following energy:
$$\min_{u_i, F_i} \left\{ E(u_i, F_i) = \sum_{i=1}^{N} \int_{\Omega} |\nabla u_i| dx + \frac{\lambda}{q} \int_{\Omega} \int_{0}^{1} (F_{x,r}(l) - F_i(l))^2 u_i^q(x) dl dx \right\} \quad (3.3)$$
subject to:
(a) $\sum_{i=1}^{N} u_i = 1$,
(b) $0 \leq u_i \leq 1$, \quad for $i = 1, 2, \cdots, N$,
(c) $0 \leq F_i \leq 1$, \quad for $i = 1, 2, \cdots, N$,
where $\lambda, q, r$ are positive parameters. The energy functional is well defined in the following admissible set: $\Lambda = \{(u_i, F_i) | u_i \in BV(\Omega), \text{satisfies (a) and (b)}; F_i \in L^2(0, 1), \text{satisfies (c)}\}$. Then for the problem,
$$\min_{(u_i, F_i) \in \Lambda} \left\{ E(u_1, u_2, \cdots, u_N, F_1, F_2, \cdots, F_N) \right\}, \quad (3.4)$$
we have the existence theorem.
**Theorem 3.1.** Assume $F_{x,r} \in L^\infty(0,1)$ for all $x \in \Omega$, then for fixed parameters $N$, $\lambda$, $p$, $r$, there exists at least one solution of the problem (3.4) in the admissible set $\Lambda$.
**Proof.** First, if we let $u_i$ and $F_i$ be constants, the energy will be finite, which implies that problem (3.4) is the correct setting.
Suppose $\{(u^n_i, F^n_i)\}$ is a minimizing sequence of $E$; then there exists a constant $M > 0$ such that
$$E(u^n_1, u^n_2, \cdots, u^n_N, F^n_1, F^n_2, \cdots, F^n_N) \leq M.$$
The above inequality reads as
$$\sum_{i=1}^{N} \int_{\Omega} |\nabla u^n_i| dx + \frac{\lambda}{q} \int_{\Omega} \int_{0}^{1} (F_{x,r}(l) - F^n_i(l))^2 (u^n_i)^q dldx \leq M.$$
The boundedness of $\int_{\Omega} |\nabla u^n_i| dx$ and the constraint (b) guarantee that the sequence $\{u^n_i\}$ is uniformly bounded in $BV(\Omega)$ for each $i = 1, 2, \cdots, N$. Noting the compactness property of $BV(\Omega)$ with respect to $BV^s_w$ topology, up to a subsequence also denoted by $\{u^n_i\}$, there exists a function $u^*_i \in BV(\Omega)$ such that,
$$u^n_i \xrightarrow{L^1(\Omega)} u^*_i \quad \text{and} \quad u^n_i \to u^*_i \quad \text{a.e. } x \in \Omega.$$
Then by using the lower semicontinuity of total variation,
$$\liminf_{n \to \infty} \int_{\Omega} |\nabla u^n_i| dx \geq \int_{\Omega} |\nabla u^*_i| dx. \tag{3.5}$$
Meanwhile since $u^n_i$ satisfies constraints (a) and (b), by using the convergence result, $u^*_i$ also satisfies (a) and (b). Noting that $F^n_i \in L^2(0,1)$, together with the constraint (c) we can derive that the sequence $\{F^n_i\}$ is uniformly bounded in $L^2(0,1)$ for each $i = 1, 2, \cdots, N$. Therefore, there exists $F^*_i \in L^2(0,1)$ such that, up to a subsequence,
$$F^n_i \to F^*_i \in L^2(0,1) \quad \text{and} \quad F^n_i \to F^*_i \quad \text{a.e. } l \in (0,1).$$
Therefore,
$$\lim_{n \to \infty} \int_{0}^{1} F_{x,r}(l) F^n_i(l) dl = \int_{0}^{1} F_{x,r}(l) F^*_i(l) dy,$$
then we can easily deduce that for almost every $x \in \Omega$,
$$\int_{0}^{1} (F_{x,r}(l))^2 dl (u^n_i)^p - 2 \int_{0}^{1} F_{x,r}(l) F^n_i(l) dl (u^n_i)^q$$
$$\to \int_{0}^{1} (F_{x,r}(l))^2 dl (u^*_i)^p - 2 \int_{0}^{1} F_{x,r}(l) F^*_i(l) dl (u^*_i)^q.$$
Fatou’s lemma gives,
\[
\liminf_{n \to \infty} \int_\Omega \left( \int_0^1 (F_{x,r}(l))^2 dl (u_i^n)^q - 2 \int_0^1 F_{x,r}(l) F_i^n(l) dl (u_i^n)^q \right) dx \\
\geq \int_\Omega \left( \int_0^1 (F_{x,r}(l))^2 dl (u_i^*)^q - 2 \int_0^1 F_{x,r}(l) F_i^*(l) dl (u_i^*)^q \right) dx
\]
and
\[
\liminf_{n \to \infty} \int_\Omega (u_i^n)^q dx \geq \int_\Omega (u_i^*)^q dx.
\]
As a consequence of the lower semicontinuity for the $L^2$ norm,
\[
\liminf_{n \to \infty} \int_0^1 (F_i^n(l))^2 dl \geq \int_0^1 (F_i^*(l))^2 dl.
\]
Finally
\[
\liminf_{n \to \infty} \int_\Omega \int_0^1 (F_{x,r}(l) - F_i^n(l))^2 (u_i^n)^q dldx \\
= \liminf_{n \to \infty} \int_\Omega \int_0^1 (F_{x,r}(l))^2 (u_i^n)^q dldx - 2 \int_\Omega \int_0^1 F_{x,r}(l) F_i^n(l) (u_i^n)^q dldx \\
+ \int_\Omega (u_i^n)^q dx \int_0^1 (F_i^n(l))^2 dl \\
\geq \int_\Omega \left( \int_0^1 (F_{x,r}(l))^2 dl (u_i^*)^q - 2 \int_0^1 F_{x,r}(l) F_i^*(l) dl (u_i^*)^q \right) dx + \int_\Omega (u_i^*)^q dx \int_0^1 (F_i^*(l))^2 dl \\
= \int_\Omega \int_0^1 (F_{x,r}(l) - F_i^*(l))^2 (u_i^*)^q dldx.
\]
Combining the above inequality and (3.5), we have
\[
\min E(u_1, u_2, \cdots, u_N, F_1, F_2, c \cdots, F_N) \\
= \liminf_{n \to \infty} E(u_1^n, u_2^n, \cdots, u_N^n, F_1^n, F_2^n, \cdots, F_N^n) \\
\geq E(u_1^*, u_2^*, \cdots, u_N^*, F_1^*, F_2^*, \cdots, F_N^*).
\]
Meanwhile, we have $(u_i^*, F_i^*) \in \Lambda$, this completes the proof.
\[\square\]
### 3.2 Numerical algorithm
The alternative minimization method is used in the algorithm, i.e., iteratively minimizing the energy functional (3.2) in respect to $u_i$ or $P_i$ with the other fixed until the stopping criterion is reached. In the case of $q = 1$, the model is indeed the relaxed Potts model, which could been solved by many efficient approach. We adopt the continuous max-flow approach proposed by Yuan et al. [47], which rewrite the original minimization problem with respect to the membership function $u_i$ as a augmented Lagrangian function of the max-flow problem with $u_i$ being the multiplier. In the case of $q = 2$, we add an auxiliary variable and follow the method in [27] to find the approximated solution. The details of each case is as following.
3.2.1 Solving cumulative histograms $F_i$
Fix $u_i$, the minimization problem (3.2) with respect to $P_i$ can be simplified as:
$$\min_{P_i} \left\{ E_1 = \sum_{l=1}^{L} \int_{\Omega} W_p(P_{x,r}, P_i)^p u_i^p dx \right\}. \quad (3.7)$$
**Case $p=1$:**
In this case, we are minimizing:
$$\min_{F_i} \left\{ E'_1 = \sum_{i=1}^{N} \int_{\Omega} \int_{0}^{1} |F_{x,r}(l) - F_i(l)| u_i^1 dldx \right\}. \quad (3.8)$$
For each bar $y=1, 2, \cdots, L$, the minimizer is given by:
$$F_i(l) = \text{weighted (by } u_i^1(x)) \text{ median of } F_{x,r}(l). \quad (3.9)$$
As for the details of how to compute the weighted median of a cumulative histogram, please refer to [36].
**Case $p=2$:**
For each bar $y=1, 2, \cdots, L$ in the normalized histogram $P_i$, the minimization problem $E_1$ is similar to that with the Chan-Vese error function:
$$\min_{F_i} \left\{ E''_1 = \sum_{i=1}^{N} \int_{\Omega} \int_{0}^{1} |F_{x,r}(l) - F_i(l)|^2 u_i^2 dldx \right\}. \quad (3.10)$$
Take the derivative of $E''_1$ with respect to $F_i(l)$ and setting it to zeros, we can achieve the closed form solution as:
$$F_i(l) = \frac{\int_{\Omega} F_{x,r}(l) u_i^2 dx}{\int_{\Omega} u_i^2 dx}. \quad (3.11)$$
3.2.2 Solving membership function $u_i$
Fixing $F_i$, the minimization problem (3.2) with respect to $u_i$ becomes:
$$\min_{u_i} \left\{ E_2(u_i) = \frac{\lambda}{q} \sum_{i=1}^{N} \int_{\Omega} W_p(P_{x,r}, P_i)^p u_i^p dldx + \sum_{i=1}^{N} \int_{\Omega} |\nabla u_i^p| dx \right\} \quad (3.12)$$
subject to
(a) $\sum_{i=1}^{N} u_i(x) - 1 = 0,$
(b) $0 \leq u_i(x) \leq 1, \quad \text{for } i = 1, \cdots, N.$
**Case $q=1$:**
In this case, we are minimizing indeed the relaxed Potts model subject to (a) and (b):
$$\min_{u_i} \left\{ E_2'(u_i) = \lambda \sum_{i=1}^{N-1} \int_{\Omega} W_p(P_x,P_i)^p u_i dx + \sum_{i=1}^{N} \int_{\Omega} |\nabla u_i^H| dx \right\}. \quad (3.11)$$
It has been proved in [5,9] that the above minimization problem is equivalent to the continuous max-flow model and share the same global minimizer. Thus we can rewrite (3.11) as its primal-dual formulation:
$$\max_{p_s,p,q} \min_{u} \left\{ E_{2,dual}(p_s,p,q;u) = \int_{\Omega} p_s dx + \sum_{i=1}^{N} \int_{\Omega} u_i (\text{div} q_i - p_s + p_i) dx \right\}$$
s.t. $p_i(x) \leq W_p(P_x,P_i)^p$, $|q_i(x)| \leq \frac{1}{\lambda}$, $i=1,\cdots,N$, \quad (3.12)
where $p_s$ denotes the unconstrained source flow, $p_i(x)$ and $q_i(x)$ denotes the constrained sink flow and spatial flow respectively. Then the augmented Lagrangian formulation can be defined as:
$$\min_{u} \max_{p_s,p,q} \left\{ E_{2,dual}'(p_s,p,q;u) = \int_{\Omega} p_s dx + \sum_{i=1}^{N} \langle u_i, \text{div} q_i - p_s + p_i \rangle \right.$$
$$\left. - \frac{\varepsilon}{2} \sum_{i=1}^{N} \| \text{div} q_i - p_s + p_i \|^2 \right\}, \quad (3.13)$$
where $\varepsilon > 0$. Note that the min and max operators can be interchanged because the conditions of the min-max theorem are all satisfied. Multiplier-based max-flow algorithm [47] can be adopted to find the final $u_i(x)$.
**Case $q=2$:**
In this case, we can add an auxiliary variable $v_i$ to approximate $u_i$, thus we are minimizing:
$$\min_{u_i} \left\{ E_2''(u_i) = \frac{\lambda}{2} \sum_{i=1}^{N} \int_{\Omega} W_p(P_x,P_i)^p u_i^2 dx + \frac{1}{2\theta} \sum_{i=1}^{N} \int_{\Omega} (v_i - u_i)^2 dx \right\} \quad (3.14)$$
subject to
(a) $\sum_{i=1}^{N} u_i(x) - 1 = 0,$
(b) $0 \leq u_i(x) \leq 1,$ for $i=1,\cdots,N.$
In this case, the minimization problem with respect to $v_i$ is:
$$\int_{\Omega} |\nabla v_i| dx + \frac{1}{2\theta} \int_{\Omega} (v_i - u_i)^2 dx. \quad (3.15)$$
Applying the Chambolle’s fast dual projection algorithm [13], this problem can be solved by:
\[ v_i = u_i - \theta \text{div} p_i^s, \quad i = 1, \cdots, N, \]
(3.16)
where the vector \( p_i^s \) can be solved by the fixed point method: Initialize \( p_i^0 = 0 \) and iterate:
\[ p_i^{n+1} = \frac{p_i^n + \tau \nabla (\text{div} p_i^n - u_i / \theta)}{1 + \tau |\nabla (\text{div} p_i^n - u_i / \theta)|} \]
with \( \tau \leq 1/8 \) to ensure convergence.
We can find an approximate numerical solution for the membership function \( u_i \) by considering the relaxation of the original problem without the constraint (b), by adding point-wise Lagrange multipliers \( \delta(x) \), thus giving the approximate solution for the relaxation problem as (details refer to the method III in [28]):
\[ u_i = \frac{v_i}{1 + \lambda \theta r_i} - \frac{\sum_{j=1}^{N} \frac{v_j}{1 + \lambda \theta r_j} - 1}{\sum_{j=1}^{N} \frac{1}{1 + \lambda \theta r_j}}. \]
And then apply the inequality constraints by projecting \( u_i \) on \([0,1]\),
\[ \hat{u}_i := \min \left\{ \max \{u_i, 0\}, 1 \right\}. \]
(3.17)
Although \( \hat{u}_i \) here gives an approximate numerical solution for the membership function \( u_i \) due to the difficulty to find an exact solution, we experimentally found that this approximated \( \hat{u}_i \) could obtain an acceptable segmentation results already. Besides, we also found that the model with \( p = 2 \) and \( q = 2 \) gives the best performance for most cases. In Section 4, the comparison of the results between these four models and other previous mentioned algorithms are shown.
### 3.2.3 Summary algorithm
Here we can summarize the minimization algorithm as the following procedures:
**Algorithm 3.1.**
1. Calculate the Gabor-filtered responses of the original image \( I(x,y) \) with a set of \( k \) Gabor filters \( G_{\sigma,f,\gamma} \) with different frequencies \( f \) or orientations \( \gamma \) or scales \( \sigma \). Denote the smallest and the greatest magnitude of the responses as \( M_{\text{min}} \) and \( M_{\text{max}} \) separately. Divide the interval between \( M_{\text{min}} \) and \( M_{\text{max}} \) into \( L \) sub-intervals. Each sub-interval value would build a bar in the histogram.
2. For each pixel \((x,y)\) compute the counts of magnitude of responses belong to each sub-interval, in a local region \( N_r(x,y) \) centered at \((x,y)\) with pre-determined radius \( r \), to build a histogram \( P_{(x,y),r} \) with \( L \) bars. Normalize it and compute the cumulative histogram \( F_{(x,y),r} \). Hence a histogram map can be obtained finally for the original image.
3. Initialize the membership function \( u_i \) by random matrices where each entry follows a uniform distribution in \([0,1]\) and then normalize them such that membership constraints (a) and (b) are both satisfied.
4. Iteratively update each bar value in the histogram $F^k_l(l)$, $l = 1, 2, \cdots, L$ by formula (3.8) when $p = 1$ and by (3.9) when $p = 2$; update $v^k_l$ by formula (3.16); update $u^k_l$ by solving (3.13) when $q = 1$, or by formula (3.17) when $q = 2$.
5. Repeat updating iteration till $\sum_{l=1}^{L} \| F^k - F^{k-1} \| \leq \epsilon$, where $\| \cdot \|$ denotes the Euclidean distance and $\epsilon$ is a small positive number defined by the user.
4 Numerical results
4.1 Gabor filter selection
Theoretically the full Gabor feature space should be calculated from a filter bank with different frequencies, orientations and scales. It can be imagined that the resulting histograms have three dimensions, like a tensor of histograms, with each dimension represents the histogram of Gabor filter responses with one varying parameter (say frequencies) and the other two parameters (say orientations and scales) fixed. It would be computationally costly to do so. To avoid such a time-costly prestage, many related Gabor filter design techniques could be applied. However, whether to choose the best Gabor filter bank is not our greatest concern, since the essence of our method is to build a larger histogram containing more information about how each texture phase responds with the varying feature (orientation or frequency or scale). In our experiments, we fix the orientation of the Gabor filter at some certain angle and set the frequency $f$ ranging from 0.01 to 1 in step length of 0.01, thus building the final histogram with 100 bars. As for the choice of the orientation $\gamma$, one can follow the simple scheme in [30] to get a hint, which seeks for the biggest Fisher ratio separability measure of features between different texture phases. As for the segmentation iterations, the initial fuzzy membership was randomly uniform distributed within $[0, 1]$, the stopping criterion $\epsilon = 1 \times 10^{-6}$. The local histograms of the Gabor feature space need to be calculated for only once before the segmentation iterations.
4.2 Numerical examples
Firstly we test our model (3.2) with $p = 2$, $q = 2$ on two-phase, three-phase and four-phase synthetic texture images, as shown in Figs. 2-4, where the segmentation results are represented by contours. The parameters need to determined are the frequency $f$, the orientation $\gamma$, the radius $R$ of the Gaussian kernel in the Gabor filter and two regularization parameters $\lambda$ and $\theta$. The local histograms are usually computed in a neighborhood block region $\mathcal{N}_r(x)$ centered at each $x$ with the size of $(2r + 1) \times (2r + 1)$. For simplicity, we fix $f = 0.01: 0.01: 1$, $R = 6$, $r = 5$, $\lambda = 0.05$, $\theta = 0.1$ in most cases, thus only the orientation $\gamma$ need to be tuned for each test image. Experimentally we found that this parameter setting could achieve an reasonable segmentation result, except for some certain cases where different sizes of texture patterns are included in the same phase, as in the Fig. 8. In order to illustrate the efficiency of our model, the average computational time for segmenting the
same two-phase texture image with different scales is shown in Table 1. The experiments are implemented on computer with Intel Core i7-2600 CPU 3.40GHz (8 Cores) and 16GB RAM.
Table 1: Scales and average computational time.
| Avg. Scales | Comp. Time | Models |
|-------------|------------|--------|
| | | $p=2, q=2$ | $p=2, q=1$ |
| $64 \times 64$ | 0.13s | 0.05s |
| $128 \times 128$ | 0.82s | 0.14s |
| $192 \times 192$ | 2.11s | 0.31s |
| $256 \times 256$ | 4.33s | 1.24s |
We didn’t show the computational time for the other two models with $p = 1$ because sometimes these models using the linear 1—Wasserstein distance might not lead to a satisfying segmentation results. To illustrate the difference of the four models with $p = 1$ or $p = 2$ and $q = 1$ or $q = 2$, we show the comparison of the segmentation performance on a natural image corresponding to the four models based on intensity and Gabor feature.
Figure 6: (a), (b): Our model with $p=2$, $q=1$ and $p=2$, $q=2$; (c): Result by F. Li and M. Ng [29]; (d): Result in C. Sagiv et al. 2006 [42]; (e): Result in N. Houhou et al. 2008 [18]; (f): Result in N. Houhou et al. 2009 [19].
Figure 7: (a), (b): Our model with $p=2$, $q=1$ and $p=2$, $q=2$; (c): Result in C. Sagiv et al. 2006 [42]; (d): Result in N. Houhou et al. 2008 [18]; (e): Result in N. Houhou et al. 2009 [19]; (f): Result in X. Xie 2010 [47]; (g): Result by F. Li and M. Ng [29]; (h)–(m): Comparison of details selected from the same position of the fish corresponding to (a)–(f).
Figure 8: (a)-(d): Result by our model assuming $N = 3$ and the resulting fuzzy membership; (e)-(i): Result by our model assuming $N = 2$ and the resulting fuzzy membership; (j): Result in C. Sagiv et al.: 2009 [42]; (k): Result in N. Houhou et al.: 2008 [18]; (l): Result in N. Houhou et al.: 2009 [14]; (m): Result in Kangyu Ni et al.: 2009 [36]; (n): Result by F. Li and M. Ng [29].
space separately in Fig. 5, where (a) is the original image, the left column (b), (d), (f), (h) are the segmentation results based on the Gabor feature space and the right column (c), (e), (g), (i) based on the intensity. Overall speaking, the segmentation performances based on Gabor feature space surpass that on intensity due to that the Gabor transform itself has the ability to distinguish the texture pattern of the fish body from that of the coral at the bottom right corner. From the left column, we can find that the model (f), (h) using the squared $2-$Wasserstein distance would lead to better results than that (b), (d) using the linear $1-$Wasserstein distance. In terms of the choice of $q = 1$ or $q = 2$, the performance (f) and (h) are close to each other while setting $q = 2$ would give more flexibility to modify the segmentation a little by choosing different threshold for the resulting fuzzy membership.
Nextly, we test our models on some natural images out from the Berkeley segmentation database *BSDS 500* [1] as shown in Figs. 5-8 and some multi-phase natural texture image in Figs. 9-10. The competitive results illustrate the advantages of using the squared $2-$Wasserstein distance and the Gabor feature space.
5 Conclusions and discussion
We developed a multi-phase segmentation model using the squared 2-Wasserstein distance based on the Gabor feature space, which combines the advantages of the Gabor filter and the fuzzy region competition model both of which are good tools for texture image segmentation. The computational time are shorten due to that the closed form solution of $F_i(l)$ is to take the mean value instead of the weighted median in the case of using linear 1-Wasserstein distance. Besides, the existence proof is given for our model.
The segmentation performance are competitive to others within an acceptable computational cost. However, we only apply our model on the Gabor feature space with varying frequencies and the other two parameters are manually tuned and fixed. Of course the full Gabor feature space is also useable and beneficial for enhancement of the performance, but might increased the computational cost. So it still remains in our future work. Another question worthy of consideration is that the use of non-convex regularizer on the membership function, which is hopeful to preserve the geometric shapes of the homogeneous regions and prevent the over-smoothing problem.
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Do CFG-Based Language Models Need Agreement Constraints?
Manny Rayner
Genevieve Gorrell
Beth Ann Hockey
John Dowding
netdecisions
Wellington House, East Road
Cambridge CB1 1BH, UK
RIACS, Mail Stop 19-39
NASA Ames Research Center
Moffett Field, CA 94035-1000
Telia Research
S-123 86 Farsta
Sweden
email@example.com
firstname.lastname@example.org
email@example.com
firstname.lastname@example.org
email@example.com
November 8, 2000
Paper ID: NAACL-2001-0090
Keywords: speech recognition, language modelling, context-free grammars, grammatical agreement, mixed-initiative systems
Contact Author: Manny Rayner (for correspondence)
Under consideration for other conferences (specify)? No submissions to other conferences
Abstract
Many people are now routinely building grammar-based language models for interactive spoken language applications; these language models are typically *ad hoc* semantic grammars which ignore many standard linguistic constraints, in particular grammatical agreement. We describe a series of experiments in which we took three CFG-based language models from non-trivial implemented systems, and in each case contrasted the performance of a version which included agreement constraints against a version which ignored them. Our findings suggest that inclusion of agreement constraints significantly improves performance in terms of both word error rate and semantic error rate.
Do CFG-Based Language Models Need Agreement Constraints?
Abstract
Many people are now routinely building grammar-based language models for interactive spoken language applications; these language models are typically *ad hoc* semantic grammars which ignore many standard linguistic constraints, in particular grammatical agreement. We describe a series of experiments in which we took three CFG-based language models from non-trivial implemented systems, and in each case contrasted the performance of a version which included agreement constraints against a version which ignored them. Our findings suggest that inclusion of agreement constraints significantly improves performance in terms of both word error rate and semantic error rate.
1 Introduction
A key problem in building interactive spoken language systems is constructing a language model to guide speech recognition. There are two main approaches: statistical language models, and grammar-based language models. The basic idea of the statistical approach is to train the language model (most often some kind of N-gram grammar) from a domain corpus; if a sufficiently large corpus is available, experience shows that this method can yield excellent results (Cohen et al., 1995; Ward and Issar, 1995). In contrast, the grammar-based approach creates the language model directly in the form of a (most often hand-coded) grammar.
For the last decade researchers have paid more attention to the statistical alternative, and there are many theoretically attractive reasons for preferring it (Mori and Kuhn, 1991; Rosenfeld and Huang, 1992). However, within the last two years commercial speech technology has adopted the grammar-based approach (VoiceXML Forum, 2000; W3C, 2000; Nuance Communications, 2000; SpeechWorks International, 2000; Tellme, 2000; BeVocal, 2000; HeyAnita, 2000). This focus on grammar-based methods is motivated by important practical and theoretical considerations. Most obviously, the large quantity of corpus data needed to train a statistical language model is hardly ever available; creating it, by Wizard of Oz simulation or similar methods, is prohibitively expensive. It is also frequently the case that the language model changes dynamically with the state of the interaction in some way that is easiest to specify in terms of rules rather than statistical regularities. For example, the dialogue may concern choice from some continually changing set of objects; the appropriate language model will have to take account of what those objects currently are, and how they can be referred to.
Another factor that must be considered is the type of dialogue strategy the system employs. Language modelling is both more critical and more difficult in mixed initiative and user initiative systems. With these dialogue strategies, the user has a much wider range of potential utterances than with system initiative. This makes the recognition problem harder and the language model larger.
In what follows, we will be mainly concerned with systems that use a CFG-based language model and a mixed initiative dialogue strategy. Since these systems need to be able to respond to a fairly free range of user input, constructing the language model is usually a non-trivial task. If it is too constrained, the system will reject many of the user’s utterances; if it is too loose, the system will make too many recognition errors.
One way to build grammar-based language models is just to apply the techniques developed for building other types of grammars, in particular those used for parsing and generation. Unfortunately, it is non-trivial to transform a grammar written in a high-level linguistic formalism into a useful CFG-based language model. In fact, the only really successful piece of work we are aware of that has taken this path is the approach pioneered by the Gemini (Dowding et al., 1993; Moore, 1999) and CommandTalk (Moore et al., 1997; Stent et al., 1999) projects at SRI. Although the idea is promising, it is still not clear that it scales up well to large grammars (Rayner et al., 2000b).
Rather than use the type of methods developed under Gemini, most people have instead adopted a simpler and more pragmatic approach. Grammars are developed in an *ad hoc* way directly in CFG, and without reference to linguistic principles. However dubious this may be from a theoretical point of view, experience shows that useful grammars can be quickly developed even for quite complex domains.
In the current paper, we present an empirical study which contrasts linguistically motivated and *ad hoc* approaches to language model construction. In order to be able to make clear comparisons, we focus specifically on the single topic of grammatical agreement. This is a phenomenon that relevant at least to some extent in nearly all domains, and is easy to model in high-level grammatical frameworks. In contrast, modelling agreement directly in CFG is rather painful, and as far as we can tell most commercially deployed speech applications choose not to do so.
There are only two important examples of agreement in English: between subject and verb in clauses, and between determiner and noun in NPs. In contrast, agreement is a central phenomenon in many languages like French, Spanish, Italian, German, Swedish, Russian and Greek. For example, in French there is agreement between subject and verb and determiner and noun as in English, and also (among other things) agreement between nouns and adjectives, subjects and past participles, and subjects and some adverbials. Note that different inflected forms of a word can often sound fairly different. For example, in Swedish the plural form of an adjective normally adds an “a”: thus “röd” (“red”, singular) is a monosyllable, while “röda” (“red”, plural) is a disyllable. In French, the feminine form of an adjective adds an “e”, which again can affect the pronunciation. For example “vert” (“green”, masculine) doesn’t sound the “t”, but “verte” (“green”, feminine) does sound the “t”.
The rest of the paper is structured as follows. In Section 2, we describe three implemented systems, two for English and one for Swedish, which all use mixed-initiative strategies and CFG-based language models. The language models for two of these systems were developed directly in CFG using *ad hoc* methods, and in particular ignoring grammatical agreement. The third system was developed in a high-level formalism and then compiled down to CFG; this grammar used a principled linguistic approach, which in particular took careful account of agreement. For each system, we constructed a second version of the language model, which embodied the converse approach to agreement. Thus for the *ad hoc* systems we constructed versions of the grammars modified to include all relevant agreement constraints, and for the theoretically motivated system we constructed a simplified version of the language model in which all the agreement constraints had been removed.
For each of the three systems, we collected and transcribed a sizeable corpus of recorded utterances. Section 3 describes experiments in which the performance of the different versions of each language model were evaluated empirically on the domain corpora. The final section discusses the significance of these results and concludes.
## 2 Base systems
We carried out experiments on the following three systems:
**On/Off House** An *ad hoc* system for English in a home automation domain.
**Advanced House** An *ad hoc* system for Swedish, also in a home automation domain.
**Simulated Personal Satellite Assistant** A linguistically motivated system for English
In the rest of the section, we describe the systems and their language models in more detail.
2.1 On/Off House
The On/Off House (OOH) system is implemented using the Nuance Toolkit (Nuance Communications, 2000), and offers English spoken language control, via telephone, of about 20 devices in a simulated home. Device states can only be “on” or “off”. The dialogue manager is implemented in Visual C++ using the Nuance DialogueBuilder API. The mode of operation is primarily user-initiative. The system offers coverage of a fairly broad range of language, including commands (“Turn on the heater”, “Turn off the light in the bathroom”), several types of questions (“Is the heater switched on?”, “What is there in the kitchen?”, “Where is the washing machine?”, “Could you tell me which lights are on?”), universal quantification (“Switch off everything in the bathroom”), conjunction (“Are the hall and kitchen lights switched on?”, “Switch off the radio, TV and computer”), ellipsis (“Turn on the cooker”… “now the microwave”) and pronouns (“Switch off the stereo and the hi-fi”… “switch them on again”). The system has been tuned over four or five iterations of user testing, and performs well enough to have been successfully demonstrated in public on several occasions. All spoken utterances input to the system during development, testing and demos have been recorded and transcribed, resulting in a speech corpus of 3975 sentences.
The main focus of interest for the purposes of the present paper is the grammar. It contains 346 context-free rules; of these, 113 are “lexical” (i.e. have only terminal symbols on their right-hand sides), while the remaining 233 are “grammatical” (i.e. contain at least one non-terminal on the right-hand side).
The grammar is implemented in Nuance Toolkit Grammar Specification Language (GSL; (Nuance Communications, 1999)), and directly encodes a simple slot-value semantics, using a set of 15 slots. These include slots for the type of utterance (command/query), the type of device (light/heater/TV/…), the location (kitchen/bedroom/bathroom/…), the polarity (on/off), and the quantifier (existential/universal). Because of the quantifier slot, determiners (“a”/“the”/“all the”/…) can affect the semantic value of an utterance; this is necessary in order, for example, to distinguish “switch on the light” from “switch on all the lights”.
To give the flavour of the grammar, Figure 1 presents a slightly simplified derivation of the utterance “could you switch on the cooker”. This yields the semantic representation
<operation command> <onoff on>
<device1 cooker> <spec1 existential>
The grammar fails to enforce agreement in number between subject and verb, or head noun and determiner; thus for example it will accept sentences such as “are any light switched on?” or “switch off all the heater”.
2.2 Advanced House
Advanced House (AH) is essentially an extended Swedish version of the OOH system described in the preceding section. It is implemented using the same platforms (Nuance Toolkit and the DialogueBuilder API), and offers all the functionality provided by OOH. Apart from the change of language, there are two important enhancements. Firstly, AH supports interfaces to devices whose state can be represented as a scalar variable, such as dimmer switches and temperature sensors. Secondly, the devices in question are real as opposed to simulated; they are controlled via a Java servlet interface to a LonWorks device network (Echelon Corporation, 2000). AH is currently in an initial testing phase, and has not yet been as thoroughly debugged as OOH. All utterances input to the system during development and testing have been recorded and transcribed, yielding a corpus which at the time of writing contains 1039 sentences.
As above, our main interest is in the grammar. Coverage is analogous to that of the OOH system, with additional constructions to cover control and querying of scalar devices, e.g. “Sänk lampan i köket till femto procent” (Dim the light in the kitchen to 50 percent); “Ytterligare tio procent” (another ten percent); “Hur många grader är det i kylskåpet?” (How many degrees is it in the fridge?) The grammar contains a total of 448 context-free productions, of which 192 are lexical and 256 non-lexical. It also resembles the OOH grammar in that it fails to enforce any kind of agreement constraints. In Swedish, the types of agreement relevant to this domain are between subject and adjective and between determiner and head noun; agreement is with respect to both number (singular/plural) and gender (common/neuter). Swedish also marks nouns for definiteness, and certain grammatical contexts require specifically definite or indefinite nouns; the AH grammar fails to model any of the constraints associated with definiteness. Finally, the infinitive and imperative forms of Swedish verbs are in general distinct; the grammar once again treats them interchangeably.
The following sentences exemplify common types of utterance incorrectly accepted by the grammar: *stäng av lampa (switch off light-INDEF = switch off the light); *är lampan tänt (is light-DEF-COMMON lit-NEUTER = is the light switched on?); *finns det någon element i köket (is there any-COMMON radiator-NEUTER in kitchen-DEF = is there any radiator in the kitchen?); *sänka belysningen till hälften (lower-INF lighting-DEF to half-DEF = dim the lighting to a half).
### 2.3 Simulated Personal Satellite Assistant
The Personal Satellite Assistant (PSA; (NASA Ames Research Center, 2000)) is a small robot currently being developed at NASA Ames Research Center, designed for use in microgravity and targeted for deployment on the International Space Station. Because of the mobility of the robot and the problems of microgravity, English spoken language dialogue is favored as its primary interface mode. The PSA simulator (Rayner et al., 2000a) was constructed to aid in development and testing of the spoken dialogue interface. The simulated robot can be instructed to move around a diagram of the space shuttle and measure environmental factors such as temperature and carbon dioxide. There are also doors in the simulation that can be opened and closed, and fans that can be turned on and off via spoken commands. The system is implemented as a suite of about 20 agents running under the Open Agent Architecture (OAA; (Martin et al., 1998)), and runs on a high-end SUN workstation; it is a mature prototype, which has been publicly demonstrated on numerous occasions. The tests described below were carried out on a transcribed corpus of 6261 utterances, collected according to a well-defined protocol described in (James et al., 2000).
Speech recognition in the simulated PSA is once again performed using the Nuance Toolkit, together with a CFG language model. In contrast to the two previous systems, the PSA’s language model is compiled from a linguistically motivated general unification grammar for English, using the SRI Gemini compiler (Moore, 1999). The unification grammar formalism provides an extremely compact description of a broad range of linguistic constructions; it currently contains 60 rules and 327 lexical entries, but after compilation expands these to over 10 000 CFG rules. Coverage includes commands (“Go to flight deck”; “Turn on the fan at storage lockers”), WH- and Y-N questions (“What is the pressure at pilot’s seat?”; “Is the radiation level increasing?”), past tense and reference to past times (“What was the carbon dioxide level
at crew hatch at fifteen oh five?”), numbered objects (“Start scenario three”), conjunction of both NPs and clauses (“Measure pressure at crew hatch and flight deck”; “Go to crew hatch and switch on the fan”), ellipsis (“Measure pressure”… “how about temperature”), and use of pronouns (“Open the crew hatch”… “close it”).
The CFG language model produced by Gemini compilation is only used for recognition. Parsing as such is performed on the recognised string, using the Gemini parser, and produces a semantic representation in a version of Quasi Logical Form (van Eijck and Moore, 1992). The unification grammar, and issues relating to its compilation to CFG form, are described in detail in (Rayner et al., 2000b).
3 Experiments
In order to carry out the experiments described here, we constructed alternate versions of each of the three systems described above. For the *ad hoc* OOH and AH systems, we manually constructed new versions of the CFG language models modified to include agreement constraints. The new versions of the grammars were substantially larger, as shown in Table 1; the worst problem, however, was that many rules from the original grammar had to be duplicated in two or more slightly differing forms, greatly complicating the task of future grammar maintenance. In contrast, it was extremely easy to build a version of the PSA unification grammar in which the agreement constraints had been removed; this only involved editing out a handful of feature specifications. We were not able to measure directly the number of context-free productions in the two versions of the PSA grammar, but the size of the generated Nuance grammar decreased from 31K lines of code to 24K, a difference in size comparable with that observed in the English OOH system.
Our basic plan was to measure performance of each grammar on its appropriate corpus using the Nuance `batchrec` tool, which returns information about word error rate (WER), sentence error rate (SER), and semantic error rate (Sem). For the OOH and AH systems, we use the standard Nuance definition of semantic error rate as being the proportion of utterances which receive an incorrect slot-level representation. Since the PSA grammar returns strings rather than semantic representations, we measured semantic error rate for it on the QLF representations produced by the subsequent parsing stage, using a specially constructed tool. We set the Nuance recognition parameters to maximize the proportion of utterances which produced a recognition result: with normal settings, sentences outside grammar coverage are most frequently rejected. In this way, we maximize the return of information on the out-of-coverage portion of the corpus.
Since performance on in-grammar and out-of-grammar sentences is still very different, it makes sense to consider them separately. We have two grammars for each corpus, a tight grammar implementing agreement constraints and a loose grammar failing to do so. This naturally splits each corpus into the following four pieces: a) utterances inside coverage of both grammars (*both*); b) utterances inside the coverage of the loose grammar, but not of the tight grammar (*loose-only*); c) utterances inside the coverage of the tight grammar, but not of the loose grammar (*tight-only*); d) utterances inside coverage of neither grammar (*neither*). Table 2 shows the relevant breakdown for each of our three corpora.
In the context of an interactive spoken language system, the in-coverage part of the corpus is the practically interesting one. Tables 3 presents performance figures for the portion of each corpus that is within coverage of both grammars. In terms of word error rate, the grammar which enforces agreement con| OOH | Words | Sentences |
|--------------|--------|-----------|
| Both grammars | 16067 | 3511 |
| Neither grammar | 2161 | 437 |
| Loose gram. only | 205 | 27 |
| Tight gram. only | 0 | 0 |
| Total | 18433 | 3975 |
| AH | Words | Sentences |
|--------------|--------|-----------|
| Both grammars | 2535 | 691 |
| Neither grammar | 1482 | 345 |
| Loose gram. only | 5 | 3 |
| Tight gram. only | 0 | 0 |
| Total | 4022 | 1039 |
| PSA | Words | Sentences |
|--------------|--------|-----------|
| Both grammars | 23051 | 5676 |
| Neither grammar | 3937 | 585 |
| Loose gram. only | 10 | 2 |
| Tight gram. only | 0 | 0 |
| Total | 26998 | 6263 |
Table 2: Sizes of sub-corpora for the systems
| OOH | WER | SER | Sem. |
|--------------|--------|--------|-------|
| No Agr. | 10.86% | 25.06% | 14.64%|
| Agr. | 9.01% | 19.71% | 10.17%|
| AH | WER | SER | Sem. |
|--------------|--------|--------|-------|
| No Agr. | 12.47% | 24.89% | 12.74%|
| Agr. | 6.71% | 10.85% | 10.27%|
| PSA | WER | SER | Sem. |
|--------------|--------|--------|-------|
| No Agr. | 13.73% | 29.03% | 27.63%|
| Agr. | 11.47% | 23.24% | 22.11%|
Table 3: Error rates for both versions of the systems on utterances within coverage of both grammars
| OOH | WER | SER | Sem. |
|--------------|--------|--------|-------|
| No Agr. | 58.72% | 95.19% | n/a |
| Agr. | 58.54% | 95.19% | n/a |
| AH | WER | SER | Sem. |
|--------------|--------|--------|-------|
| No Agr. | 68.56% | 98.84% | n/a |
| Agr. | 66.80% | 98.55% | n/a |
| PSA | WER | SER | Sem. |
|--------------|--------|--------|-------|
| No Agr. | 52.78% | 95.90% | n/a |
| Agr. | 53.49% | 95.04% | n/a |
Table 4: Error rates for both versions of the systems on utterances within coverage of neither grammar
| OOH | WER | SER | Sem. |
|--------------|--------|--------|-------|
| No Agr. | 14.15% | 74.07% | 22.22%|
| Agr. | 20.98% | 100.00%| 40.74%|
Table 5: Error rates for both versions of the OOH system on utterances within coverage of loose grammar only
Constraints scores significantly better in the two English language systems (relative improvements of 17% for OOH and 16.5% for PSA), a difference which increases to a striking 46% for the Swedish language system. In view of the fact that agreement is considerably more important in Swedish than in English, this disparity is not surprising.
A similar pattern is displayed in the sentence error rate figures, with relative improvements of about 20% for the two English systems, and 56% for the Swedish one. For completeness, we also present in Table 4 results for utterances outside coverage of either grammar; these display little interesting variation. Finally, Table 5 gives the results for the 27 OOH utterances inside coverage of the loose but not the tight grammar. Unsurprisingly, the loose grammar performs much better on this set.
The most critical measure of performance for systems of this kind is the semantic error rate, which is only meaningful for the in-coverage portion of the corpus. At first sight, the figures in Table 3 also appear to show a marked improvement in favour of the tight grammar, with proportional reductions of 31% for OOH, 20% for AH, and 20% for PSA. We were somewhat surprised to see OOH scoring so much better than the other two systems, and carried out a detailed item-by-item comparison of the OOH data. This revealed that a substantial proportion of the OOH improvement was essentially spurious; for technical reasons relating to the way in which NP conjunction was modelled, many sentences where the tight grammar won were examples like
switch on the light and the TV
where the loose grammar incorrectly recognised
switch on the light and TV
Although this technically counts as a reduction of the semantic error rate, it is obviously of little practical importance. After eliminating all examples of the above type, we were left with a residue of 47 utterances where one grammar was right and the other wrong; of these, the tight grammar was correct in 37 cases and the loose one in the remaining 10. A more realistic estimate of the absolute reduction in semantic error rate for the OOH system as a result of correctly modelling agreement would thus be \((37 - 10)/3511\), or 0.7%, giving a relative reduction of about 5%. Although undramatic, this margin is significant at the 0.05% level according to the McNemar sign test (McNemar, 1947). The following examples show typical instances of the tight grammar (T) outscoring the loose one (L).
T: turn them off
L: is them off
T: put the computer on
L: are the computer on
T: what is switched on in the kitchen
L: what fridge are in the kitchen
We carried out a similar item-by-item comparison of the tight and loose grammars for the Swedish AH system. This time, there were 20 utterances for which the result in one grammar was clearly correct results and the other clearly incorrect, dividing 19-1 in favour of the tight grammar. The revised estimate of reduction in semantic error rate is thus \((19 - 1)/691 = 2.6\%\) absolute, or a more substantial 20% relative. This result is also significant at the 0.05% level according to the McNemar test.
4 Conclusions and further directions
When we began work on the experiments described here, we felt that there were two competing positions concerning the question of whether or not it was important to include agreement constraints in CFG-based language models. From a research-oriented theoretical standpoint, we believed that it would be impossible to ignore a linguistic phenomenon as central as grammatical agreement without incurring some significant penalty. Practical implementation experience however pointed in the opposite direction: most commercial systems fail to take account of agreement, and achieve adequate performance using mostly semantic and domain constraints.
With the results in front of us, we think that both sides can lay some claim to being right. There is indeed a very significant improvement in performance when agreement constraints are added to a grammar. However, this improvement is manifested most strongly at the surface level, as measured by WER and SER. Although the difference is still strongly significant at the level of semantic representation, the absolute increase in semantic accuracy is fairly small. A practical system builder can reasonably wonder whether these gains are enough to motivate the considerable extra implementation burden created by adding agreement to a hand-coded CFG language model. If the CFG model is compiled from a high-level description, however, there is little additional work to be done, and it is obviously desirable to include agreement constraints in the grammar. This can be interpreted as an argument in favour of using high-level linguistic descriptions as opposed to hand-coded CFG models.
Looking further ahead, it is also important to remember that grammatical agreement is only one of a large range of linguistic phenomena currently ignored by most practical implementors. It is unclear to us how large the cumulative effect may become when detailed modelling of many such phenomena is added to an atheoretical coarse-grained language model, and it is seems plausible that it could be considerably greater than that produced by the single phenomenon we have investigated here. It is feasible to investigate these questions empirically by modifying large-scale linguistically motivated systems like the PSA grammar described in this paper; we hope to present further results in due course.
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The Board of Directors of the River Place Municipal Utility District of Travis County, Texas met in regular session, open to the public on December 20, 2016, at the River Place Country Club, 4207 River Place Boulevard, Austin, Texas beginning at 2:00 p.m., pursuant to notice duly given in accordance with the law.
The roll was called of the following members of the Board to wit:
Patrick Reilly President
Arthur Jistel Vice-President
Scott Crosby Secretary
Lee Wretlind Treasurer
Claudia Tobias Assistant Secretary/Treasurer
and all Directors were present, thus constituting a quorum.
Also present were Patricia Rybachek and Michael Luft of Severn Trent Environmental Services ("ST"), the District's General Manager; Herb Edmonson of Gray Engineering, Inc. ("Gray"), the District's Engineer; Stan Johnson, a resident of the District and chair of the River Place Residential Community Association's (the "HOA") Firewise Committee; Alexander Morman, Kimberley Ohlson, and Bailey Ohlson, residents of the District; and Phil Haag and Suzanne McCalla of McGinnis Lochridge ("McGinnis"), the District's Attorney.
Upon calling the meeting to order, Director Reilly noted that there were several residents of the District who planned to address the Board later in the meeting.
The first item of business was approval of the monthly consent agenda containing the minutes of the November 22, 2016, regular meeting and payment of bills and expenses, including payment to Westar Construction, Inc. ("Westar"), in the amount of $24,535.00 for Sun Tree Park improvements. After review and upon a motion duly made by Director Jistel and seconded by Director Crosby, the Board voted unanimously to approve the Consent Agenda as presented. A copy of the invoice from Westar is attached as an exhibit to these minutes.
Next, Mr. Morman reported on his plan to repair parts of the District's Nature Trail system eroded by rain as part of his Boy Scout Service Project (the "Project"). He reminded the Board that the Project involved utilizing rocks from along the trail to build two stone bridges across muddy areas of the trail as well as to fortify areas along the trail washed out by rainfall. Mr. Morman explained that he completed the Project on December 10, 2016, and that approximately 13 persons assisted in the completion of
the Project. Director Jistel reported that Mr. Morman had done an excellent job, and the Board thanked Mr. Morman for his service to the District.
The Board next recognized Ms. Ohlson for her service to the District. Director Reilly recalled that, as part of her effort to achieve her Girl Scout Gold Award, Ms. Bailey had organized, managed, and completed the repair of nine locations along the District's Nature Trail that had eroded. Director Reilly commented that Ms. Bailey's excellent management skills would serve her well into the future. The Board then presented Ms. Ohlson with a Certificate of Appreciation and thanked her for extensive work along the District's Nature Trail.
The next item of business before the Board was the award of the contract for the installation of play equipment at Sun Tree Park (the "Park Project"). Mr. Edmonson stated that bids were opened on December 6, 2016, and that a total of two bids were received. Mr. Edmonson continued that Gray was recommending award of the contract to Fun Abounds, Inc. ("Fun Abounds"), the lowest bidder, in the amount of $109,982.00. After review and discussion, upon a motion duly made by Director Wrettlind and seconded by Director Jistel, the Board voted unanimously to approve award of the contract for the Park Project to Fun Abounds in the amount of $109,982.00, subject to final review and approval of the bonds and insurance by the District's Attorney. A copy of the bid tabulation and letter of recommendation from Gray is included in the Board Packet, a copy of which is attached to these minutes as an exhibit.
At this point Director Tobias arrived at the meeting.
Next, Mr. Johnson addressed the Board regarding the HOA's Firewise program. Mr. Johnson reviewed with the Board various maps depicting areas of the District susceptible to fires as determined by the Texas A&M Forest Service. Mr. Johnson continued that the wet spring and summer had contributed to significant amounts of undergrowth throughout the District, and he detailed the estimated costs to mitigate fire prone areas of the District. He stated that he had spoken with representatives of the City of Austin (the "City") and the U.S. Fish and Wildlife Service regarding coordination of fire mitigation efforts between all parties in and adjacent to the District. He explained that he had also contacted several entities regarding the removal of underbrush and other potential fire hazards in the area located behind four homes on China Garden Drive in the District (the "China Garden Project"). After a question from the Board, Mr. Johnson confirmed that the China Garden Project was part of a larger, ongoing project to reduce the amount of flammable vegetation in the District and surrounding areas in order to decrease the risk of wildfires (the "Wildfire Project"). He estimated that the Wildfire Project would take approximately eight years to complete, working to mitigate one section of the District and surrounding areas at a time, at which point the Wildfire Project would begin again at the first section. A lengthy discussion ensued regarding the responsibilities of the District, individual homeowners, and landowners adjacent to the District. Director Reilly emphasized that the Board was interested in participating in the mitigation of District-owned areas in coordination with homeowners.
and other adjacent property owners. He noted that Firewise was not currently in the District's budget, but that an item could be added to future budgets. After continued discussion, upon a motion duly made by Director Wretlind and seconded by Director Crosby, the Board voted unanimously to contribute $5,000 towards the mitigation of fire hazards on District property in the area located behind China Garden Drive in the District contingent upon the participation of the four homeowners adjacent to the area.
Director Crosby next updated the Board on the status of the installation of crosswalks with flashing lights on Big View Drive at the Woodlands Park in the District. He stated that he had corresponded with Jaime Mancillas, Engineering Tech in the Transportation and Natural Resources Department of Travis County (the "County"). Director Crosby said that Mr. Mancillas had confirmed that the County planned to conduct a study of traffic in the area of Big View Drive and that the County would formulate recommendations based upon the results of the study. Director Crosby added that he would keep the Board updated.
The Board then discussed the issue of annexing the area adjacent to the District that is included within the HOA boundaries, but not within the District's boundaries (the "Property"). Director Crosby reported that he had discussed the issue at length with the District's Attorney. He stated his understanding that the District had two options for annexation of the Property into the District: (1) obtain a separate petition from each homeowner within the Property agreeing to the annexation of their property into the District; or (2) obtain a petition signed by 50 property owners within the Property agreeing to the annexation of their property into the District. Ms. Johnson explained that with the second option, the District would be required to hold an election within the District on the question of whether the Property would assume the bonds, notes, taxes or other obligations of the District. No action was taken on this item.
Next, Ms. Rybachek presented the General Manager's report in its entirety and as contained in the Directors' packets. Ms. Rybachek stated that the painting of the sunshade poles at the Woodlands Park was in progress and should be complete by the end of the day. She added that flyers regarding the closures of District facilities during the Park Project would be posted at Sun Tree Park. She noted that the pavilion would be unavailable for use during this time.
Continuing her report, Ms. Rybachek stated that the quarterly inspection of the District's detention ponds was complete and that only minor repairs were required. She told the Board that she would obtain pricing for the repairs for the Board's consideration at the District's January meeting.
Ms. Rybachek then reviewed with the Board two reports filed by Severn Trent on behalf of the District with the Travis County Sheriff's Office. She explained that the first report concerned a resident teenager who drove an ATV on District park property causing ruts to the area. She continued that the second report involved "scam" emails sent to Board members. Ms. Rybachek also reported that an intentional fire was set in
the women's restroom at the Woodlands Park. The Board discussed the issue of vandalism of the District's property at length.
Mr. Edmonson then presented the Engineer's Report. He first submitted for the Board's consideration a proposal from Westar to install an 8-inch casing pipe and to re-pipe the irrigation suction line at the irrigation pump at the Woodlands Park in the total amount of $4,270.00. After consideration, upon a motion duly made by Director Jistel and seconded by Director Wretlind, the Board voted unanimously to approve the proposal from Westar in the amount of $4,270.00 as presented. A copy of the proposal, thus approved, is attached to and shall be considered a part of these minutes.
Continuing his report, Mr. Edmonson confirmed that the cleanup and removal of dead trees at the Boardwalk Pond as well as the clearing of underbrush at the Woodlands Park, as approved at the District's September Board of Directors meeting, had been completed by Kuts & Kleans, Inc.
Mr. Edmonson stated that Westar, the contractor hired to replace a portion of the existing asphalt parking lot and concrete sidewalks Sun Tree Park (the "Parking Lot Project"), completed the removal and replacement of the sidewalk and relocation of one handicap accessible parking space along with the construction of two handicap parking spaces and had delayed the parking lot seal coating and restriping on the parking lot until the completion of the Park Project. He also noted that Fazzone Construction had completed the installation of the drinking fountain and the modifications to the bathrooms in Sun Tree Park in compliance with Texas Accessibility Standards.
Mr. Edmonson then updated the Board on the status the Woodlands Park slope stabilization project. He stated that Directors Jistel and Wretlind had met and requested that Gray stop work on the design of the proposed improvements and site plan application due to overall cost concerns. He continued that pursuant to Directors Jistel's and Wretlind's request, Gray met with and obtained proposals from two vendors to place vegetation along the shoreline of Lake Austin to prevent future erosion of the Woodlands Park shoreline. He then presented two proposals for review by the Board. After a lengthy discussion, upon a motion duly made by Director Jistel and seconded by Director Wretlind, the Board voted unanimously to approve the proposal from Environmental Survey Consulting ("ESC") in the amount of $14,860.00 to install vegetation along the shoreline in the Woodland Park as detailed. A copy of the proposal, as submitted, is attached hereto as an attachment to these minutes.
Next, Director Wretlind detailed with the Board the status of the District's investments. He reviewed the income to the District and summarized the activity in the District's accounts. He reported that he was working with the District's Bookkeeper on the possible purchase of annual certificates of deposit ("CDs"). He explained that the proposed CDs could be purchased so as to mature sequentially, thus allowing the funds to be available for certain projects as needed. He added that interest rates at certain banks appeared to be increasing.
Director Jistel then reported on the District's parks and trails. He stated that overall the District's fields were in good condition.
There being nothing further to come before the Board, the Board scheduled its next meeting for January 24, 2017, and the meeting was adjourned.
Secretary, River Place MUD
Board of Directors
1. Board packet; and
2. Invoice from Westar for $24,535.00 for Sun Tree Park improvements;
3. Proposal from Westar to install 8-inch casing pipe and to re-pipe the irrigation suction line at the irrigation pump at the Woodlands Park in the total amount of $4,270.00; and
4. Proposal from Environmental Survey Consulting in the amount of $14,860.00 to install vegetation along the shoreline in the Woodland Park. |
Model-driven Middleware Specialization Techniques for Software Product-line Architectures in Distributed Real-time and Embedded Systems
Arvind S. Krishna\textsuperscript{†}, Aniruddha Gokhale\textsuperscript{†} and Douglas C. Schmidt\textsuperscript{†},
Venkatesh Prasad Ranganath\textsuperscript{‡} and John Hatcliff\textsuperscript{‡}
\textsuperscript{†}Dept. of Electrical Engineering and Computer Science, Vanderbilt University, Nashville, TN
\textsuperscript{‡}Dept. of Computing and Information Sciences, Kansas State University
Abstract
Product-line architectures (PLAs) are an emerging paradigm for developing software families for distributed real-time and embedded (DRE) systems by customizing reusable artifacts, rather than handcrafting software from scratch. To reduce the effort of developing software PLAs and product variants for DRE systems, it is common to leverage general-purpose – ideally standard – middleware platforms whose reusable services and mechanisms support a range of application quality of service (QoS) requirements, such as predictability and low end-to-end latency. While standard middleware provides generality and flexibility to support many types of PLAs and product variants, standard middleware implementations often incur unnecessary footprint overhead and lack optimizations needed to meet the QoS needs of PLAs and product variants for DRE systems. This paper describes systematic model driven development (MDD) techniques for specializing implementations of standards-based, general-purpose middleware to support the application-specific QoS needs of different product variants created atop a PLA. Our preliminary results show that implementations of standard middleware can be specialized transparently to better meet the QoS needs of PLAs and product variants, without compromising standards compliance.
1 Introduction
Software development organizations must innovate rapidly, provide capabilities that meet user needs, and sustain their competitive advantage in the face of time-to-market pressures and limited software resources. As a result, many organizations are trying to reuse existing artifacts and resources for a range of products, rather than handcrafting software for each product from scratch. A promising technology for systematically addressing the challenges of large-scale mission-critical software systems is product-line architectures (PLAs) [1].
In contrast to conventional software processes that produce separate point solutions, PLA-based processes develop families of product variants [2] that share a common set of capabilities, patterns, and architectural styles. PLAs can be characterized using scope, commonality, and variabilities (SCV) analysis [3], which is an engineering process that identifies the scope of the product families in an application domain and then determines the common and variable properties among them. Domain/systems engineers and software architects use SCV analysis to guide decisions about where and how to address possible variability and where the common development strategies can be used.
PLAs have been developed and applied to a variety of domains [4]; this paper focuses on applying PLAs to distributed, real-time and embedded (DRE) systems [5]. Examples of DRE systems include applications with hard real-time requirements, such as avionics mission computing [6], as well as those with softer real-time requirements, such as telecommunication call processing and streaming video [7]. These DRE systems are characterized by their stringent QoS requirements (such as low memory footprint, power consumption, latency, and predictability), which often makes them harder to develop, maintain, and evolve than conventional desktop and enterprise software.
The QoS challenges of DRE systems have hitherto led developers to (re)invent custom applications that are tightly coupled to specific hardware/software platforms, which is tedious, error-prone, and costly to evolve over product lifecycles. During the past decade, therefore, a key technology for alleviating the tight coupling between applications and their underlying platforms has been middleware [8], which (1) functionally bridges the gap between applications and platforms, (2) controls many aspects of end-to-end QoS, and (3) simplifies the integration of components developed by multiple technology suppliers.
Although middleware has been used successfully in DRE systems [5, 6], key challenges must be overcome before it can be applied seamlessly to support the QoS needs of PLA-based DRE systems. In particular, there is a need for R&D to resolve the tension between: (1) the generality of standards-based middleware, which benefits from a reusable architecture designed to satisfy a broad range of application requirements and (2) application-specific product variants, which benefit from highly-optimized, custom PLA middleware implementations. In resolving this tension, solutions should retain the portability and interoperability capabilities provided by standard middleware.
The remainder of the paper is organized as follows: Section 2 identifies key middleware optimization challenges pertaining to PLA-based DRE systems; Section 3 explains how we plan to apply model-driven specialization to middleware to address these challenges; Section 4 compares our work with related research; and Section 5 presents concluding remarks.
2 Middleware Optimization Challenges for PLA-based DRE Systems
This section uses a representative DRE system scenario to identify common types of excessive generality in middleware for PLAs and outlines how context-specific specialization techniques help to alleviate this generality without compromising standards compliance. Figure 1 illustrates key middleware optimization challenges associated with the tension between (1) application-specific product variants, which require highly-optimized and customized PLA middleware implementations and (2) general-purpose, standards-based middleware, which is multi-use and thus designed to satisfy a broad range of application requirements. Resolving this tension is essential to ensure that middleware can support the QoS requirements of PLA-based DRE systems. Unfortunately, implementations of standards-based QoS-enabled middleware technologies, such as Real-time CORBA [9] and Real-time Java [10], can be excessively general and thus poorly suited to support PLAs for DRE systems due to excessive time/space overhead for product variants. Removing unwanted generality, such as redundant functionality, navigation of multiple layers, and unnecessary checks, is therefore essential to optimize general-purpose middleware implementations to meet the QoS requirements of product variants. In turn, removing this generality helps identify opportunities for further optimizations, while still maintaining standard interfaces and interoperability protocols.
2.1 PLA DRE Scenario Case Study
The remainder of this section uses a concise, yet representative, DRE PLA scenario to (1) illustrate how the challenges outlined above occur in practice and (2) identify system invariants that drive our specialization approach. The scenario is based on the Boeing Bold Stroke avionics mission computing PLA [11], which supports the Boeing family of aircraft, including many product variants, such as F/A-18E, F/A-18F, F-15E, F-15K, etc. Bold Stroke is a component-based, publish/subscribe platform built atop TAO [12], which is a standards-based Real-time CORBA [9] implementation, and Prism [6], which is Qos-enabled component middleware influenced by the Lightweight CORBA Component Model (CCM) [13].
Figure 2 illustrates the BasicSP application scenario that is the focus of this paper and is representative of rate-based DRE systems in avionics, vetronics, and process control. This scenario involves four avionics mission computing components that periodically send GPS position updates to a pilot and navigator cockpit displays. Communication between components uses the event-push/data-pull model, with data producing components pushing an event to notify new data is available and data consuming components pulling data from the source. A Timer component pulses a GPS navigation sensor component at a certain rate, which in turn publishes data_avail events to an Airframe component. Aware that new data is available, this component then calls a method provided by the Read_Data interface of the GPS component to retrieve current location. After formatting the data, Airframe sends a data_avail event to the Nav_Display component, which then pulls the location and velocity data from the Airframe component and displays this information on the pilot’s heads-up display.
Figure 2. BasicSP Application Scenario
The BasicSP scenario illustrates the following commonalities and variabilities in the Bold Stroke PLA:
• **Commonalities** include the set of reusable components (such as Display, Airframe, and GPS) in Bold Stroke and middleware capabilities (such as connection management, data transfer, concurrency, synchronization, (de)marshaling, (de)multiplexing, and error-handling) that occur in all product variants and
• **Variabilities** include application-specific component connections (such as how GPS and Airframe components are connected in an F/A-18E vs. an F-15K), different implementations (such as whether GPS or inertial navigation algorithms are used), and components specific to particular customers (such as restrictions on this use of encryption in certain countries).
The *BasicSP* scenario shown in Figure 2 requests new inputs from the GPS component and updates the display outputs with new aircraft position data at a rate of 20 Hz. The time to process the inputs to the system and present the output to cockpit displays should therefore be less than a single 20 Hz frame. The rates at which these components interact is yet another variability that could change in different product variants.
### 2.2 Common Types of Excessive Generality in Middleware
We have thus far identified five common types of excessive generality in middleware relevant to PLA-based DRE system in general, and to the *BasicSP* scenario in particular, as shown in Figure 3. The challenges of each type of generality are discussed below:
**Challenge 1. Redundant remoting functionality for collocated objects.** In PLA-based DRE systems, such as Bold Stroke, components are mapped to particular target nodes late in the design process, *e.g.*, during the deployment phase. Groups of components may be *collocated* (*i.e.*, placed on the same processor) to minimize network overhead in certain deployments. To optimize for this common case across different product variants or contexts within a single product, middleware implementations provide optimizations [14] that bypass the network and I/O subsystems when objects are collocated. Even for collocated deployments, however, standard middleware implementations often still contain code capable of performing *remoting*, which performs the (de)marshaling and framing logic used to send requests across a network.
*A challenge is therefore to develop middleware specialization techniques that can identify redundant functionality (such as remoting code for collocated deployments) and remove this functionality from selected parts of the middleware for certain product variants or application-specific contexts.*
**Challenge 2. Redundant request creation and/or initialization.** To send a request to the server, middleware implementations create a *request*, which contains buffer space to hold the header and payload information for each invocation. Rate-based DRE systems often repeatedly generate periodic events, such as timeouts that drive periodic system execution. Since most request information (such as message size, operation name, and service context) does not change across events, middleware implementations can use buffer caching [15] strategies to minimize request creation. This approach, however, can still incur the overhead of initializing the request header and payload for every request.
*A challenge is therefore to develop middleware specialization techniques that can reuse pre-created requests (i.e., from previous invocations) partially and/or completely to avoid redundant initialization for certain product variants or application-specific contexts.*
**Challenge 3. Repeated resolution of the same request dispatch.** To minimize the time/space overhead incurred by opening multiple connections to the same server, middleware often multiplexes requests on a single connection between client and server processes. Multiple client requests targeted for different request handlers in a server process are therefore received on the same multiplexed connection. Standard Real-time CORBA servers typically process a client request by navigating a series of middleware layers, *e.g.*, ORB core, object adapter(s), servant, and operation. To optimize request demultiplexing, Real-time CORBA implementations can combine active demultiplexing [16] and perfect-hashing [17] strategies to bound worst case lookup time to $O(1)$, irrespective of the nesting of the layers. This optimization, however, can still incur non-trivial overhead when navigating middleware layers and is redundant when the target request handler remains the same across different request invocations.
A challenge is therefore to develop middleware specialization techniques that avoid the expense of navigating layers of middleware to resolve the same request dispatch for certain product variants or application-specific contexts.
**Challenge 4. Redundant (de)marshaling checks.** PLA-based DRE systems may be deployed on platforms with different instruction set byte orders. To support seamless request processing irrespective of byte ordering, general-purpose Real-time CORBA implementations therefore use the general inter-ORB protocol (GIOP), which performs byte order tests when (de)marshaling requests/responses. These tests incur unnecessary overhead, however, when the nodes a DRE system runs on have the same byte order.
A challenge is therefore to develop middleware specialization techniques that evaluate ahead-of-time deployment properties to remove redundant (de)marshaling checks for certain product variants or application-specific contexts.
**Challenge 5. Overly extensible middleware frameworks.** Middleware is often developed as a set of frameworks that can be extended and configured with alternative implementations of key components, such as different types of transport protocols (e.g., TCP/IP, VME, or shared memory), event demultiplexing mechanisms (e.g., reactive-, proactive-, or thread-based), request demultiplexing strategies (e.g., dynamic hashing, perfect hashing, or active demuxing), and concurrency models (e.g., thread-per-connection, thread pool, or thread-per-request). A particular DRE product variant, however, may only use a small subset of the potential framework alternatives. As a result, general-purpose middleware may be overly extensible, i.e., contain unnecessary overhead for indirection and dynamic dispatching that is not needed for use cases in a particular context.
A challenge is therefore to develop middleware specialization techniques that can eliminate unnecessary overhead associated with overly extensible middleware framework implementations for certain product variants or application-specific contexts.
To resolve the challenges presented above successfully, it is crucial that (1) middleware implementations be specialized without compromising their standard interfaces and (2) the effort of specifying and applying these specializations to production middleware and PLAs for DRE systems be minimized. Section 3 describes our approach to applying model-driven middleware specializations that alleviate the common types of excessive generality described above.
### 3 Model-driven Middleware Specialization: Vision & Approach
Customizing middleware for different operating contexts requires a systematic approach to designing and implementing different context-specific specializations. Model-driven Development (MDD) offers the right choice to realize a systematic and scientific approach to resolving the PLA middleware challenges described in Section 2. This paper describes our R&D that explores MDD techniques, which leverage Ahead of Time (AOT) known PLA and product-specific system properties, to specialize middleware and thereby improve middleware performance and footprint. For the MDD techniques to succeed we require the refactoring of middleware and services so they are amenable to automatic and dynamic customization and optimization by using model-driven middleware specialization patterns [18]. Our vision of the MDD approach to middleware specialization is shown in Figure 4.
These specialization patterns are then mapped to middleware implementations via specialization tools, which are part of the generative tool chain of the MDD tools. The specialization process can be divided into two steps: (1) identification of the specialization points and transformations and (2) automating the delivery of the specializations. In the specialization identification phase, higher level models capture the system invariant information. This information captured is used in the second phase to automate the delivery of the specializations.
Development of this two step process requires first the development of the delivery phase to automate the specialization and the development of MDD tools to drive the specialization process. In the remainder of this section, we describe the Feature Oriented Customizer (FOCUS) MDD tool we are developing to automate the PLA middleware specializations.
3.1 FOCUS MDD Approach
This section describes our vision of the FOCUS MDD tools that will be required to drive the FOCUS middleware specializers described in Section 3.2. An MDD tool like FOCUS must respond to the following key requirements:
- **Defining and capturing PLA invariants** – which will require the modeling tool to provide capabilities to capture the PLA-specific feature invariants. Modeling tools will need to map these invariants to the features in middleware that will be required to satisfy these invariants.
- **Represent middleware models and their configurability** – which will require the modeling tool to provide capabilities to represent middleware as building blocks that can be configured and customized according to the PLA and product-specific requirements. This capability is driven by the state of art in middleware, which comprises a composition and configuration of pattern-based building blocks.
- **Capturing product-specific functional and QoS variability** – which will require the ability to specify product-specific variability incurred due to functional and QoS requirements. This will also govern the variability in the assembly, configuration and deployment of the product variant and the associated middleware infrastructure.
The modeling capabilities described above represent a multi-dimensional separation of concerns [19]. Each concern could be represented using higher levels of abstractions instead of low level code or platform-specific artifacts. The mapping of these concerns by the FOCUS tool to platform-specific artifacts represent the selected features of the middleware in terms of the chosen building blocks. Concerns that crosscut layers of middleware and building blocks are akin to aspects. Finally, the QoS requirements of product variants map to specializations of the selected features of the middleware. The remainder of this section describes the specialization automations carried out by FOCUS.
3.2 FOCUS Approach for Specialization Automation
Figure 5 illustrates the actors, tools and workflow in FOCUS. The different phases in the FOCUS approach can be broken down as follows:
- **Identification of specializations.** The most important step in the specialization process is the identification of specialization points to eliminate generality. Rather than selecting ad-hoc points, we examine the critical request/response processing path within middleware to systematically identify sources for specialization. Identification of these points have the greatest potential for increasing performance improvement. For example, middleware implementations run on top of multiple protocol implementations such as TCP/IP, UDP and shared memory. To seamlessly support and add new protocol implementations, middleware implementations are designed using the strategy [20] and template method pattern [20] that allow the different protocol implementations to be dynamically loaded within the middleware. These designs incur indirections and dynamic dispatching in middleware components along the critical request/response processing path.
- **Capturing specializations as rules.** Figure 7 illustrates how specializations are expressed as rules. In this phase, a middleware developer lays down the specialization rule required to transform general-purpose middleware into optimized middleware stack. These directly stem from the specialization points identified in the previous step.
- **Middleware Annotation.** Figure 8 shows how the rules are used to annotate the middleware. In conjunction with capturing the specialization rules, the middleware developer annotates the middleware source with specialization hooks. These hooks are inserted as comments in the source code that do not interfere with the normal request/response processing. However, in the specialized mode, these hooks are used to weave in specialized code using a customizer engine.
FOCUS Transformations. Figure 9 illustrates the different steps in this phase. (1) A product-line application developer chooses the specializations that are suitable for the variant. This is done during the CV analysis phase. (2) A transformation engine, then uses the rules specified in the rules file (3) performs the transformations specified in the file using the hooks left in the middleware code and (4) Optimizing compiler then uses the modified source file to generate executable platform code.
The advantage of this approach is that the transformations are applied to the source directly enabling an optimizing compiler to generate optimized code. However, a disadvantage is that aspects provide a superior mechanism of weaving code. However, irrespective of the actual approach, our specialization rules are applicable across different mechanisms. The specializations in addition will not change the CORBA interfaces CORBA interfaces, for example, no addition of operation parameters to interface operations, which will avoid breaking CORBA compatibility.
4 Related Research
This section compares our work on context-specific specializations for middleware-based PLAs for DRE systems with related research in a range of system and application domains.
Operating systems. Specialization techniques have been applied to operating systems. For example, the Synthesis Kernel [21] generated custom system calls for specific situations to collapse layers and eliminate unnecessary procedure calls. This approach has been extended to use incremental specialization techniques. For example, [22] have identified several invariants for an OS `read()` call on HP/UX. Based on these invariants, code is synthesized to adapt to different situations. Once the invariants fail, either re-plugging code is used to adapt to a different invariant or default unoptimized code is used. Our work is extending
the catalog of specializations to encompass middleware invariants in the context of PLA-based DRE systems, which have some different constraints. For example, we do not consider re-plugging costs in many DRE systems since it would considerably increase jitter for a product variant.
**Middleware.** Specialization techniques have also been applied to various generations of middleware. [23] describes the use of the Tempo C program partial evaluator tool to automatically optimize common software architecture structures with respect to fixed application contexts. For instance, the authors show how partial evaluation can be applied to fold together and optimize layers in early generations of middleware, i.e., a remote procedure call (RPC) implementation, by specializing RPC invocations to the size and type of remote procedure parameters (yielding speedups of 1.7x and 3.5x).
**Other domains.** Specialization mechanisms have been applied to computer graphics, database systems, and neural networks. In computer graphics, for example, ray tracing algorithms compute information on how light rays traverse a scene based on different origination. Specialization of these algorithms [24] for a given scene has yielded better performance rather than general purpose approaches. Similarly in databases [25], general-purpose queries have been transformed into specific programs optimized for a given input. Similarly, training neural networks [26] for a given scenario has improved its performance. The specializations described in this paper, in contrast, focus on specializations that customize standards-based, general-purpose middleware for particular product variants and application-specific contexts.
This paper systematically identifies the generality within middleware implementations and describes our FOCUS MDD approach for automating the specializations. Currently, we have handcrafted the middleware specializations that resolve the challenges described in Section 2. Preliminary results show that application of our specializations improves end-to-end throughput and latency measures by $\sim 25\%$ over general-purpose middleware. Our future work on FOCUS, will involve:
- Identifying the different types transformations necessary to specialize middleware implementations from our handcrafted approach. For example, examination of our handcrafted approach showed that transformations require capabilities of weaving/removing code at specific points within middleware,
- Specifying a XML DTD that will provide a structure for capturing the different specializations. Simultaneously, the middleware implementation will be annotated with markers to aid in the automation process,
- Development of scripting tools that will parse the XML specialization document and automate the specializations, and
- Development of Modeling paradigm that will determine transformations required to specialize middleware from system models and generate specialization transformations that will be executed by the FOCUS tool. We plan to integrate the modeling paradigm with CoSMIC [27] which is an integrated collection of domain-specific modeling languages (DSMLs) and generative tools that support the development, configuration, deployment, and validation of component-based DRE systems.
**References**
[1] P. Clements and L. Northrop, *Software Product Lines: Practices and Patterns*. Boston: Addison-Wesley, 2002.
[2] D. C. Sharp, “Reducing Avionics Software Cost Through Component Based Product Line Development,” in *Proceedings of the 10th Annual Software Technology Conference*, Apr. 1998.
[3] J. Coplien, D. Hoffman, and D. Weiss, “Commonality and Variability in Software Engineering,” *IEEE Software*, vol. 15, November/December 1998.
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[6] CoSMIC’s open-source MDD tools are available for download at www.dre.vanderbilt.edu/cosmic.
[6] W. Roll, “Towards Model-Based and CCM-Based Applications for Real-Time Systems,” in *Proceedings of the International Symposium on Object-Oriented Real-time Distributed Computing (ISORC)*, (Hakodate, Hokkaido, Japan), IEEE/IFIP, May 2003.
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[27] Institute for Software Integrated Systems, “Component Synthesis using Model Integrated Computing (CoSMIC).” www.dre.vanderbilt.edu/cosmic, Vanderbilt University, Nashville, TN. |
SPEAKER VERIFICATION UNDER REALISTIC FORENSIC CONDITIONS
Phil Rose
Department of Linguistics (Arts)
Australian National University
ABSTRACT - A forensic phonetic experiment is described which investigates the nature of within- and between-speaker variation in demonstrably similar sounding voices. The centre frequencies of F1 - F4 in the naturally produced single word utterance *hello* are compared for 6 adult males. ANOVA results show that even similar sounding voices differ in F-pattern, but some of these differences are not realistically demonstrable. The magnitude of smallest significant difference between similar speakers is proposed as a way of estimating the involvement of more than one speaker forensically.
INTRODUCTION
An extensive literature now exists on speaker recognition using acoustic features (see, e.g. the bibliography in Hollien (1990: 350-357)). However, the results are not generalisable in any straightforward way to the typical verificational situation in forensic speaker identification (FSI). Speaker recognition experiments are typically forensically inadequate in several important aspects which have mostly to do with unrealistic test material and closed-set testing (Rose 1995). Since the recognition literature concentrates on success rates, it is also difficult to find actual measurements of magnitude of difference between speakers. This paper looks at the problem of speaker verification under two forensically more realistic, and hence more stringent conditions. It also provides some data on magnitude of differences.
The primary inadequacy redressed in this paper is lack of control for prior similarity in voices. Under normal forensic circumstances, two voice samples to be compared will sound similar: otherwise it is unlikely they would be compared in the first case. In recognition experiments, no attempt is usually made to control for similarity, other than choosing speakers with roughly the same accent. The consequent degree of between-speaker variation of course facilitates the task of identification. It still therefore needs to be asked what the nature of variation is between speakers who sound similar. To this end, the voices of six male subjects with demonstrably similar voices were used. In contrast to Rose (1996) -- which looks at how different the same speaker can be -- this paper asks how acoustically similar speakers can get.
Speaker recognition experiments have also been criticised (Nolan 1983, 12) for their tendency to underrate the importance of within-speaker variation, and realistic FSI has to be able to take this variation into account. This applies especially to the kind of linguistic variation which characterises situations with different degrees of formality, as for example when a suspect is being interviewed by the police, contrasted with when they are chatting over the phone to a friend, or when perchance they are committing an armed robbery. An attempt to redress this shortcoming is made in the present paper by eliciting utterances with realistic uncontrolled within-speaker variation. Subjects were asked to say the word *hello* as they thought they might say it under different conditions: questioning if someone was there; meeting a long-lost friend in the corridor; answering the phone; announcing their arrival home; reading it off the page. *Hello* also has the advantages, because of its pragmatic function, of, firstly, being able to be said naturally, thus avoiding the 'yellow lion roar' effect (Nolan 1983, 75). Secondly, it is capable of taking naturally a wide range of contrasting intonational nuclei, thus providing a potentially greater range of within speaker variation. The Australian *hello* also permits F1 and F2 to be examined over a fairly wide range.
PROCEDURE
Six adult male speakers of general to slightly broad Australian English were used. These speakers had been chosen initially on the basis of anecdotally reported similarity and were shown in experiments reported in Rose and Duncan (1995) to indeed have voices similar enough to be confused even by closest family members ('familiar' listeners). Four of the speakers are closely related: JM (49 y.o.), his two sons DM (23 y.o.) and EM (16 y.o.), and his nephew MD (24 y.o.). RS (50 y.o.) and PS (29 y.o.) are father and son. The confusions occurred in two types of experiments -- open class identification, and discrimination -- on three types of spoken material differing in length from one word (*hello*) through a short utterance to a 45 seconds text. Discrimination tests were also carried out with 21 unfamiliar listeners on the *hello* and longer utterance.
Details of the confusions reported in Rose and Duncan (1995) are summarised in table 1. Misidentification rate is shown in square brackets for the open identification tests by familiar listeners. Bold is used for familiar listener response, and italic for *hello* responses. The table is to be read in two different ways. Firstly, for open identification by familiar listeners (figures in bold), as "utterance from speaker on left was misidentified as spoken by speaker along the top". Thus the table shows that in one occurrence out of ten one of PS' *hellos* was recognised as spoken by EM by a familiar listener in an open identification test "[1/10]". Otherwise (non-bold figures) the table is to be read as "utterances of both speakers were heard as coming from the same speaker". Thus the table shows that in 11 occurrences out of 21 unfamiliar listeners identified *hellos* spoken by RS and MD as coming from the same speaker "11/21".
In the open identification test using the single word *hello*, every one of the 5 speakers used was misidentified as another one of the group at least once. In the longer utterance, three speakers were misidentified. Even the 45 seconds utterance was not free from judicially fatal errors, with 2 speakers heard as other members in the group. Generally, the same misidentifications occurred in the discrimination tests, where two different speakers' utterances were identified as coming from the same speaker. The same patterns characterised discrimination by unfamiliar listeners also, but more drastically so. Table 1 shows that every speaker had their voice misidentified as another in the group\(^1\). Although Rose and Duncan (1995) point out that expectation effect also undoubtedly contributed, it seems justified to assume that these patterns of confusion, especially by close family members, are mostly to be ascribed to the auditory similarity of the stimuli. In particular, there is interaction between DM, EM, PS and MD, with DM's voice appearing to be especially similar to EM's, and PS's to MD. JM and especially RS do not show much interaction with the others.
Speakers were each recorded at a single sitting in the phonetics laboratory recording studio of the Linguistics department at the Australian National University. A Nakamichi 500 stereo cassette deck was used with a Nakamichi CM 300 microphone and wind shield. Forty-nine tokens of *hello* were elicited from the six speakers. An auditory analysis of the hellos revealed that /l/ was always velarised, and /ou/ varied between speakers in the fronting and rounding of its offglide. There was considerable between- and within-speaker variation in the realisation of the /h/ and the first vowel, and measurements from these segments were not used. MD produced two very different vowels in the second syllable: 6 with an unrounded off-glide; 4 with a rounded vowel, and one had a combination, with a glide towards a fronter position (high F2) in the first part of the rhyme, and then a rounded offglide (lower F2). The first two had to be treated as separate samples; the last was discarded. Between- and within-speaker differences in intonation and phonation type were also noted.
The *hellos* were digitised at 10 KHz and analysed with the ILS API routine which uses linear prediction spectral modelling with cepstrally based pitch period extraction. A filter order of 14, with hamming window and 100% preemphasis were used. The boundaries of the /l/, the offset of modal phonation in /ou/, and the onset of the first vowel were determined from inspection of the wave form produced by the ILS SGM command, in conjunction with conventional analog wide band spectrograms. Centre frequencies and bandwidth of the first four formants, as well as fundamental frequency, were sampled at the middle of the /l/ (labelled "/l/" below); at 25 percent intervals of the
duration of the /ou/ ("0% /ou/, 25% /ou/, ... 100% /ou/"); and at the middle of the first vowel ("V") if present. Analog wide-band (350 Hz) contour spectrograms, which have a greater dynamic range than normal bar spectrograms, were also made to assist in checking and interpreting the F-pattern extracted by the API analysis.
In addition to the expected acoustic characteristics for velarised lateral (Fant 1960, 162-168), several speakers showed sporadic additional poles from the middle of the lateral lasting sometimes well into the middle of the /ou/. Speakers also differed markedly with respect to higher frequency acoustic structure. JM showed for example many resonances above F2 that could only with difficulty be aligned with the other speakers' F3 and F4. Because of this, I was confident of comparability between his and the others' F4 only at the last two sampling points in /ou/. MD had clear formant structure up to F5.
Tokens were pooled for statistical purposes only if they sounded to have the same segmental target. (Thus MD's two different hellos were not pooled). Means and standard deviations were calculated for all parameters at all sampling points. These, together with number in sample, are given in table 2, which shows for example that JM's 5 hellos had a mean F1 for /l/ of 418 Hz, with a standard deviation of 44 Hz. It is readily apparent from table 2 that there are some very similar measurements for some parameters. For example, four speakers' mean F1 values in /l/ lie within a range of 20 Hz, and three speakers have mean F2 values at /ou/ 75% that lie within 8 Hz. The F-patterns of the most similar pair -- DM and MD -- are compared in figure 1 (at the end of the paper). There are also some obvious between-speaker differences, with a range of 332 Hz separating the lowest and highest F2, for example. The set of measurements for MD's F1 and F2 in his rounded vowel tokens is clearly different from those with the unrounded off-glide, but interestingly his F3 and F4 are very similar for both types.
RESULTS
Table 2. Mean and standard deviation values for F1 - F4 in six speakers' hellos Shading refers to excluded material -- see text.
| | F1 | /V/ | /l/ | 0% | 25% | ou | %50% | 75% | 100% |
|---|-----|-----|-----|-----|-----|-----|------|-----|------|
| JM| 582 | 418 | 548 | 607 | 550 | 496 | 380 | | |
| 5 | 42 | 44 | 4 | 39 | 49 | 62 | 94 | | |
| DM| 509 | 410 | 479 | 554 | 518 | 430 | 273 | | |
| 17| 100 | 78 | 83 | 45 | 65 | 79 | 45 | 15 | |
| EM| 582 | 412 | 499 | 556 | 498 | 352 | 270 | | |
| 3 | 30 | 38 | 63 | 33 | 36 | 47 | 65 | 2 | |
| MD| 551 | 425 | 538 | 607 | 515 | 388 | 295 | | |
| 6 | 79 | 42 | 52 | 63 | 86 | 78 | 64 | | |
| /o/| 624 | 484 | 544 | 581 | 579 | 497 | 349 | | |
| 4 | 6 | 53 | 35 | 34 | 37 | 41 | 74 | | |
| RS| 678 | 499 | 654 | 673 | 615 | 499 | 489 | | |
| 656| 17 | 40 | 29 | 54 | 92 | 135 | | | |
| PS| 548 | 405 | 585 | 622 | 574 | 454 | 368 | | |
| 4 | 90 | 30 | 33 | 5 | 33 | 75 | 66 | | |
| | F2 | /V/ | /l/ | 0% | 25% | ou | %50% | 75% | 100% |
|---|-----|-----|-----|-----|-----|-----|------|-----|------|
| JM| 1055| 760 | 998 | 1240| 1366| 1494| 1491 | | |
| 124| 40 | 43 | 55 | 44 | 41 | 86 | | | |
| DM| 1076| 977 | 1061| 1204| 1377| 1605| 1686 | | |
| 103| 72 | 15 | 93 | 16 | 99 | 95 | 65 | 84 | |
| EM| 1138| 1011| 1084| 1216| 1290| 1436| 1681 | | |
| 86 | 81 | 82 | 40 | 54 | 102 | 47 | | | |
| MD| 1023| 851 | 995 | 1149| 1485| 1694| 1701 | | |
| 54 | 45 | 50 | 60 | 74 | 87 | 139 | | | |
| /o/| 1103| 837 | 910 | 993 | 975 | 807 | 729 | | |
| 46 | 64 | 41 | 70 | 44 | 45 | 98 | | | |
| RS| 1093| 1011| 1035| 1131| 1225| 1293| 1383 | | |
| 1136| 76 | 64 | 44 | 47 | 79 | 104 | 204 | | |
| PS| 1092| 948 | 1041| 1165| 1317| 1388| 1369 | | |
| 41 | 65 | 43 | 125 | 79 | 80 | 198 | | | |
A single factor ANOVA, with 95% confidence limit, was carried out on the centre frequency data for F1 - F4. Results are shown in table 3, which lists the following information for each parameter: the F ratio (column F), associated significance (p), and the range in hertz between the lowest and highest values observed (R). Thus it can be seen that for F1 in /l/ the range between the lowest and highest mean values was 93 Hz, and that the F ratio of 2.56 gave a marginally significant probability of just under .05 that there are F1 values in /l/ that differ. Column "D" lists the number of significant differences in the corpus for the given parameter. Of more importance is the magnitude of the smallest significant difference between two similar sounding speakers ("SSDSSS Scheffé"). The SSDSSS values quoted are based on the (for the forensic context appropriately conservative) Scheffé post-hoc significance
test for unequal sized samples (Elzey 1987,155). Thus for F1 in /l/ it can be seen that no significant differences between speakers can be demonstrated, but that for F2 in /l/ there are 6 pairs of speakers that differ, and the smallest significant difference is 126 Hz, between MD and DM. The magnitudes can be used as a kind of prior probability threshold to give some indication of provenance from different vocal tracts. If, for example, a significant difference is established between two recordings in the F2 of /l/ in comparable environments, the difference can be compared with the magnitude of SSDSSS found here. If it exceeds the SSDSSS of 126 Hz, the probability of the t test can be quoted that two different voices are involved.
The six similar speakers were compared pairwise with respect to differences between them that had been shown by the Scheffé test to be significant. Distribution of significant differences between pairs is given in table 4. Three conditions of comparison are shown: ideal (column "I"), with all available centre frequency information, and nominal telephone ("Tn"), with effective information between 350 Hz and 3.5 KHz. In table 2, shading is used to highlight material excluded under telephone conditions. The third condition is realistic ("R"), which represents a situation with medium to poor quality non telephone speech with information restricted effectively to F1 and F2. The number of significant differences between speakers is given in column "D".
Table 4 shows that there are no pairs that do not differ significantly at at least one of the 20 or 24 measuring points, providing information from all the first four formants is used (the figure of 20 must be quoted for JM, since four of his F4 measurements were excluded). This suggests that given a tightly enough circumscribed environment -- as for example the F-pattern in hello -- every speaker does inhabit their own region of variation in multidimensional acoustic space. If information is restricted to typical telephone bandwidths, however, there is one pair of speakers (PS/EM) for whom no significant differences can be demonstrated. If only the first two formants are considered, three pairs (PS/EM, PS/RS, DM/EM) cannot be shown to differ significantly.
Table 5 shows the 15 pairs of speakers ranked according to the distance between them measured in number of significant differences ("SD"). The significant differences are also broken down by formant. It can be seen that RS and DM differ the most, with 10 out of a possible 24 significant differences. But
Table 3. ANOVA results (95% confidence).
See text for explanation
| | p | F | R | D | SSDSSS (Scheffé) |
|-------|------|-----|-----|-----|------------------|
| **F1**| | | | | |
| /I/ | .0439| 2.56| 93 | 0 | - |
| 0% | .0001| 8.35| 175 | 2 | 155 EM/RS |
| 25% | .0001| 8.79| 119 | 2 | 117 EM/RS |
| 50% | .0155| 3.27| 117 | 1 | 98 DM/RS |
| 75% | .0354| 2.71| 147 | 0 | - |
| 100% | .0001| 7.98| 219 | 2 | 195 MD/RS |
| **F2**| | | | | |
| /I/ | .0001| 11.9| 251 | 6 | 126 MD/DM |
| 0% | .3337| 1.2 | 0 | 0 | - |
| 25% | .2289| 1.45| 109 | 0 | - |
| 50% | .0002| 6.79| 260 | 2 | 152 DM/RS |
| 75% | .0001| 25.71| 401 | 7 | 201 MD/JM |
| 100% | .0001| 9.4 | 331 | 4 | 303 DM/RS |
| **F3**| | | | | |
| /I/ | .0001| 10.08| 423 | 5 | 202 MD/RS |
| 0% | .0001| 9.37 | 415 | 3 | 241 MD/DM |
| 25% | .0003| 6.53 | 304 | 3 | 216 PS/RS |
| 50% | .0154| 3.29 | 314 | 0 | - |
| 75% | .0003| 6.41 | 276 | 2 | 219 DM/RS |
| 100% | .1106| 1.96 | 220 | 0 | - |
| **F4**| | | | | |
| /I/* | .0001| 8.58 | 424 | 2 | 306 MD/EM |
| 0% * | .0002| 7.64 | 347 | 3 | 259 EM/RS |
| 25% * | .0031| 5.09 | 320 | 2 | 296 PS/RS |
| 50% * | .0001| 9.05 | 465 | 3 | 277 MD/RS |
| 75% | .0001| 10.63| 538 | 5 | 241 DM/JM |
| 100% | .0193| 3.23 | 488 | 0 | - |
* = excluding JM
Differentiation reflects corpus-internal within-speaker variance as well as similarity in mean F-pattern. Note that the pair MD - EM shown in figure 1 as having the most similar mean F-pattern is not the pair with the least significant differences. Whatever the source of the similarity, it will be appreciated that it might not be easy to distinguish some of these speakers under realistic forensic conditions.
CONCLUSION
The results of this experiment indicate that under optimum conditions, with highly comparable segmental material, it should be possible to demonstrate a difference in the acoustics of two similar sounding voices. The magnitudes of least differences in F-pattern that will discriminate between similar sounding voices (SSDSSS) have been given above for selected segments. However, under more realistic circumstances, it has been shown that there is between 7% (1/15) and 20% (3/15) chance that an actual difference in speakers will not be reflected in a significant difference in acoustics.
It is clear that these estimates will have to be revised, however, because of two conditions of the experiment which bias the results towards differentiation of speakers: control for contemporaneity and control for segmental differences. There is a need to explore the extent to which these results will be affected by relaxing these constraints towards even more realistic conditions. It is well known that recognition rates decrease dramatically if non-contemporaneous speech samples are used (Nolan 1983, 12). Therefore, the variation found in the voices of similar sounding speakers across time needs to be taken into account. The same six speakers were in fact re-recorded one year later, and there is a high proportion of pairs -- ca. 50% -- that only differ by 3 or less out of 20 or 24 possible differences. This lack of...
the results are now being processed. It is to be expected that greater within-speaker variation exists across both corpora than demonstrated here, and that consequently it will be less easy to demonstrate differences between speakers.
The second factor which will have contributed to greater speaker differentiation in this experiment is the forced segmental comparability, both between- and within-speaker, from using the same word. Notwithstanding its desirability in this context, the degree to which within-speaker variance was minimised thereby is of course unrealistic. We as yet know little about the index of comparability that can be associated with most natural classes, although it is clear for example that unstressed vowels are not comparable with those in stressed environments (Ingram M.s.). It is planned to explore this issue using the large amount of longer utterances and connected text also recorded by our six similar speakers.
Figure 1. Mean F-patterns of the acoustically most similar pair of speakers DM & MD
NOTES
(1) Not all pairs were tested, so absence of data in a cell does not imply that speakers were not confused, only that the two were not compared in a discrimination test. The results in Table 1 are exhaustive, as far as the discrimination results are concerned. For the open identification test, of course, it is as if all speakers were being tested against each other.
REFERENCES
Elzey, Freeman F. (1987) *Introductory Statistics: A Microcomputer Approach*, Brooks/Cole Publishing Co.
Fant, G. (1960) *Acoustic Theory of Speech Production*, Mouton.
Hollien, H. (1990) *The Acoustics of Crime*, Plenum.
Ingram, J. (M.s.) "Formant Trajectories as Indices of Phonetic Variation For Speaker Identification" to appear in *Journal of Forensic Linguistics*
Nolan, Francis (1983) *The phonetic bases of speaker recognition*, Cambridge U.P.
Rose, Phil (1995) "On the acoustics of similar voices" Paper given at the Intl. Conf. on Forensic Linguistics, U.N.E.
Rose, P. & Duncan, S. (1995) "Naive Auditory Identification and Discrimination of Similar Voices by Familiar Listeners" *Journal of Forensic Linguistics* 2/1, 1-17. |
The Council of the Town of Coronach in the Province of Saskatchewan enacts as follows:
1. **OVERVIEW**
This Bylaw may be cited as The Utility Service Management Bylaw. A Bylaw for the Town of Coronach to fix, regulate, maintain and control the use and charges for the consumption of water; to fix, regulate, maintain and control the use and charges for the use of the sewer services, and to fix and regulate the garbage and recycling practices and costs for the use of these services.
2. **PURPOSE**
The Purpose of this Bylaw is to govern the regulation, maintenance and control of the use and consumption of water and sewer services within the Town of Coronach.
3. **DEFINITIONS:**
In this Bylaw,
"Administrator" means the administrator of the Town appointed pursuant to Section 110 of The Municipalities Act.
"Billing #1" means the period of January 1 to March 31.
"Billing #2" means the period of April 1 to June 30.
"Billing #3" means the period of July 1 to September 30.
"Billing #4" means the period October 1 to December 31.
"Consumer" means the person(s), organization(s), corporation(s), etc. responsible for payment of charges for utilities services, and includes the owner, tenant or occupant of any real Property connected with or supplied with water and/or sewer through a water connection to the Town of Coronach's water system and/or a sewer connection to the Town of Coronach's sewer system.
"Council" means the elected body of the Town of Coronach.
"Town" means within the corporate limits of the Town of Coronach.
"Property" means land and/or improvement(s) associated with the land.
"Property Owner" means the person(s), organization(s), corporation(s), etc. having legal Title to the subject Property, pursuant to Information Services Corporation.
"Property Line" as related to water connections are considered by the municipality to be the placement of the curb stop/ water valve control that controls water to the property from the distribution system.
"Public Works Department" means the person or persons employed by the Town of Coronach with the responsibility for water and sewer operations, and shall also be deemed to include the person responsible for reading of water meters.
"Sewer Main/Main Line" refers to the main service line that the primary pipeline in a sewerage system running under the public street collecting wastewater from lateral connections.
"Sewer Maintenance" means the act of performing a clean-out of a sewer service line that has become obstructed due to tree roots, or by other means of blockage, at
the request of the Consumer, at a charge set by the commercial sewer and drain cleaning specialist the property owner hires.
"Residential recycling" means the recycling program that has residential curbside pickup for houses and apartments by Loraas on a biweekly schedule at a cost as per Schedule C. Each property is allotted one bin per monthly charge, additional bins are available through the Town office.
"Residential garbage" means the garbage program that has residential curbside pickup for houses and apartments by Loraas on a biweekly schedule subsidized by the Town of Coronach.
"Commercial recycling" means the businesses that maintain a large commercial bin with a scheduled pick up with costs noted in Schedule C. Businesses are permitted to set up their own account with the Recycling provider and must notify the Town Administrator.
"Commercial garbage" means the businesses that maintain a large commercial bin with a scheduled pick up at no cost to the business.
"Garbage Rental Bin" refers to the rental of a 6 yard residential bin for garbage with pick-ups as per the commercial garbage schedule and costs as noted in Schedule D
"Quarterly" refers to the 4 billing cycles of 3 months per cycle.
4. SERVICES:
New Services
4.1 No extension of water or sewer mains shall be constructed unless such construction is authorized by the Council of the Town of Coronach.
4.2 Every single-family residential Property Owner wanting to have his/her premises connected to the waterworks system shall apply to the Administrator for that service. The costs associated with the materials and installation of each new water connection and new sewer connection are the responsibility of the Property Owner, in addition to acquiring a plumber to connect to the Town’s water main and sewer main, under the supervision of the Town Foreman. Subsequent costs for replacement of pavement, curbing, sidewalk, and all other damages occurring as a result of the installation of water and sewer mains and lines will be the responsibility of the Property Owner. Along with connection a water meter must be installed in the dwelling if one doesn’t exist, at the cost to the owner.
4.3 Every multi-family residential Property Owner wanting to have his/her premises connected to the waterworks system shall apply to the Administrator for that service. The costs associated with the materials and installation of each new water connection per living unit and new sewer connection per living unit are the responsibility of the Property Owner, in addition to acquiring a plumber to connect to the Town’s water main and sewer main, under the supervision of the Town Foreman. Subsequent costs for replacement of pavement, curbing, sidewalk, and all other damages occurring as a result of the installation of water and sewer mains and lines will be the responsibility of the Property Owner. Along with connection a water meter must be installed in the dwelling if one doesn’t exist, at the cost to the owner.
4.4 Every commercial Property Owner wanting to have his/her premises connected to the waterworks system shall apply to the Administrator for that service. The costs associated with the materials and installation of each new water
connection and new sewer connection are the responsibility of the Property Owner, in addition to acquiring a plumber to connect to the Town’s water main and sewer main, under the supervision of the Town Foreman. Subsequent costs for replacement of pavement, curbing, sidewalk, and all other damages occurring as a result of the installation of water and sewer mains and lines will be the responsibility of the Property Owner.
**Existing Services**
4.4 Person(s) taking over premises where water has been previously used by another applicant must contact the Town office at 212 1st Avenue East to set up the new account and pay deposit and water connection fee.
4.5 The Property Owner shall pay the sum of $30.00 for a water deposit. This payment must be received before any water is consumed. Any renter, Tenant or Occupant of any real Property shall pay a water/sewer deposit in the sum of $30.00.
4.6 The Renter, Tenant or Occupant of any connected & serviced property shall pay the sum of $35.00 for a water connection fee. This payment must be received before any water is consumed.
4.7 Every Consumer shall provide, at his/her own expense, a place in his/her premises for the installation of the water meter. The meter location must be acceptable to the Public Works Department, and shall provide ready and easy means of access to the said meter for examination by the meter reader. Every Consumer shall at all times properly protect the service pipes and fixtures from frost or other injury so that the meter shall not in any way be damaged. Every Consumer shall be responsible to the Town for costs incurred by it arising out of any damage to such meters from frost or other injury. Water meters shall remain the property of the Town.
4.8 The Town shall be entitled to read the water meters regularly and/or estimate the water usage. Any Authorized Person is entitled to free access at all reasonable times to all parts of any Parcel of Land to which the water Public Utility is connected for the purpose of: reading a meter; or after making reasonable efforts to notify the Owner or Occupant, or in an emergency, for the purpose of directing and installing or sealing a meter or other related appliances, and removing, altering, or repairing such meter as circumstances require, conducting and sampling tests, inspecting any service connection, or maintenance and repair.
4.9 Every Consumer shall also provide, at his/her own expense, a place on the outside wall of his/her premises, where a remote read out unit may be installed. The location must be convenient for the meter reader and acceptable to the Public Works Department.
4.10 In addition to the requirements of the Saskatchewan Plumbing and Drainage Regulations, it shall be the responsibility of every applicant for a new sanitary sewer connection to install a backwater valve on the main building drain for a single-family dwelling, or on all lateral pipes connected to the main building drain for multiple dwellings.
4.11 Every Consumer who intends to vacate any premises supplied with water from the waterworks system or who intends to discontinue the use of such water shall give notice of same to the Town office.
4.12 Persons who own or occupy premises drained, or required by Bylaw to be drained into a the Town of Coronach's sewer system, shall pay for such
services a quarterly service charge in accordance with the schedule as outlined in the Schedule B as appended to this bylaw.
**Existing Service Connection Repairs/Replacements**
4.13 The cost of subsequent repairs and/or replacement and maintenance of an existing water service line from the curb stop, up to and within the premises, shall be borne by the Property Owner.
4.14 The Owner of a Parcel of Land with a Residential, Commercial or Residential Multi-Family building shall be responsible for the costs and expenses related to the maintenance, repair, and replacement of a sewer service connection located above, on, or under the Owner’s Parcel of Land from the Sewer Main/Main lateral connection to inside the Residential, Commercial or Residential Multi-Family building, unless otherwise determined by the Municipality. Any determination that costs and expenses are the municipality’s responsibility must be accompanied by a video confirmation that the lateral connection from the property to the sewer main is disconnected/damaged and presented to the Chief Administrative Officer prior to payment. In the case of the lateral connection to the sewer main requiring replacement, the costs shall be borne by the Municipality.
5. **PROHIBITIONS:**
5.1 No person shall turn on water to any premises or open any valve on Town of Coronach property, except under the authority of the Town Administrator.
5.2 No person shall make any connection whatsoever with any of the public or private pipes or mains, except under the authority of the Town Administrator.
5.3 No person, except the Public Works Department personnel or members of the Fire Department in the course of their duties, shall open, close, or interfere with any hydrant, gate or valve connection, nor in any way interfere with any meter, curb stop, pipe or other waterworks appliance.
5.4 No person shall discharge into any drain, sewer or sewage system operated by the Town any harmful matter, substance or thing, whether liquid or solid, that would be injurious to health, life or Property, or that would injure, pollute, or damage any stream, watercourse, drain, sewer, sewage system or sewage treatment plant.
5.5 In the event of a natural disaster (i.e. significant rain storm or flood), no person shall discharge into any drain, sewer or sewage system operated by the Town any liquid from a sump-pump or eaves trough. As this causes the sewage lift station to operate at full capacity with the added pressure there is potential for failure and compromising the system to the point resulting in sewer backups affecting Consumers or worse case, a total shutdown of the facility.
5.6 No person shall drain runoff water and/or ground water into the sanitary sewer system without approval from the Town of Coronach Council approval and appropriate permits.
5.7 No person shall remove from Town limits the Residential Garbage or Residential recycling bin permanently. Any bin permanently removed from a property shall result in a fine of $500.00.
5.8 No person shall deface, bury, cover or willfully damage Town property, including but not limited to hydrants, water services, water meters, sewer systems,
6. MAINTENANCE:
6.1 The Town will provide a water meter where necessary for the repairing or replacing due to normal wear, at no charge to the Consumer. If a property owner prefers a plumber to install the water meter, instead of Public Works, costs associated with the Plumber are the responsibility of the Consumer.
6.2 Where a repair or replacement of a water meter is necessary due to physical damage to the meter caused by the Consumer’s negligence, a new meter is required to be installed by a plumber or a Town Employee, the Consumer will be charged the cost of the new meter plus the costs associated with the plumber to do the work. The charge for the new water meter will be invoiced and collected as provided in this bylaw. Water meters are the property of the Town and Tampering with the water meter will result in a Fine of $1000.00 and double the cost of the last billing period to the consumer. Charges may also be pressed.
6.3 For the purpose of making repairs to the mains or of connecting or repairing service pipes or constructing extensions or new work, or for any other work, the Town shall have the right to shut off the water from any customer without notice, and to keep it shut off as long as may be necessary to enable the work to be completed. Whenever feasible, the customer shall be notified in advance.
6.4 The Town shall replace, if non-functioning, a curb stop valve on an as needed basis. If the Town foreman acknowledges the non-functioning curb stop valve, a work order will be created and the severity and urgency of the replacement will be determined by the Town Foreman and Town Administrator. This will be paid for by the Town, and the area around the curb stop valve shall be remediated to topsoil and grass seed as a minimum standard.
6.5 The Town shall have the right to limit the amount of water furnished to any customer, upon reasonable notice to the customer of such intended action.
6.6 The Town shall have the right by resolution of Council to regulate the use of water for fountains, jets, hoses, sprinklers, or to limit the hours for using same.
7. RECONNECTIONS:
7.1 No disconnections will be done after 3:30 p.m. on Monday to Friday, or on weekends or holidays, except in the case of an emergency.
7.2 No reconnections will be done after 3:30 p.m. on Monday to Friday, or on weekends or holidays, except in the case of an emergency.
7.3 There shall be a $200.00 charge, in addition to full payment of utilities accounts, for turning water on where the service had been terminated due to nonpayment of accounts.
7.4 Accounts shall be paid within a period of thirty (30) days from the billing date. Accounts showing arrears sixty (60), utility amounts owed by the owner of the property may be added to the tax roll after proceeding with water disconnection. At any time during the year, Council may, by resolution, in accordance with section 369 (1) (b) of the Municipalities Act direct that unpaid utility amounts be added to tax roll. Administration will ensure due process is followed with respect to adding arrears to taxes. And reconnection fee must be paid before service is reinstated.
7.5 If the water supply to a dwelling unit is disconnected for infringement of the provisions of the bylaw, the same shall not be reconnected until all penalties, fees, rates, charges and arrears have been paid or arrangements have been made for full repayment of same.
7.6 Seasonal Disconnections are a $35.00 charge for the curbside disconnect and reconnection within a 6 month period.
8. **BILLING PROCEDURE:**
8.1 Utility billings will be processed four (4) times per year, in accordance with the schedules "A", "B", "C", "D", "E" and "F" as outlined in the Bylaw.
8.2 Deposit(s) must be collected and account set up complete before service is resumed at an existing address. [See Section 4.5 & 4.6]
8.3 Water service application for new installation of services must be submitted, signed, approved by Town of Coronach Council and completed prior to any services being rendered.
9. **LANDLORDS and TENANTS:**
9.1 Whereas The Municipalities Act, 2005 S. 29 provides for the amount of a tenant’s unpaid water and sewer account to be transferred to the property owner’s tax account for the parcel of land which is/was occupied by the tenant; And whereas The Local Authority Freedom of Information and Protection of Privacy Act prevents the Town from releasing information relating to a resident’s financial account with respect to the provision of routine services by a Town;
9.2 Property owners that are Landlords shall be added by default to accounts where property is leased or rented and receive copies of all bills and notices. Property owners are held responsible for all billings connected to their property and will be held responsible for the arrears in cases of non-payment by tenants. Property owners must hold their own account and account deposits on rented/leased properties in addition to any deposit paid by the tenant. By signing up for an account, Tenants authorize releasing account information to the Property Owner or authorized agent thereof. Failure to sign the authorization will result in inability to open a Tenant account and billings will remain in the Property Owner’s name. A Property Owner’s Deposit may not be refunded unless all related Tenant accounts have been paid in full. The Property Owner’s Deposit will not be applied to a Tenant’s final bill during the initial final billing process for a Tenant’s account.
10. **INTEREST**
10.1 The bills clearly state a due date. Monthly interest is to be charged on overdue accounts not paid by the due date as per Schedule F. Statements will be sent monthly to past due accounts where interest has been applied.
11. **FINAL NOTICE PROCEDURE:**
11.1 FINAL NOTICE: A final notice will be sent to overdue accounts that are 60 days or more past due. After 60 days, the final notice should detail that the water will be disconnected if the balance of the account is not paid within 10 days of the date of the letter.
11.2 SHUTOFF DAYS NOTE: When scheduling the shutoff date, it is not to be scheduled on a Friday, on a statutory holiday or day in lieu, or any day where the office is not open to accept payment on accounts.
11.3 NOVEMBER NOTICES: When preparing final notices in November, they need to be sent by registered mail with a forewarning that any unpaid amounts as of December 31st of that year may be transferred to the tax roll for the property. Final notices at other times of the year shall be sent by regular mail and are not required to contain the warning.
11.4 24 HOUR SHUTOFF NOTICE: Once the time period references in the final notices has expired, the public works employee is to leave a 24 hour disconnection notice on the door of the residential property stating that the service will be discontinued within 24 hours if payment is not made in full or acceptable arrangements for payment have not been made. Once posted, a notice is considered to have been delivered.
11.5 For commercial properties/businesses, the 24 hour notice is to be delivered during business hours to the owner or manager or other employee if the owner or manager is not present or unavailable at the time the notice is being delivered.
11.6 SHUTOFF and FINAL BILLING: If payment (or suitable arrangements to pay) are not made after 24 hours of posting or delivering the notice, water service will be disconnected without further notice until bill is paid in full or suitable arrangements are made.
11.7 A final meter read, the disconnect fee will be applied to the account, and a final billing will be issued. The account deposit will be applied against the arrears in the Final Billing.
11.8 At a minimum, regardless of arrangements to pay the amount in arrears after disconnection, the disconnecting and reconnecting fees must be paid in full in order to resume service once service has been turned off.
11.9 Once a final billing has been completed, the account holder must open a new account including new completed and signed forms and a deposit if theirs was refunded during the final billing process.
12. PAYMENT ARRANGEMENTS:
12.1 During the period between the due date and disconnection date, a payment plan may be established. The goal of the payment plan is to ensure the client will be current by the end of the next billing period at the latest. To determine the payment plan amount, take the arrears balance and add to it an estimate for the next bill. The Town will accept weekly, bi-weekly or lump sum payment plans that ensure that the customer is current by the next billing cycle’s due date. If the agreed payment plan is not adhered to, water service will be discontinued following procedures in Section 9.3. It is recommended that payment arrangements are made such that adequate time is allowed for processing of online payments, etc.
12.2 If service has been disconnected before arrangements were made, the disconnecting and reconnecting fees must be paid in full in order to resume service regardless of any other arrangement to pay the arrears.
12.3 If payment plan is not adhered to, water service will be immediately disconnected without further notice. When shut off due to failure to adhere to a payment plan, the SHUTOFF DAYS NOTE under section 9.1 still applies.
12.4 Payments are registered to the account when the Town receives the payment in hand. Customers are to be advised to allow sufficient time for mailing as the Town does not process payments as of the date of posting, but rather the date received. Customers are also to be advised to allow sufficient time for online
payment processing of at least 5-7 business days from the time payment is made through their banking institution, as the Town processes payments as of the date made by the consumer, and in the case of no date indicated on the transaction, then it will be processed on the date the payment is received in our account.
12.5 At any time during the collection process the Town reserves the right to use the services of a collection agency or bailiff, pursuant to the powers outlined in The Distress Act.
12.6 After an account is 120 days past due and once all reasonable efforts to obtain payment have been made under this policy, and the account has been deemed uncollectable, the property owner will be contacted by registered mail to inform them that the overdue amount will be applied to the property tax for the overdue amount as per The Municipalities Act, 2005, Section 29.
13. WATER RESTRICTIONS:
13.1 This Bylaw restricts the use of water for outdoor watering to the time period of 6 am to 9am and 6 pm to 9pm.
13.2 Residents with address/house numbers ending in an even number will be permitted to water outdoor areas on calendar days that are even. Residents with address/house numbers ending in odd numbers will be permitted to water outdoor areas on calendar days that are odd.
13.3 Special permission can be requested from Town Administrator for new sod or seeded areas by writing to the Administrator in advance of the next scheduled Town Council meeting on the second Tuesday of each month.
14. REPEAL OF BYLAWS:
14.1 This Bylaw hereby repeals Bylaw No. 1.2021 and all previous versions of the Utility Management Bylaw, Utility Rates Bylaws, and Utility Interest Bylaws.
15. COMING INTO FORCE:
15.1 This Bylaw shall come into force and take effect on the date of November 10th, 2021
READ A FIRST TIME this October 13th, 2021
READ A SECOND TIME this October 13th, 2021
READ A THIRD TIME and adopted this November 9th, 2021
[Signature]
Mayor
[Signature]
Administrator
TOWN OF CORONACH
Bylaw No. 10.2021 - A Bylaw for Utility Management, Rates and Regulation in the Town of Coronach
Town of Coronach's Utility Billing System and meters measure in Cubic Meters
1 Cubic Meter = 219.969 Imperial gallons and is billed Quarterly as per Billing cycles of:
"Billing #1" means the period of January 1 to March 31.
"Billing #2" means the period of April 1 to June 30.
"Billing #3" means the period of July 1 to September 30.
"Billing #4" means the period October 1 to December 31.
Schedule "A" – Water Service Charges per Billing cycle:
Charges for Minimum: $115.50/ quarter/ 40 Cubic meters
Overage charges: Over 40 cubic meters to be billed at $2.20/ Cubic meter
Exceptions to Metered Billing:
1. Pretty Valley Lodge Flat Rate is set to $100.00/ quarter
2. Heritage Square Flat Rate is set to $300.00/ quarter
Bulk water for storage tanks
$5.49/ cubic meter
Schedule "B" – Sewer Service Charges per billing Cycle:
Charges for Minimum: $55.50/ quarter / 40 Cubic meters
Overage Charges: Over 40 cubic meters per quarter to be billed at $0.75/ Cubic meter
* All Overages for Sewer charges are based on Water Meter Readings.
Exceptions to Metered Billing:
1. Pretty Valley Lodge Flat Rate is set to $136.40/ quarter
2. Heritage Square Flat Rate is set to $136.40/ quarter
Schedule "C" - Flat Rate Commercial Recycling Service charges per Billing cycle:
Coronach Hotel $225.00
Coronach Rec Board $300.00
Debs Kitchen $270.00
Health Centre $540.00
Pharmacy $300.00
Post office $450.00
CR Plumbing $112.50
Rustic Tavern $112.50
Sarcan $540.00
School $540.00
Spring Flower Inn/ Country Boy Motel $270.00
Residential Roll out bin $30.00/bin
Schedule "D" – Garbage Bin Rental Charges
(For temporary use of garbage bin rentals or seasonal services)
a) A $50 to delivery charge
b) Rental Rates will be $10/ day, $50/ week, or $200/ month
c) Dumping fees will be determined by the Loraa pick up weight cost as billed by Loraa and will include the fuel surcharge but not the GST or PST.
d) We will require a $100 deposit and that is applied to the final bill.
e) We will require a signed acknowledgment of the prices and deposit and conditions of the rental.
Schedule "E" - Infrastructure Fee
Infrastructure fee of $20.00 on June 30th, 2022 and annually each year on June 30th on all active accounts, commercial and residential to be placed in reserve for Water and Sewer Infrastructure future projects.
Schedule "F" - Interest Rate
Interest Rate is applied on overdue accounts on the 1st of the month at a rate of 5%. |
Important principles for storage and Destruction of business documents
Especially around the turn of the year, the question regularly arises as to which business documents can be destroyed and which should continue to be retained. Reason enough to take a closer look at the topic of archiving.
Legal basis and general retention periods
The retention obligations are part of the commercial and tax recording and accounting obligations. Consequently, anyone who is obliged to keep books under tax or commercial law is also obliged to keep them.
Note | The commercial law basis is Section 257 of the Commercial Code (HGB) in conjunction with Section 238 of the HGB. The corresponding tax basis represents in particular Section 147 of the Tax Code (AO).
There is generally no obligation to retain private receipts. However, they are required for income tax assessment as part of the obligation to cooperate.
In addition, two special features must be taken into account in the private sector:
- Two-year retention period for invoices in connection with a property (Section 14b Paragraph 1 Sentence 5 of the Sales Tax Act (UStG)) as well as
- special retention obligations for taxpayers for whom the total of positive income according to Section 2 Paragraph 1 Nos. 4 to 7 of the Act (Excess Income Tax Income Tax Act) amounts to more than EUR 500,000 in the calendar year (Section 147a AO).
It is pleasing that the commercial and tax retention obligations largely correspond. The following list shows the retention periods for important business documents:
Companies must, for example, store inventories, annual financial statements, management reports, opening balance sheets and accounting documents for ten years. The same applies to all work instructions and organizational documents that make these documents understandable and explain them.
For six years, e.g. b. Commercial and business letters as well as how documents that are important for taxation (e.g. import and export delivery documents, hourly wage slips) are kept.
**NOTE** | According to the federal government's plans, the commercial and tax law retention periods for accounting documents are to be shortened from ten to eight years.
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**Deadline start and possible Extensions of deadlines**
The retention period for a financial year only begins at the end of the calendar year in which the last documents were created or the last records (especially bookings) were made (Section 257 Paragraph 5 HGB or Section 147 Paragraph 4 AO).
**Example**
A GmbH has annual financial statements for 2012 prepared in May 2013 and sent to the tax office.
The retention period runs from December 31, 2013. If the retention period is ten years, the retention period ends on December 31, 2023. From January 2024, the relevant documents can in principle be destroyed.
But care is not only required when determining the start of the deadline, but possible extensions must also be kept in mind at the end of the deadline. The following circumstances in particular can lead to an extension of the retention period or a postponement of the destruction of documents:
- external audits that have not yet been completed,
- fixed deadlines that have not yet expired,
- pending criminal tax or fine proceedings,
- Provisional tax assessments in accordance with Section 165 AO or ongoing applications to the tax office.
**Note** | For those expected Expenses for storing business documents are one under both commercial and tax law Provision for uncertain connections as there is a public law retention obligation for this. The Lower Saxony Regional Finance Directorate comprehensively explained the principles for determining the provision in 2015.
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**violation of the Retention obligations**
As with the violation of recording obligations, the tax office is generally entitled to make an estimate in accordance with Section 162 AO if the retention periods are violated. Exceptions only apply to force majeure such as fire, flood, etc.
Commercial law does not prescribe a specific location for storing business documents. When keeping the trading books and the other required records on data storage media, it must be ensured in particular that the data is available for the duration of the retention period and can be made readable at any time within a reasonable period of time (Section 239 Para. 4 HGB).
Tax law generally requires the documents to be stored in Germany (Section 146 Para. 2 AO). The possible exceptions for storage abroad are regulated in Section 146 Paragraph 2a and Paragraph 2b AO.
**NOTE** | If documents are to be stored electronically, the principles for the proper management and storage of books, records and documents in electronic form and for data access (GoBD) must be observed. The GoBD are in a letter from Federal Ministry of Finance from 2019 listed.
**Note** | Invoices and receipts on thermal paper have the disadvantage that the writing quickly fades and is often no longer readable. Thermal receipts should therefore be copied promptly and filed systematically.
Source | Key points of the federal government for a further bureaucracy relief law. PM of the BMJ from August 30, 2023; OFD Lower Saxony October 5, 2015, Ref. S 2137 - 106 - St 221/St 222; GoBD: BMF letter dated November 28, 2019, Ref. IV A 4 - S 0316/19/10003:001
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**Free accommodation and Food: Expected non-cash reference values for 2024**
The benefits in kind for free or reduced-price meals and accommodation are adjusted annually to the development of consumer prices. According to the present draft - as in previous years, approval by the Federal Council is expected - the benefit in kind for free accommodation should be EUR 278 per month (in 2023 = EUR 265).
The monthly benefit in kind for meals is expected to increase by EUR 25 to EUR 313 in 2024.
**Note** | From the monthly Based on the non-cash benefit value for meals, the following non-cash benefit values for the respective meals result for 2024 (values for 2023 in brackets):
**Breakfast:**
- monthly: 65 EUR (60 EUR)
- calendar daily: EUR 2.17 (EUR 2.00)
**Lunch or dinner:**
- monthly: 124 EUR (114 EUR)
- calendar daily: EUR 4.13 (EUR 3.80)
Source | Fourteenth Ordinance amending the Social Security Remuneration Ordinance, BR-Drs. 512/23
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**For employees**
**How do employees have to tax profit shares from typical silent partnerships?**
In two appeal proceedings (references VIII R 11/23 and VIII R 12/23), the Federal Finance Court must clarify an important question about silent participations: under what conditions and to what extent are profit shares from employee participations in the form of typically silent ones Participations as income from capital assets and not as income from employment to qualify? Until a decision is made, suitable cases can be kept open with an objection.
Losses in the start-up phase: In these cases they must be recognized
A self-employed management consultant earns income from self-employment. According to the Münster Finance Court, the declared losses within the start-up phase of five years were to be recognized in the event of a dispute because the consultant presented a reliable and fundamentally suitable operating concept in order to generate profits in the future. He was also able to demonstrate that he had taken measures to generate profits.
Relevance for practice
It is not always clear whether taxpayers are acting with the intention of making a profit, especially when starting an activity. The existence of personal motives for continuing the loss-making activity (saving taxes) or if taxpayers carry out a loss-making activity due to personal inclinations in the area of their lifestyle speak against the assumption of an intention to make a profit.
If there are no typically personal motives, then prima facie evidence supports the assumption of an intention to make a profit if the business management is set up in such a way that the business is suitable and intended to do so in the long term due to its nature and the way it is managed. to work with profit.
In the case of constant losses, one cannot assume that it is a hobby per se. It must be checked whether taxpayers have taken measures to increase the profitability of the business.
NOTE | In principle, losses are recognized during a start-up phase unless it is clear from the outset that no sustainable profits can be achieved. The duration of one Such a start-up phase must be determined depending on the nature of the newly established business, with a period of less than five years only being considered in exceptional cases.
For all taxpayers
Extraordinary stress: Accommodation in a nursing home community
Expenses for accommodation due to illness, care and disability in a nursing home community subject to the respective state law can be taken into account as an extraordinary burden to reduce taxes. This was decided by the Federal Finance Court.
Facts
The taxpayer, who is severely disabled (degree of disability 100) and in need of care (care level 4), lived together with other people in need of care in a nursing home community, the construction and maintenance of which was subject to the Housing and Participation Act of the state of North Rhine-Westphalia. There he was around The clock is looked after, cared for and cared for by an outpatient care service and additional staff.
The taxpayer claimed the expenses for accommodation (board and lodging) in the nursing home community as extraordinary expenses in his income tax return. However, the tax office rejected this because these expenses were only deductible in the case of full-time residential care.
The Cologne Finance Court and the Federal Finance Court assessed the expert opinion but different.
The Federal Finance Court clarified that expenses for illness or care-related accommodation in a facility intended for this purpose are generally deductible as an extraordinary burden.
This does not only apply to the costs of accommodation in a home i. S. of § 1 HeimG, but also for the costs of accommodation in a nursing home community, which is the responsibility of the respective state.
NOTE | However, there are also illness or care-related costs Costs are only deductible to the extent that they are in addition to the costs of normal paint lifestyle. Therefore, in the event of a dispute, the actual accommodation costs incurred had to be reduced by so-called household savings.
Source | BFH ruling of August 10, 2023, Ref. VI R 40/20, at www.iww.de, access no. 237867, BFH, 05.09.2023, resp. October 19, 2023
For all taxpayers
Brochure: Parental leave and leave/part-time employment for family reasons
The tax administration of North Rhine-Westphalia has published a brochure in which numerous questions about parental allowance, parental leave, leave for family reasons, etc. are answered. The brochure contains 24 pages and can be downloaded at www.iww.de/s6252.
For all taxpayers
Consideration of previous acquisitions for gift tax: The determined property value is binding
The Federal Finance Court has decided that a property value determined separately for gift tax purposes is binding for all gift tax assessments in which it is included in the tax assessment basis. This also applies to the consideration of previous acquisitions in accordance with Section 14 Paragraph 1 of the Inheritance Tax and Gift Tax Act (ErbStG), i.e. for a gift that occurs within ten years of the first gift.
Facts
Father (V) gave his son (S) a co-ownership share in a property in 2012. The tax office had determined the property value and used it as a basis for taxation.
However, gift tax was not due because the property value (EUR 87,392) was below the tax allowance for children (EUR 400,000).
In 2017, S received another gift from V kung i. H. of 400,000 EUR. Since several of the same within ten years
The financial benefits accruing to the person are to be added together (Section 14 Para. 1 ErbStG), the tax office determined a total amount for both gifts and set the gift tax at around EUR 10,000. Included
The tax office took the previous purchase into account at EUR 87,392.
S, on the other hand, said that the value determined at the time was too high and should therefore now be corrected downwards. When making the donation in 2012, he only did not object to the incorrect property value because the gift tax was set at EUR 0 anyway. He was successful with this perspective or But no justification.
In contrast to the values of other donated items (e.g. money), property values must be determined separately for gift tax purposes in a separate procedure.
Note | The determined value has a binding effect for all gift tax assessments in which it is included in the assessment basis. This also applies to the consideration of a previous acquisition in accordance with Section 14 Paragraph 1 ErbStG.
NOTE | If the taxpayer considers the determined property value to be too high, he or she must immediately object to this determination. If he doesn’t do this, the notice will be issued of the determined value, then the taxpayer can no longer successfully claim the inaccuracy in the subsequent gift tax assessments.
Source | BFH judgment of July 26, 2023, Ref. II R 35/21, at www.iww.de, access no. 237663; BFH, PM No. 39/23 from October 12, 2023
For entrepreneurs
EU taximeter and Odometer: A certified technical system will be available by the end of 2025 Safety device not mandatory
Actually, EU taximeters and odometers must have a certified technical safety device (TSE) from 2024. But now there is a non-complaint regulation that should please affected entrepreneurs.
Background: Article 2 of the regulation amending the Cash Register Security Ordinance of July 30, 2021 expanded the scope of application of Section 1 of the Cash Register Security Ordinance to include EU taximeters and odometers. This means that these electronic recording systems and the digital records that are kept with them must be protected by a TSE from 2024.
According to the letter from the Federal Ministry of Finance, the technically necessary adjustments and upgrades must be carried out immediately and the legal requirements must be met immediately. However, there will be no objection if these recording systems do not have a TSE by December 31, 2025 at the latest.
Note | The administration has already created a simplification in a letter dated August 30, 2023: According to this, the costs for the subsequent initial equipping of existing EU taximeters or odometers with a TSE and the costs for the initial implementation of the uniform digital interface of an existing The full amount of the electronic recording systems can be deducted immediately as business expenses.
Source | BMF letter dated October 13, 2023, Ref. IV D 2 - S 0319/20/10002:010, at www.iww.de, access no. 237966; BMF letter dated August 30, 2023, Ref. IV D 2 - S 0316-a/19/10006:037
DISCLAIMER
The content of the circular is according to best knowledge and level of knowledge been created. The complexity and constant change in legal matters make it necessary to exclude liability and guarantees. The circular does not replace individual personal advice. |
Greetings Fellow Amateur Astronomers!
I hope each of you had a very merry Christmas and a wonderful new year. December’s meeting ended 2013 as a very interesting year.
Due to weather issues that did not afford us many nights of good viewing in 2013, we will look forward to 2014 as a better viewing year.
December’s meeting had a little different plan as our keynote speaker got the flu bug and was not able to be with us. Terry Alford presented a completed project he had written about in one of his articles several years ago about a home-made red LED self standing field light. Following his presentation, we saw the planetarium show “A Part of the Sky Called Orion” which was produced here at Bays Mountain and co-written by Heather Fries, a past intern. It was a very interesting show.
The December constellation quest featured Aries, the Ram, presented by Nate Wentzel. We were able to use the dome which allowed Nate to show the constellation at different night magnitudes. I knew that they could do that in the theater, but have never seen it done. It makes a very big difference. If you want to learn more about Aries, here are some addition references that you may find useful: "Illustrated Guide to Astronomical Wonders," Robert Bruce Thompson & Barbara Fritchman Thompson, pg 90; "An Observer’s Guide to the Universe Beyond the Solar System," Robert Burnham,Jr, Volume One page 245; and software programs such as Sky Safari Pro, or Stellarium. Since Brad Dunn, our very own NASA Solar System Ambassador, was not able to present in December, will be presenting the topic "Shift of the Sun's Magnetic Field" in an upcoming month.
The December meeting focused on the location of the annual dinner. The date of the dinner will be January 11, 2014 with a snow date of January 18, 2014. Thanks to everyone who offered locations for consideration.
The 2014 Annual Dinner will be at Jack’s City Grill in Johnson City, TN, at 1805 N Roan St. The room will be open to us at 6 p.m. and we will start ordering dinner at 6:30 p.m. with a goal to start the presentation and meeting at 7:30 p.m. Be sure to tell the host/hostess you are with the Bays Mountain Astronomy Club.
I want to thank all those members who came out this year in support of the StarWatches at the Park. Saturday night, November 30, ended the 2013 season for StarWatches. It was a great night in that it was clear and we were able to have a good viewing. I hope to see all of you in the spring of 2014 as we start new StarWatches.
Be sure to keep looking at the Park’s web site for upcoming events in 2014. We did not have any new visitors at the December meeting.
Early last summer, I acquired an 80mm f/6 ED refractor. A nice little scope with a retracting dew shield. With a 2-inch diagonal and eyepiece it weighs in at 6 lb. A little too heavy (IMHO) for my Leitz TiltAll tripod. The Leitz tripod works great with my Lunt 35mm Ha scope that weighs about half of the new ED 80. So I used the scope for several months with my Celestron SLT mount. It was tedious to carry the mount and tripod outside, get the 80mm scope and mount it, then go back inside again and get a couple of eyepieces and the battery to power the mount. Then turn the mount on and do the appropriate alignment. This was no problem if I wanted tracking and goto. But with colder weather arriving I really wanted something simpler and lighter for quick looks of the Sun with a white light filter or maybe the planets or even a comet (bye-bye ISON).
Of course, I could have purchased a new or used alt-az mount and lightweight tripod. But I already had a nice lightweight surveyor’s tripod from a trade a few years ago. As for the mount I usually do not purchase anything if I can make it, especially if I can make it out of wood. I have done things like this before so no real challenge. This time though I really wanted to cut down the mass and weight to make the system a one trip deal. Mission: a lightweight and compact pipe mount.
Looking around in my shop bins I found a 3/4-in pipe floor flange that had the threads drilled out. Well, this was not good for a turnable bearing surface. But then I found another short piece of 3/4-in pipe that had been cut off leaving a stubby and almost worthless piece of pipe. Immediately I thought that some sanding work and a hammer would allow a force fit to the flange. The other end of the flange had threads that would fit into a new floor flange from a big box hardware store. This would be my altitude movement.
Now for the azimuth situation. Surveyor’s tripods have a head on them to fit surveyor’s instruments. Duhh. It wasn’t too tough to adapt a wooden plate to the head. Then another plate with three pieces of Teflon and two counter sunk 1/4x20 bolts to use for attaching the mount.
I didn’t bother with Formica as a bearing surface on this mount as it is so small it doesn’t need it. A re-used piece of 3/4-in oak was used for the vertical part of the mount. The base, also of wood, was glued and screwed to the vertical part. I used a couple of long 1/4-in lag bolts (recessed) and an additional glued piece to add extra strength to the mount.
The end result is an inexpensive, lightweight mount that works very well. It is easy to carry it outside in one trip with an extra eyepiece in my pocket. A sharp tap on the diagonal results in vibrations dying out in a little over a second. I like G’nG, especially in the winter time.
This mount begs for a 1/4 or 2-in hole for the extra eyepiece. This will come soon.
This month we celebrate the “life” of a rover who had a lot of spirit. Launched on June 10, 2003, the Mars Exploration Rover Spirit successfully landed in Gusev Crater on Mars January 3, 2004. Its twin, Opportunity, landed three weeks later on the other side of the red planet.
Both rovers are almost 5 feet tall, 7.5 feet wide, and 5 feet long and weigh almost 400 lb. Running on a six-wheeled rocker-bogie system allowed them to easily traverse rough terrain. The rover was equipped with a logic system, allowing it to choose its own route when traveling. Although the top speed was 2 inches per second, they more typically moved slower – less than half an inch per second. A camera mounted at a height of 5 feet provided views similar to what a person standing on Mars would see, and provided the information needed to plan the rover’s route. A robotic arm placed the various instruments up to the samples being studied. Being solar powered, the rovers were designed to operate during the day and rest at night.
With a primary goal of finding evidence for water in the Martian past, the instruments on board helped with that search. The Pancam (Panoramic Camera) takes images of the local terrain to help determine what area to explore in more detail. Mini-TES (Miniature Thermal Emission Spectrometer) would provide initial information about composition to help narrow down which rocks to study in more detail. It was also designed to study the temperatures in the atmosphere layers of Mars. If a rock or soil sample was of interest and contained iron, then they would study it in more detail with the MB (Mössbauer Spectrometer). For determining other elemental compositions, the APXS (Alpha Particle X-Ray Spectrometer) would take care of the rest. Magnets were used to gather magnetic dust samples. The RAT (Rock Abrasion Tool) could eat away at the surface of a rock to expose the unweathered interior for further analysis. And, finally, the MI (Microscopic Imager) provided high-resolution up-close images of rock and soil samples.
The evidence for water was the primary objective, so the landing site was chosen because it was expected to have been watery in the past. Gusev Crater was thought to have been a lake at one time. There are features that look like waterways leading into the crater, which adds to the credibility of that hypothesis. After the landing, the site was renamed Columbia Memorial Station in honor of the seven astronauts killed in the Space Shuttle Columbia disaster.
The mission was designed to last 90 days. Spirit went well beyond that goal, and that extra time was well spent, despite some glitches along the way. Just a little over 2 weeks after landing, the first problem arose. The computer system became stuck in a “reboot loop” that kept encountering an error. It wouldn’t shut down and it wouldn’t boot up, and the batteries were quickly being drained. The error was found to be in the flash memory. The NASA engineers had found a way to bypass the flash memory, get the system booted up, and send the necessary commands to fix the problem. That’s one potential disaster avoided. The first hints at water were found in March, 2004. A rock, nicknamed “Humphrey,” was formed from magma, which in and of itself wasn’t that interesting. But what was inside that magma was a different story. Crystallized minerals, most likely deposited by water flowing through the rock, were found throughout the interior. This was the first evidence for water depositing materials on the surface of Mars. At its next stop, a rock called “Pot of Gold” was found to contain hematite. This mineral typically forms in the presence of water. Near the start of its second year, Spirit found soil that contained salt – another sign that water had been present. Near the end of 2005, a rock formation dubbed “Comanche” revealed the presence of magnesium iron carbonate. Carbonates not only form in water, but in FRESH water. All other previous water finds had indicated acidic water, which would not have been conducive to life. This was the first evidence of life-friendly conditions.
(Continued on page 5)
The Big Picture: GOES-R and the Advanced Baseline Imager
By Kieran Mulvaney
The ability to watch the development of storm systems – ideally in real time, or as close as possible – has been an invaluable benefit of the Geostationary Operational Environmental Satellites (GOES) system, now entering its fortieth year in service. But it has sometimes come with a trade-off: when the equipment on the satellite is focused on such storms, it isn’t always able to monitor weather elsewhere.
“Right now, we have this kind of conflict,” explains Tim Schmit of NOAA’s National Environmental Satellite, Data, and Information Service (NESDIS). “Should we look at the broad scale, or look at the storm scale?” That should change with the upcoming launch of the first of the latest generation of GOES satellites, dubbed the GOES-R series, which will carry aloft a piece of equipment called the Advanced Baseline Imager (ABI).
According to Schmit, who has been working on its development since 1999, the ABI will provide images more frequently, at greater resolution and across more spectral bands (16, compared to five on existing GOES satellites). Perhaps most excitingly, it will also allow simultaneous scanning of both the broader view and not one but two concurrent storm systems or other small-scale patterns, such as wildfires, over areas of 1000km x 1000km.
Although the spatial resolution will not be any greater in the smaller areas than in the wider field of view, the significantly greater temporal resolution on the smaller scale (providing one image a minute) will allow meteorologists to see weather events unfold almost as if they were watching a movie.
So, for example, the ABI could be pointed at an area of Oklahoma where conditions seem primed for the formation of tornadoes. “And now you start getting one-minute data, so you can see small-scale clouds form, the convergence and growth,” says Schmit.
In August, Schmit and colleagues enjoyed a brief taste of how that might look when they turned on the GOES-14 satellite, which serves as an orbiting backup for the existing generation of satellites.
“We were allowed to do some experimental imaging with this one-minute imagery,” Schmit explains. “So we were able to simulate the temporal component of what we will get with ABI when it’s launched.”
The result was some imagery of cloud formation that, while not of the same resolution as the upcoming ABI images, unfolded on the same time scale. You can compare the difference between it and the existing GOES-13 imagery here: http://cimss.ssec.wisc.edu/goes/blog/wp-content/uploads/2013/08/GOESr13_4_VIS_21AUG2013loop.gif
Learn more about the GOES-R series of satellites here: http://www.goes-r.gov
Kids should be sure to check out a new online game that’s all about ABI! It’s as exciting as it is educational. Check it out at http://sciinks.gov/abi
This article was provided by the Jet Propulsion Laboratory, California Institute of Technology, under a contract with the National Aeronautics and Space Administration.
Spirit’s mission is often looked upon as being plagued with bad luck, but there was some good luck, as well. Near the beginning of 2005, Spirit’s power levels were dropping. The most likely culprit was dust obscuring the solar panels. However, sometime on March 9, 2005, the power suddenly shut up. The best explanation for what happened is that a dust devil passed over the rover, and acting like a vacuum cleaner, cleared the dust off of the solar panels. Spirit was back to its energetic self. Then in 2006, its next problem arose. One of the front wheels stopped working. The NASA team’s solution? Drive backwards, dragging the wheel. Much of the next year was spent not moving around much, because of the faulty wheel. But about a year later, in March 2007, the dragging wheel led to an exciting discovery. As it was being dragged, the wheel uncovered ground that was similar to places on Earth where water from a hot spring meets up with volcanic rocks. These places on Earth are perfect havens for microbial life and this location on Mars may have been equally hospitable. Between global dust storms and Martian winter, most of 2008 was a loss due to low power levels. There was concern that the power would not return to useable levels. But again, Spirit got lucky when a series of wind events blew off enough dust to boost the power levels once more.
It seemed inevitable, though, that Spirit’s luck would eventually run out. May 1, 2009 saw the beginning of the end. While en route to its next destination, Spirit suddenly found itself trapped in soft soil with not enough traction to break free. NASA engineers tried a variety of tests with mockups of the rover and similar soil conditions. Meanwhile, a second wheel, now in the rear, stopped working. When 2010 arrived, and Spirit was still stuck, the decision was made to use it in place, rather than continuing to try to move. However, the orientation to the Sun was not allowing the rover to power up fully. When Spirit missed a scheduled communication session, the best guess was that it had lost enough power to go into a preset hibernation mode until the power levels were back up. The last time we heard from Spirit was eight days prior, on March 22, 2010. NASA continued to hold out hope for another cleaning event, and sent signals to Spirit for over a year. On May 24, 2011, it was officially announced that the Spirit mission has ended.
Originally designed to last 90 Martian days (sols), where one sol is roughly equivalent to 24 hours 39 minutes, Spirit kept going for 2208 sols, instead. Expected to drive, at most, 0.4 miles, Spirit, instead, covered .48 miles. Not too shabby for a mission with so many problems. Meanwhile, Spirit’s twin rover, Opportunity, is still going strong, coming up on its 10th anniversary. And Opportunity is not alone on the planet. Mars Science Laboratory Curiosity has been there for over a year and shows no signs of stopping anytime soon.
Despite all the obstacles it faced, Spirit showed a lot of spirit and determination in its exploration of Mars. It’s a story that should inspire us all.
References:
Mars Exploration Rover Mission: Overview
http://marsrovers.jpl.nasa.gov/overview/
Spirit (rover) - Wikipedia
http://en.wikipedia.org/wiki/Spirit_(rover)
Missions - Mars Exploration Rover -
Spirit - NASA Science
http://science.nasa.gov/missions/mars-exploration-rover-spirit/
William is the current chair of the club. He serves as activities coordinator for a local retirement living community.
Terry is also a founding member since 1980 and has been chair many times, as well. He has worked as an astronomy lab instructor at ETSU since 2001.
Robin has been writing the science history column since 1992 and was chair in 1997. She is an Associate Professor of Astronomy & Physics at Northeast State Community College (NSCC).
Adam has been the Editor for almost all of the years since 1992. He is the Planetarium Director at Bays Mountain Park as well as an astronomy adjunct for NSCC.
The Bays Mountain Astronomy Club
Dues:
The Bays Mountain Astronomy Club requires annual dues for membership. It covers 12 months and is renewable at any time.
Rates:
$16 /person/year
$6 additional family member
If you are a Park Association member, a 50% reduction in fees is applied.
Find out more at our website: http://www.baysmountain.com/astronomy/astronomy-club/
Edited by Adam Thanz: email@example.com
Calendar
Special Events
Jan. 11 (snow date 18) 6 p.m. Annual Dinner at Jack’s City Grille in JC. ETSU professor Dr. Richard Ignace will speak. His title is: “Discerning the Hidden Things In and Around Space Nebulae.”
BMAC Meetings
7 p.m., Discovery Theater
Feb. 7 Topic and speaker TBA |
1. **Integrated photometry.** Two stars in a close binary system have $m_B = 18.2$ and $m_B = 19.6$, respectively. The first star has a colour $B - V = -0.2$ and the second $B - V = 0.5$. If this system is observed in a telescope which cannot resolve the two components, what would the integrated $m_B$ and $(B - V)$ of this object be?
2. **SFR and IMF.** The star formation rate (SFR) describes the rate per unit volume at which gas mass is converted into stars. The present value for the SFR within the Galactic disk is believed to be $5.0 \pm 0.5 \ M_\odot \ pc^{-2} \ Gyr^{-1}$. Estimate the number of stars currently being formed each year in the Milky Way under the assumption of a Salpeter initial mass function (IMF) in the interval $0.1 - 120 \ M_\odot$.
3. **Population synthesis.** Create a simple population synthesis model using the table of stellar parameters below. Assume that the stellar population of your synthetic galaxy only consists of three types of stars (O5, A0 and M0) and that the relative number of stars of each type is given by the Salpeter IMF.
a) Assuming that all stars are still on the main sequence, what is the (B-V) colour of this population? What is the $M/L_V$ ratio?
b) Assuming that the population has aged sufficiently for all the O stars to die (and no longer contribute to the light emitted), what is the (B-V) colour and the $M/L_V$ ratio (where M is defined as $M = M_{\text{stars}} + M_{\text{gas}} + M_{\text{remnants}}$)?
| Stellar type | Mass ($M_\odot$) | Luminosity in V ($L_{\odot,V}$) | (B-V) | Main sequence lifetime (yr) |
|--------------|------------------|-------------------------------|-------|-----------------------------|
| O5 | 40 | $2.5 \cdot 10^3$ | -0.35 | $1.6 \cdot 10^6$ |
| A0 | 4 | 80 | 0.00 | $5.0 \cdot 10^8$ |
| M0 | 0.5 | 0.06 | 1.45 | $7.9 \cdot 10^{10}$ |
4. **Surface brightness I.** A flat, two-dimensional disk galaxy has an exponentially declining surface brightness distribution given by $I(r) = I_0 e^{-\frac{r}{a}}$, where $a$ represents the scale length. Derive an approximate expression for the total luminosity of the disk.
5. **Surface brightness II.** A galaxy with the same surface brightness distribution as in exercise 4 has a scale length of 5 kpc and a rest-frame B-band luminosity of $L_B = 10^{10} L_{\odot,B}$.
a) Derive an expression for $r$ as a function of $a$, $I(r)$ (in units of $L_\odot/pc^2$) and $L$.
b) Derive an expression which converts surface brightness in units of (mag/arcsec$^2$) to ($L_\odot/pc^2$) and show that surface brightness is independent of distance (as long as redshift dimming is neglected).
c) Calculate the Holmberg radius (in kpc) of this galaxy.
6. **Rotation curves.** The spiral galaxy NGC 157 has a radial velocity of 1759 km/s. Use the rotation curve in Figure 1 to estimate a lower limit to the mass of this system.
7. **Dark matter halos I.** Dark matter halos are often assumed to be cored isothermal spheres, with density profiles given by:
\[
\rho(R) = \frac{\rho_{\text{core}}}{1 + (R/R_{\text{core}})^2},
\]
where \( \rho_{\text{core}} \) is the core density and \( R_{\text{core}} \) the core radius. Derive an expression for the rotation curve of a disk (of negligible mass) situated in this dark halo. What velocity does the relation approach at large radii?
8. **Dark matter halos II.** The density profile of the dark halo of the Milky Way is sometimes described by:
\[
\rho(R) = \rho_0 \frac{R_c^2 + R_0^2}{R_c^2 + r^2}.
\]
Here \( \rho_0 = 0.0079 \ M_\odot \text{pc}^{-3} \) is the local dark matter density, \( R_c \approx 5 \ \text{kpc} \) and \( R_0 \approx 8.5 \ \text{kpc} \). Assuming the mass of the dark halo to be \( 2 \times 10^{12} \ M_\odot \), how large is the radius of the dark halo compared to that of the stellar disk of the Milky Way?
9. **The Tully-Fisher relation.** An edge-on disk galaxy with an HI profile given by Figure 2 is observed to have an H-band flux of \( m_H = 15.1 \). Use the Tully-Fisher relation (5.5) in Sparke & Gallagher to calculate the distance to this object, under the assumption of negligible \( k \)-correction and interstellar extinction. What is the corresponding distance derived from Hubble’s law? You may find it useful to know that \( M_{H\odot} = 3.48 \).
10. **Galaxy classification.** Fig. 3 displays the optical images of four galaxies with absolute magnitudes \( M_B = -20.8, -12.2, -20.1, -18.5 \) (from left to right). What Hubble types would you assign to these objects?
11. **Metallicities.** The galaxy ESO 114-G07 is a low surface brightness galaxy. Observations of one of its HII regions give the emission line fluxes listed in Table 2. Theory predicts a ratio \( F(\text{H}\alpha)/F(\text{H}\beta) \approx 2.85 \) at densities and temperatures typical of HII regions. The extinction due to dust at wavelength \( \lambda \) is given by \( I_\lambda = I_{\lambda 0} e^{-\tau_\lambda} \), where \( \tau_\lambda \) represents the optical depth and may
be approximated by $\tau_\lambda = C f(\lambda)$. Values of $f(\lambda)$ for a standard extinction curve can be found in Table 3.
a) Calculate the constant C using the data and the predicted $F(H\alpha)/F(H\beta)$ ratio.
b) Correct the observed emission line ratios for extinction.
c) Use the empirical log(R$_{23}$) versus (O/H) abundance relation (Figure 4) to get an estimate (with error bars) of the oxygen abundance in this HII region, assuming that the object is located on the so-called lower branch ($12 + \log(O/H) \leq 8.3$), as may be inferred from e.g. an analysis of the OII/NII line ratio.
Table 2: Observed emission line fluxes
| $\lambda$ (\AA) | element | Flux (F(H$_\beta$)=100) |
|-----------------|---------|------------------------|
| 3727 | [OII] | 127 |
| 4959 | [OIII] | 178 |
| 5007 | [OIII] | 531 |
| 4861 | H$\beta$| 100 |
| 6563 | H$\alpha$| 307 |
12. Supermassive black holes. A research group claims to have detected a star orbiting a Supermassive black hole (SMBH) at a distance of only 10 light minutes. Show that this is inconsistent with the previously estimated mass of this SMBH: $M_{\text{SMBH}} = 2 \pm 1 \times 10^8 \ M_\odot$.
Table 3: Standard interstellar extinction curve
| $\lambda$ (Å) | $f(\lambda)-f(H\beta)$ |
|---------------|------------------------|
| 20000 | -1.02 |
| 12500 | -0.86 |
| 10000 | -0.72 |
| 8333 | -0.56 |
| 7143 | -0.43 |
| 6563 | -0.35 |
| 6250 | -0.29 |
| 5556 | -0.16 |
| 5000 | -0.04 |
| 4861 | -0.00 |
| 4545 | 0.09 |
| 4167 | 0.20 |
| 4000 | 0.25 |
| 3846 | 0.29 |
| 3727 | 0.33 |
| 3571 | 0.39 |
13. The luminosity function of galaxies I. Estimate $\Omega_{\text{galaxies}}$, the contribution from galaxies to the cosmological matter density, assuming all galaxies to have a mass-to-luminosity ratio $M/L_R = 20$ and to follow the Schechter function with $L_{R*} = 8 \times 10^9 h^{-2} L_{R\odot}$, $n_* = 0.019 h^3 \text{ Mpc}^{-3}$ and $\alpha = -0.7$.
14. The luminosity function of galaxies II. You aim your telescope at a galaxy cluster at a luminosity distance of 350 Mpc and discover 328 galaxies brighter than an apparent R magnitude of $m_R = 20$ (the detection threshold). Assuming the luminosity function given in exercise 13 to be valid in the range 0.01–10 $L_{R*}$ for the cluster galaxies, how many do you expect to lie faintward of the detection threshold in this system? What fraction of the total mass of galaxies in this cluster do the undetected galaxies represent, assuming constant $M/L$ for all galaxies? You may neglect the effects of interstellar reddening and cosmological $k$-correction. Numerical integration (e.g. in Matlab) may be necessary.
15. Starbursts. A local irregular galaxy with a gas mass of $3.8 \times 10^9 M_\odot$ exhibits very strong H$\alpha$-emission, $L_{H\alpha} = 6.0 \times 10^{42} \text{ erg/s}$, indicating ferocious star formation. Assuming a standard Salpeter IMF, the current star formation rate may be derived using:
$$\text{SFR}(M_\odot \text{ yr}^{-1}) = 7.9 \times 10^{-42} L_{H\alpha} (\text{erg s}^{-1}). \quad (3)$$
For how long can this starburst be sustained, assuming:
a) the SFR to be constant over time?
b) the SFR to decrease with time, $t$, according to $\text{SFR}(t) \propto \exp(-t/\tau)$, where the e-folding decay rate is $\tau = 100 \text{ Myr}$?
16. Taxonomy of active galactic nuclei (AGN). In Fig. 5, the optical images of four active galaxies (A, B, C and D) are displayed, and in Fig. 6 their optical spectra. The absolute V-magnitudes of these objects are $M_V = -21.8$ (A), -24.6 (B), -22.1 (C) and -21.2 (D) respectively. How would you classify these AGN?
17. **Quasar lifetimes.** A supermassive black hole of mass $4 \times 10^8 \, M_\odot$ is situated in a host galaxy with a total gas mass of $1 \times 10^9 \, M_\odot$ and is radiating at the Eddington luminosity. What is the estimated lifetime of this quasar?
18. **The spectral energy distribution of quasars I.** The electromagnetic spectrum of a quasar may in the UV–optical region be approximated by a power-law $L_\nu \propto \nu^{-\alpha}$ where $L_\nu$ is given in units of erg/s/Hz. Derive an expression for the luminosity emitted between frequencies $\nu_2$ and $\nu_3$ in terms of $\alpha$, $\nu_2$, $\nu_3$ and $L_{\nu_1}$ at some frequency $\nu_1$.
19. **The spectral energy distribution of quasars II.** A quasar at $z = 2$ is observed to have a luminosity of $L_\lambda = 3 \times 10^{43} \, \text{erg/s/nm}$ at $\lambda = 450 \, \text{nm}$ in the observer’s frame. What total luminosity emitted inside the quasar rest frame wavelength range 360–520 nm (the B-filter) does that correspond to (this would be the luminosity in the $k$-corrected B-filter) if $\alpha = 0.5$ is assumed?
20. **Superluminal motion.** In certain active galaxies, changes in the position of substructures may be detected over intervals as short as a year. For the quasar 3C 273 at a redshift of $z=0.158$, one component is seen to move away from the nucleus with an apparent angular velocity of $2.2 \times 10^{-3}$ arcseconds/yr.
a) What is the corresponding apparent, projected linear velocity of this component?
b) Assuming that the phenomenon of superluminal motion is due to matter moving with a relativistic velocity $v$ close to the line of sight, and that $\Theta$ is the angle between the line of sight and the direction of ejected mater, what value of $\Theta$ would produce the largest apparent velocity of the ejected component?
c) What is the minimum matter ejection velocity required in order to produce the apparent superluminal speed observed in a)?
21. **Masses of galaxy clusters I.** The Coma cluster has a radial velocity of 6750 km/s, an effective radius of 50’ and a 3-dimensional velocity dispersion of 900 km/s. Use the virial theorem $M = \frac{\langle v^2 \rangle R_{\text{vir}}}{G}$ to estimate the total mass of the galaxy cluster, assuming the gravitational radius to be 2.5 times larger than the effective radius.
22. **Masses of galaxy clusters II.** Estimate the mass of the ionized gas in the Coma cluster described in exercise 21, using the information that the central gas number density (atomic nuclei per volume) is $2 \times 10^{-3} \, \text{cm}^{-3}$ and that the density distribution of ionized gas may be approximated by the relation: $\rho = \rho_0 [1 + (\frac{r}{a})^2]^{-\frac{3}{2}}$, where $a = 0.5 \, \text{Mpc}$. You may furthermore assume that neither the ratio of X-ray to bolometric luminosity nor the $M/L$-ratio of the X-ray gas change with radius.
23. **Gravitational lensing I.** A faint galaxy is observed at 1’ from the centre of a galaxy cluster. The redshift of this object indicates that it is a distant background object, gravitationally lensed by the mass of the foreground cluster. The cluster is located at an angular size distance of 200 Mpc and the galaxy at 500 Mpc. Assuming the cluster mass to be spherically symmetrically distributed, and that the mass inside 1’ from the centre amounts to $10^{14} \, M_\odot$, at what angle from the centre of the cluster would the galaxy be observed in the absence of the gravitational bending of light?
24. **Gravitational lensing II.** The faint galaxy in exercise 23 is observed to have a redshift of $z = 0.165$ and an apparent B-band magnitude of $m_B = 20$. Estimate its absolute B-magnitude, correcting for the gravitational magnification of the foreground galaxy cluster, but neglecting the effects of dust extinction and $k$-correction. The flux magnification factor $A$ may be calculated
using:
\[
A = \frac{1 + x^2/2}{x \sqrt{1 + x^2/4}}
\]
(4)
where \( x = \beta/\theta \) and the angles are defined as in Fig. 7.14 in Sparke & Gallagher.
25. **Cosmic star formation.** The Madau diagram (Figure 7), which describes the comoving cosmic UV luminosity density as a function of redshift, may also be converted into a diagram of cosmic SFR as a function of time. By assuming a Salpeter IMF in the mass range \(0.1 - 125 \ M_\odot\), models of galaxy evolution predict the relation between 0.28 \( \mu m \) UV luminosity and SFR to be:
\[
L_{UV} = 7.9 \cdot 10^{27} \times \frac{SFR}{M_\odot yr^{-1}} \text{ erg s}^{-1}\text{Hz}^{-1}.
\]
(5)
If this relation is assumed to be valid over the entire redshift range plotted, then the cosmic SFR appears to drop at \( z > 1.2 \). Assuming that the luminosity in the UV filter is linearly proportional to the mass fraction in \(10 - 125 \ M_\odot\) stars, what would happen to the shape of the cosmic SFR curve if the IMF exponent \( \alpha \) (\(dN/dM \propto M^{-\alpha}\), where \( \alpha = 2.35 \) represents the Salpeter IMF) gradually started to increase with redshift at \( z > 1.2 \) and reached \( \alpha = 2.75 \) at \( z = 4 \)?
26. **Galaxy formation I.** Assume that protogalaxies can form once
\[
\bar{\rho} \geq 200 \rho_M(z_f),
\]
(6)
where \( \bar{\rho} \) is the density averaged over a spherical volume delimited by radius \( r \) and \( \rho_M(z_f) \) is the matter density of the universe at the formation redshift \( z_f \). Determine the highest redshifts at which the protogalaxies with radii of \( r = 10, 30 \) and 100 kpc may have assembled, assuming their circular velocities to be 200 km/s.
27. **Galaxy formation II.** Assume that we live in an Einstein-de Sitter universe and that the most distant quasars observed (\(z\sim5\)) represent young galaxies at the end of the collapse phase. Estimate the redshift, the approximate age of the universe and the mean density of the clouds when the contraction started, assuming the collapse time to be roughly equal to the time from the Big Bang to the beginning of contraction.
**Preliminary schedule for exercise classes**
Remember that it will be much easier to understand the solutions presented during the exercise sessions if you have already attempted to solve the problems yourself.
- Exercise session 1 - Problems 1, 2, 4, 6, 9, 10
- Exercise session 2 - Problems 11, 12, 13, 16, 18
- Exercise session 3 - Problems 15, 17, 21, 23, 25
**Hand-in exercises**
Your final grade on this course will partly be based partly on your solutions to these.
- Deadline April 24 - Problems 3, 5, 7
- Deadline May 14 - Problems 14, 19, 20
- Deadline June 7 - Problems 22, 24, 26
*Erik Zackrisson, March 2012*
Figure 4: The empirical $\log R_{23} = \log((\text{[OII]} \lambda 3727 + \text{[OIII]} \lambda \lambda 4959, 5007)/\text{H}\beta)$ versus oxygen abundance relation, adopted from Olofsson 1997, Astronomy & Astrophysics 321, 29. The different markers represent the location of model star forming regions of different ages and chemical composition. In this notation, 8.93 represents the solar $12+\log(\text{O/H})$ value.
Figure 5: The optical images of four active galaxies: A (left), B (centre), C (upper right) and D (lower right).
Figure 6: The optical spectra of the four active galaxies depicted in Fig. 5.
Figure 7: Evolution of the comoving cosmic UV luminosity density at a rest-frame wavelength of $0.28\mu m$. |
History of the XVI Corps from its activation to the end of the war in Europe
United States Army
Follow this and additional works at: http://digicom.bpl.lib.me.us/ww_reg_his
Recommended Citation
United States Army, "History of the XVI Corps from its activation to the end of the war in Europe" (1947). World War Regimental Histories. 80.
http://digicom.bpl.lib.me.us/ww_reg_his/80
This Book is brought to you for free and open access by the World War Collections at Bangor Community: Digital Commons@bpl. It has been accepted for inclusion in World War Regimental Histories by an authorized administrator of Bangor Community: Digital Commons@bpl. For more information, please contact firstname.lastname@example.org.
940
5411
U58612h
1. CORPS HEADQUARTERS AT BARNEVILLE, FRANCE
28 Sept.–28 Nov. 1944
2. CORPS HEADQUARTERS AT TONGRES, BELGIUM
30 Nov.–22 Dec. 1944
3. CORPS HEADQUARTERS AT HEERLE, HOLLAND,
22 Dec. 1944–2 Feb. 1945
6. CORPS HEADQUARTERS AT NIEUKIRK, GERMANY,
8 Mar.–19 Mar. 1945
7. CORPS HEADQUARTERS AT LINTFORT, GERMANY,
19 Mar.–28 Mar. 1945
8. CORPS HEADQUARTERS AT LETKAMPS, GERMANY,
28 Mar–April 1945
CORPS HEADQUARTERS AT
SITTARD, HOLLAND,
2 Feb.–3 Mar., 1945
CORPS HEADQUARTERS AT
KALDENKIRCHEN, GERMANY,
3 Mar.–8 Mar., 1945
CORPS HEADQUARTERS AT
RECKLUNGHAUSEN, GERMANY,
7 April–28 April, 1945
CORPS HEADQUARTERS AT
BECKUM, GERMANY,
28 April–June 5, 1945
HISTORY OF THE XVI CORPS
| Division | Country |
|--------------------------|----------|
| British 7th Armored Division | British |
| U.S. 79th Infantry Division | U.S. |
| U.S. 75th Infantry Division | U.S. |
| U.S. 8th Armored Division | U.S. |
| U.S. 35th Infantry Division | U.S. |
| U.S. 15th Cavalry Group | U.S. |
| U.S. 30th Infantry Division | U.S. |
| U.S. 29th Infantry Division | U.S. |
| U.S. 17th Airborne Division | U.S. |
| U.S. 95th Infantry Division | U.S. |
HISTORY OF THE XVI CORPS
From Its Activation to the End of
The War in Europe
BANGOR PUBLIC LIBRARY
WASHINGTON
INFANTRY JOURNAL PRESS
COPYRIGHT 1947 BY INFANTRY JOURNAL INC.
All rights reserved. No portion of this book may be reproduced in any form without permission. For information address Infantry Journal Press, 1115 17th Street NW, Washington 6, D. C.
FIRST EDITION
FEBRUARY 1947
PRINTED IN THE UNITED STATES OF AMERICA
# CONTENTS
| Section | Page |
|----------------------------------------------|------|
| ACKNOWLEDGMENT | 9 |
| I | |
| PRELUDE TO COMBAT | 17 |
| II | |
| THE ROER RIVER CROSSING | 22 |
| III | |
| THE RHINE RIVER CROSSING | 36 |
| IV | |
| ELIMINATION OF THE RUHR POCKET | 59 |
| V | |
| OCCUPATION AND MILITARY GOVERNMENT | 71 |
| VI | |
| SUPPORTING SERVICES AND ACTIVITIES | 87 |
| APPENDIX | |
| Units Under Command of XVI Corps in Operations | 102 |
| Alphabetical Roster | 105 |
MAPS AND CHARTS
PERSPECTIVE SKETCH OF ROER RIVER CROSSING AND ADVANCE INTO VENLO, HOLLAND ................................................................. 25
PERSPECTIVE SKETCH OF CORPS ADVANCE FROM VENLO TO RHINE RIVER ........................................................................................................... 29
COMPARISON OF OVER-ALL LOSSES IN ROER RIVER CROSSING .................................................................................................................. 34
PERSPECTIVE MAP OF RHINE CROSSING OPERATIONS ............................................................................................................................... 52
COMPARISON OF OVER-ALL LOSSES IN RHINE RIVER CROSSING .................................................................................................................. 56
MOVEMENT OF TROOPS ACROSS THE RHINE RIVER ............................................................................................................................... 57
SKETCH OF RUHR POCKET OPERATIONS ............................................................................................................................................. 64
COMPARISON OF OVER-ALL LOSSES IN RUHR POCKET .................................................................................................................. 68
OCCUPATION AREA OF XVI CORPS .............................................................................................................................................. 81
PRISONERS OF WAR TAKEN BY XVI CORPS ........................................................................................................................................ 91
AMMUNITION EXPENDITURE IN XVI CORPS ........................................................................................................................................ 97
ACKNOWLEDGMENT
The services of the following agencies and individuals, through which publication of this volume was made possible, are greatly appreciated: The Army Pictorial Service and the photographers associated with it, for the photographs reproduced herein; Col. Samson Z. Abelow, AGD, for supervising the writing of the original draft; Lieut. Col. Norman D. King, GSC, for proofreading the final draft; Major Paul F. Lueth, Jr., GSC, for preparation of the final draft and lay-out; T/Sgt. Walter H. Croft, T/4 Elwood P. Engel and Travers E. Dowling and T/5 Russell H. Hadden, for artistry and drafting; Cpl. Henry S. Ehle, for conducting the necessary research on official files and for the preparation of the original draft. And last, but not least, much credit is due to Colonel Harold G. "Doc" Furlong for his work as secretary and treasurer of the XVI Corps Historical Association.
MAJOR GENERAL JOHN B. ANDERSON
Commanding General, XVI Corps
Maj. Gen. John B. Anderson was born in Parkersburg, Iowa, on 10 March 1891. He attended schools there, entered the United States Military Academy at West Point and was graduated as a 2d lieutenant of Field Artillery in 1914. Assigned to the 6th Field Artillery at El Paso, Texas, he saw three years of service in Texas and Arizona and then sailed with the 6th Field Artillery for France in 1917 as a captain.
He saw combat service as a regimental adjutant in the Sommerville sector southeast of Nancy in October and November 1917, and served with the British Expeditionary Forces at Ypres, Belgium, in February and March 1918. He then became Adjutant of the 1st Field Artillery Brigade and served in the sector north of Toul, France, and later served as battery and battalion commander with his old outfit, the 6th Field Artillery, at Cantigny.
General Anderson was ordered back to the United States for an assignment at the Army War College, Washington, D. C., on 15 May 1918, and from there he reported to Fort Sill, Oklahoma, for a short tour of duty before being assigned to the Office of the Chief of Field Artillery. By this time he had risen to the temporary rank of lieutenant colonel. This tour of duty lasted for four years, and then came a series of school and troop assignments both at home and abroad.
In 1923 and 1924 he commanded the 83d Field Artillery; during 1925-1927 he served with the 24th Field Artillery in Manila; and from 1928 to 1932 he was on the War Department General Staff, during which he represented the War Department at the International Conference on Sick and Wounded Soldiers and Prisoners of War, at Geneva, Switzerland, in 1929. Between these tours of duty, he attended the Advanced Course of the Field Artillery School in 1923; the Command and General Staff School at Fort Leavenworth, Kansas, from which he was graduated with honors in 1925; and finally the Army War College, Washington, D. C., in 1928. He was assigned to the 13th Field Artillery Brigade at Fort Bragg, North Carolina, in 1932, and in 1934 he returned to Fort Leavenworth for a four-year tour as an instructor at the Command and General Staff School.
Completing his assignment as an instructor, the General was assigned to the Office of the Chief of Field Artillery until 1941, when he returned to Texas as Division Artillery commander in the famous 2d Infantry Division at Fort Sam Houston, holding the temporary rank of brigadier general. In June 1942, he left the 2d Infantry Division to organize and command the 102d Infantry Division at Camp Maxey, Texas. He was promoted to the temporary rank of major general on 4 August 1942, and he received orders on 28 December 1943 to command the XVI Corps at Fort Riley, Kansas.
Brig. Gen. Charles C. Brown, born in Houston, Texas, 3 January 1890, was graduated from the Virginia Military Institute in 1910 and, after attending a course of training at the First Officers' Training Camp at Fort Riley, Kansas, he was commissioned captain of Infantry, Officers' Reserve Corps, on 15 August 1917. He served overseas with the 92d (colored) Division, first as Adjutant (captain), and subsequently as battalion commander (major) of the 317th Ammunition Train. He was promoted to major of Infantry, Officers' Reserve Corps, on 28 September 1918. Vacating his temporary commission as major, he was appointed a captain in the Regular Army and assigned to the Quartermaster Corps in July 1920, and in February 1924 he was transferred in grade to the Field Artillery. He was promoted to major, Regular Army, in 1935; to lieutenant colonel, Regular Army, in 1940; and on 24 December 1941, shortly after the attack on Pearl Harbor, to colonel (temporary) Army of the United States.
As Corps Artillery commander, he was promoted to the temporary rank of brigadier general on 4 September 1944.
Col. George R. Barker, born in Atlanta, Georgia, on 16 February 1894, was graduated from the Marist Military College and the Georgia School of Technology and was commissioned a 2d lieutenant of Cavalry on 22 March 1917. Later transferred to Infantry, he attained the permanent grade of captain on 20 December 1918, served in Panama from 1920 to 1923, and was assigned to duty with the 76th Division, then Organized Reserves, from 1924 to 1927. He attended the Field Officers' Advanced Course at the Infantry School, Fort Benning, Georgia, from 1927 to 1928, served with the Headquarters Company, 18th Brigade, from 1928 to 1930, and, promoted to major, he then attended the Command and General Staff School at Fort Leavenworth, Kansas. From 1932 to 1936, he served as an instructor in the G-3 and G-4 Sections at the Command and General Staff School.
Stationed at the University of Florida from 1936 to 1939, he served as instructor and Professor of Military Science and Tactics, and, promoted to lieutenant colonel, he served from 1939 to 1940 as Deputy Chief of Staff and G-3 of the Third Army. In his capacity as G-3, Colonel Barker organized and operated control groups for the first great American army maneuvers since World War I, maneuvers in which more than 70,000 troops participated. He was promoted to colonel, Army of the United States, on 14 October 1941, and served as Chief of Staff of the VIII Corps from June 1942 to December 1943. He assisted in the organization of the XIV and VIII Corps, as well as the XVI Corps.
HISTORY OF THE XVI CORPS
I: PRELUDE TO COMBAT
With the activation of the XVI Corps on 7 December 1943, the War Department added another fighting Corps to its rapidly expanding Army of the United States, a Corps that was destined within little more than a year to make an historic assault across Europe's Rhine River and to play an important part in the United States Ninth and First Armies' encirclement of the vital Ruhr industrial area and the total defeat of Nazi Germany. Under the command of Maj. Gen. John B. Anderson, Corps commander since shortly after its organization, the XVI Corps proved in training and in combat operations its right to a place among the leading Corps of the United States armies. It conducted an efficient training program in preparation for combat prior to its departure from the United States. Arriving in France, it assumed the responsibility of processing troops as they arrived on the European Continent and protected the Normandy beaches from possible counter-attacks by hostile forces on the nearby Channel Islands. The XVI Corps protected the Ninth United States Army's northern flank in the Roer River assault, driving the German foe from the Roer to the Rhine River so relentlessly that enemy units in the north were unable to aid the hard-pressed German forces being hammered on other sectors of the Ninth Army front. It smashed across the Rhine in a great inland amphibious operation and drove inexorably onward to assist in trapping crack German Armies in the Ruhr valley. The Corps swept the Germans from the big industrial cities north of the Ruhr River, including Essen, Dortmund, Duisburg, and Gelsenkirchen, swinging south as the Ninth and First Armies combined to crush all enemy resistance in the Ruhr. Then, turning from tactical operations to other duties, it directed the military occupation and government of the greater section of the German provinces of Westphalia, Lippe, and Schaumburg Lippe.
Organized at Fort Riley, Kansas, the new Corps received its officers from almost all sections of the United States and from a few overseas stations. They wore the shoulder sleeve insignia of practically as many different branches, services, and units of the Army as there were individuals. The majority of the enlisted men were obtained through a cadre transferred from Headquarters III Corps, although a number were from various other organizations.
In the absence of a commanding general, Col. (later Brig. Gen.) Charles C. Brown, Field Artillery, as the senior officer present for duty assumed command of the Corps on 7 December 1943. On 4 January 1944, Maj. Gen. John B. Anderson, United States Army, joined and assumed command of the Corps, and Colonel Brown swung his full attention to his duties as commander of the XVI Corps Artillery. At the same time, Col. George R. Barker, General Staff Corps, arrived to become the Corps Chief of Staff. The original chiefs of the General and Special Staff sections, with their ranks at date of appointment, were:
Deputy Chief of Staff, Col. Marion P. Echols, (Appointed 26 Feb. '44).
A. C. of S., G-1, Col. Harry Knight.
A. C. of S., G-2, Lt. Col. Clarence C. Clendenen.
A. C. of S., G-3, Col. Frank G. Davis.
A. C. of S., G-4, Lt. Col. Otto L. McDaniel.
Adjutant General, Lt. Col. Clarence M. Virtue.
Inspector General, Lt. Col. Harold R. Booth.
Finance Officer, Col. James H. Dickie.
Judge Advocate, Lt. Col. Lawrence C. Case.
Ordnance Officer, Lt. Col. Horace F. Bigelow.
Quartermaster, Lt. Col. Charles Cavelli, Jr.
Signal Officer, Lt. Col. John V. Tower.
Engineer Officer, Col. John W. Wheeler.
Chemical Officer, Col. Arthur T. Brice.
Surgeon, Lt. Col. Harold A. Furlong.
Special Service Officer, Lt. Col. Raymond Givens.
Chaplain, Lt. Col. Hamilton H. Kellogg.
Headquarters Commandant and Provost Marshal, Lt. Col. Ernest F. Walker.
Changes in these assignments since organization of the Corps have been few. Col. Jesse B. Wells, General Staff Corps, became Assistant Chief of Staff, G-3, on 30 May 1944, succeeding Colonel Davis, who in turn on that date succeeded Colonel Echols as Deputy Chief of Staff. On 3 July 1944, Colonel Frederic de L. Comfort, General Staff Corps, succeeded Lt. Col. Clendenen as Assistant Chief of Staff, G-2. With the addition of the fifth General Staff Section on 26 September 1944, Lt. Col. Randall J. Larson, General Staff Corps, was appointed Assistant Chief of Staff, G-5, and on 19 December 1944, he was succeeded by Col. John K. Cunningham, General Staff Corps. Lt. Col. Samson Z. Abelow, Adjutant General's Department, became Adjutant General on 11 June 1944,
with the reassignment of Colonel Virtue, Lt. Col. Roy L. Jones, Ordnance Department, became Ordnance Officer on 19 July 1944, following the transfer of Lt. Col. Bigelow. Lt. Col. Thad A. Broom, Quartermaster Corps, was appointed Quartermaster on 29 July 1944, to fill the vacancy created by the transfer of Lt. Col. Cavelli, and Lt. Col. James E. Lewis, Infantry, took over the duties of Headquarters Commandant and Provost Marshal on 1 July 1944, on the reassignment of Lt. Col. Walker. Retaining his appointment as Provost Marshal, Lt. Col. Lewis turned over the duties of Headquarters Commandant to Capt. James J. Freda, Infantry, on 10 May 1945. Major Fred G. White, Army of the United States, succeeded Lt. Col. Givens as Special Service Officer, and Chaplain (Lt. Col.) Eugene L. Nixon, Chaplains Corps, succeeded Colonel Kellogg as Corps Chaplain.
First units were assigned to the Corps as of midnight on 1 January 1944, and the Corps immediately embarked on a training mission that was accomplished so enthusiastically and thoroughly that it was selected for overseas service ahead of other corps activated many months earlier. With troops under its control stationed throughout six scattered states, the Corps met and successfully solved the problems of directing the training of all types of combat units at Camps Carson and Hale, Colorado; Camp Chaffee, Arkansas; Camp Crowder, Missouri; Camp Gruber, Oklahoma; Camp Phillips and Fort Riley, Kansas; and Camp McCoy, Wisconsin. Devoting careful attention to each unit under its command, the XVI Corps was engaged from 1 January through 16 July 1944, in giving its troops every possible type of training that would fit them to win victory for American arms in the historic days to come when they would throw their might into the battle in fighting fronts throughout the world.
Winter maneuvers were conducted by the Corps at Watersmeet, Michigan, from 16 February to 15 March 1944, as important tests to determine the worth and wisest application of tactical doctrines for operations under conditions of snow and extreme cold and to determine the suitability of the new type of Army clothing and equipment for troops fighting under such conditions. The 76th Infantry Division was used as the chief component in the maneuvers under the careful direct supervision of Corps Staff officers. In other operations conducted at Land o'Lakes, the Corps gave the first tactical tests of the Weasel, since famous amphibious tracked vehicle which was used later to such advantage by American forces in the battle of the Ardennes and in other outstanding operations on the Western Front. Division exercises were conducted for the 10th Light Division at Camp Hale, Colorado, for the 71st Light Division at Camp Carson, Colorado, and for the 76th Infantry Division at Camp McCoy, Wisconsin. In addition, division Army Ground Forces tests were held for the 104th Infantry Division at Camp Carson, Colorado, and the 44th Infantry Division at Camp Phillips, Kansas. Other Army Ground Forces tests, such as battalion field exercises, battalion combat exercises and artillery firing tests were also conducted by the busy but untriring officers of the Corps.
Particular attention was given by the Corps during all this time to the physical conditioning of all troops under its command to fit them to withstand the greatest possible extremes of temperature and all types of weather. Physical fitness tests were given to attached units under the supervision of the Corps Special Service Office during the period from February through July 1944. Corps units averaged 87½ per cent, a high average for such tests and a figure indicative of the soundness of the physical conditioning program which had been incorporated in the Corps training schedule.
The XVI Corps by this time was becoming well known as the Compass Corps, owing to the fact that it had adopted a shoulder sleeve insignia consisting of a large white compass rose with a blue center and sixteen points imposed upon an olive drab shield. This insignia, officially approved by the War Department on 10 April 1944, was designed by T/Sgt. Howard M. Sargeant of the Corps Artillery Headquarters. Employing the Corps colors, blue and white, in the shield, the compass design was considered indicative or symbolic of the readiness of the Corps personnel to serve their country in any part of the world.
This readiness was soon to be given a fitting test. As a result of its outstanding record in training, the XVI Corps was ordered to prepare for overseas service in accordance with a directive from Headquarters Second Army, which assigned a readiness date for movement from home station of 1 September 1944. At midnight on 16 July 1944, the Corps turned over its training mission to the newly activated XXXVI Corps and began final preparations for its role in the great clash of the armies of Democracy with the armed might of tyranny on whichever of the world's battlefields it might be destined to fight.
The Corps headquarters moved into the field on the Fort Riley reservation on 21 July 1944, for a command post exercise conducted by Second Army, with Maj. Gen. Jonathan W. Anderson, XXXVI Corps commander, as director and Col. George R. Barker, XVI Corps Chief of Staff, as deputy director. In these important tests, which continued until 1 August 1944, the Corps staff again demonstrated its fitness for active combat operations and its ability to conduct such operations swiftly and skillfully to a successful termination. The Corps' preparation for overseas movement was intensified during August, and long hours were devoted to training, personnel processing, and preparation of equipment for shipment overseas. Considerable time was devoted to the firing of individual weapons. An intensive physical conditioning program was instituted for Corps headquarters personnel, and many hours were consumed in other extended training that the Corps deemed it advisable for its personnel to have.
The advance detachment for the overseas movement of the Corps, consisting of 11 officers and 11 enlisted men under the command of Col. Frank G. Davis, Deputy Chief of Staff, left on 9 August 1944 by rail from Corps headquarters at Fort Riley. It reached its eastern seaboard destination, the staging area at Fort Hamilton, New York, on 11 August 1944, and six days later it boarded the steamship *Ile de France* at the New York Port of Embarkation for the transatlantic crossing. Reaching Gourock, Scotland, on 25 August 1944, the detachment moved out almost at once to the marshalling area near Winchester, England, and on 28 August 1944, it sailed from Southampton, England, for the European Continent. Landing at Utah Beach on the Normandy Coast on 30 August 1944, the detachment eagerly began its mission of making arrangements for the arrival and reception of the main body, a mission it accomplished with dispatch, efficiency, and a high order of success.
The "Compass was boxed" on 4 September 1944, at a farewell dinner at the Polo Bungalow, Cavalry Replacement Training Center, Fort Riley, Kansas, attended by the Corps commander, his General and Special Staffs, officers on duty at Corps and Corps Artillery headquarters, and a number of distinguished guests, including the XXXVI Corps commander and his Chief of Staff, the Commanding General of the Cavalry Replacement Training Center and several of his staff, and the Commandant of the Cavalry School at Fort Riley.
The Corps Headquarters and Headquarters Company, Military Police Platoon, Corps Artillery Headquarters and Headquarters Battery, and the 216th Counterintelligence Corps Detachment entrained on 6 September 1944 for the staging area at Fort Slocum, New York, arriving there on 8 September 1944. They left Fort Slocum in the late afternoon of 19 September 1944, by harbor boat for the docks of the New York Port of Embarkation and boarded the steamer *Queen Mary* there for the transatlantic voyage. Pausing in the outer harbor to take aboard Mr. Winston Churchill, Prime Minister of Great Britain, and his party, the huge ship cleared New York on 20 September 1944, and, crossing the ocean without undue incident, dropped anchor in the Firth of Clyde, off Greenock, Scotland, on 25 September 1944. Corps officers and men disembarked by harbor boats at Gourock, Scotland, on 26 September 1944, boarded two trains for an overnight journey to Southampton, England, arrived there the following morning, and marched to the wharves. There they boarded the steamships *Neuralia* and *Isle of Guernsey*, crossed the Channel, and dropped anchor on 28 September 1944 off the northeast coast of the Normandy Peninsula. Transferred to landing craft, Corps personnel moved ashore over Omaha Beach and proceeded by motor to prepared billets at Barneville-sur-Mer, France. There, at Barneville-sur-Mer, France, at 2230 hours on 28 September 1944, the XVI Corps officially opened its first command post in the European Theater of Operations and initiated preparations to begin the first of several increasingly important missions in the war against Germany. On arrival in the theater, the corps was assigned to Lt. Gen. William H. Simpson's Ninth Army.
Assisting the III Corps in the processing of troops arriving on the Normandy Peninsula and later assuming sole responsibility for that task upon the departure of III Corps from Carteret, France, on 11 November 1944, the XVI Corps played an essential part in welding together the magnificent fighting forces that were to drive the enemy steadily backward in the next few months to his early ignominious defeat. In fulfilling this mission, the Corps established early contact with incoming troops at the point of entry, and supervised the reuniting of troops with their equipment, which arrived separately.
The XVI Corps also assumed the vital responsibility of protecting American supply lines in the rear area from any possible thrusts by an estimated hostile force of 20,000 to 25,000 troops on the nearby Channel Islands of Jersey and Guernsey, a task which aided our steadily advancing armies as they hammered the foe ceaselessly backward mile by mile toward Berlin and certain defeat. Beaches on the west coast of the Normandy Peninsula from Cap de la Hague to Coutainville were defended by the Corps so efficiently that at no time were these important supply lines threatened by enemy action.
Marking the first step in the undertaking of a new mission while still proceeding with the fulfillment of its previously assigned task, the Corps moved its command post from Barneville-sur-Mer, France, to Tongres, Belgium, opening there at 0800 hours on 30 November 1944. A rear detachment, consisting of the Headquarters and Headquarters Company, 20th Tank Destroyer Group, and several staff officers and men from the Corps headquarters, remained behind to complete the Corps processing mission.
The 78th Infantry Division was attached to the Corps on 1 December 1944, and the 106th Infantry Division was attached on the following day, but, owing to changes in plans, both were relieved from attachment on 5 December 1944. The 75th Infantry Division was then attached to the Corps on 9 December 1944. Having already established an outstanding record in its performance of previously assigned missions, the XVI Corps was selected to relieve the British XII Corps and on 16 December 1944, was ordered to prepare plans for that relief and for tactical operations to be launched in a sector adjacent to the Ninth Army area on the north.
In eager anticipation of this opportunity to strike its first combat blow, the Corps sent a planning group to Beck, Holland, to complete the staff work for the impending operation. These plans were of necessity changed as a result of the German breakthrough in the Ardennes, and the Corps planning group was recalled on 20 December 1944. Moving its command post from Tongres, Belgium, to Heerlen, Holland, on 22 December 1944, the Corps continued planning for proposed operations. The XVI Corps Artillery Fire Direction Center began operations at Immendorf, Germany, under control of XIII Corps Artillery.
Maj. Gen. Anderson, Corps commander, was ordered to Headquarters XVIII Airborne Corps in the Ardennes as deputy corps commander on 26 December 1944, as the Allies moved to stem the great German breakthrough. Accompanied by representatives from the Corps G-2, G-3, Signal, and Artillery sections, General Anderson proceeded at once to the XVIII Airborne Corps to assist in the direction of strategy to halt the enemy. Changing conditions enabled General Anderson to return to the direction of XVI Corps plans on 29 December 1944, but other XVI Corps staff representatives remained to assist the XVIII Airborne Corps until 9 January 1945.
Harassed only by isolated bombing and strafing during the latter part of December, the Corps pushed training and planning activities and sent representatives from certain staff sections of its headquarters to operate with and in the XIII and XIX Corps staff sections for the purpose of gaining staff experience with an operational unit. The Corps mission of processing troops for combat was unofficially completed on 22 December 1944, when the 75th Infantry Division was relieved from attachment to the Corps, and this mission was officially declared as having been completely accomplished on 8 January 1945.
The drafting of plans for future operations of Corps and higher echelons was intensified in January as indications became more and more evident that the Corps would soon be given the chance to match its power and strategy with the German foe. While the Corps headquarters remained non-operational, its Artillery Headquarters and Headquarters Battery continued to assist the XIII Corps through the operation of its Artillery Fire Direction Center in the XIII Corps zone of action at Immendorf, Germany.
A complete training program was instituted during this period by the Corps headquarters for all its personnel by the daily preparation of simulated operational and administrative reports, such as situation and periodic reports and estimates of the situation, for simulated submission to higher headquarters.
These reports were based on the tactical situation as it existed on the XIII Corps zone.
Plans for operations were being brought to completion rapidly, and in accordance with them, the 5th Armored Division was attached to the Corps on 29 January 1945, the 35th Infantry Division was attached on 31 January 1945, and preparations were initiated to move the Corps forward echelon to Sittard, Holland. The 5th Armored Division was relieved from attachment on 1 February 1945, but it was replaced the same day by the 8th Armored Division. The XVI Corps Artillery Fire Direction Center, which had been operating under the XIII Corps since 22 December 1944, reverted to XVI Corps control on 1 February 1945. The 349th and 407th Field Artillery Groups became operational under XVI Corps control on 2 February 1945, to remain as anchor units of the Corps Artillery until after the cessation of hostilities. The 291st Field Artillery Observation Battalion joined the Corps at the same time to contribute invaluable assistance in all combat operations by its superior collection and dissemination of survey, meteorological, and hostile battery data.
Directed to assume control of a sector held by the British XII Corps, the XVI Corps was assigned an important zone of responsibility on the left flank of the U. S. Ninth Army, a zone that gave the Corps a front line of approximately sixteen miles from the vicinity of Linne, Holland, just below Roermond, southeast to Randerath, Germany, facing the enemy's fortified Roer River and Siegfried Line. It was at 1200 hours on 6 February 1945 that the XVI Corps became operational under the control of the Ninth Army in the European Theater of Operations.
II: THE ROER RIVER CROSSING
The XVI Corps, in its first combat operation, turned a comparatively small role into a major battle offensive by the outstanding strategy it employed and the brilliant and exceedingly swift execution of its plans. It established its own bridgehead over the Roer River when operational difficulties made it impossible for the XIII Corps to make a bridgehead available as originally planned. Sweeping over the Roer, it smashed into and through the famous and vaunted Siegfried Line with its heavy network of concrete shelters, pillboxes, dug-in emplacements, and other formidable defensive obstacles. The Corps moved north to establish and maintain contact with the Canadian First Army. It smashed to the Rhine River in a furious, irresistible drive and joined with British elements in crushing the German's Wesel bridgehead where the enemy was making last desperate efforts to evacuate his troops to the east of the Rhine River. It ably protected the Ninth Army's northern flank throughout the entire offensive, hammering the enemy so relentlessly that he was unable to render assistance to other German forces being driven back so successfully on other sectors of the Ninth Army front. In its successful accomplishment of this mission, the XVI Corps enabled the remainder of the Ninth Army to sweep ahead without any possible interference from the German forces in the north.
In preparation for important events to come the British 7th Armored Division was attached to the Corps on 6 February 1945, maintaining its position on the line, and the 35th Infantry Division relieved the British 52d Infantry Division on the 7th Armored Division's right, the XVI Corps' right flank. The 8th Armored Division was maintained in Corps reserve as it prepared for future operations.
Through January and most of February 1945, the trafficability of soil on the entire Ninth Army front was such that a coordinated infantry-armorcd attack would have become a costly venture.
A crossing of the Roer River was quite impractical, for the river had become 2,000 yards wide at points as a result of flood conditions and the German control of two Roer River dams, one at the confluence of the Roer and Erft Rivers and the other, the tremendous Schwammenauel Dam, a short distance farther north. With recession of the flood waters and seizure of the dams by United States forces, however, these obstacles to the assault across the Roer were removed, and the Corps moved to hurl its might forward into the steel-and-concrete breastworks of the famous Siegfried Line.
Additional forces were placed under XVI Corps direction for the river crossing. The 15th Cavalry Group, consisting of the 15th and 17th Cavalry Reconnaissance Squadrons (Mechanized), was attached on 15 February 1945, and two days later, the battle-scarred 79th Infantry Division was attached to the Corps. On 20 February 1945, the 252d Field Artillery Group began its service with the Corps. Until the cessation of the Corps combat role, this field artillery group manipulated its heavy artillery with such skill as to furnish another lesson in power politics to the "Supermen." The relief of the British 7th Armored Division and the 1st Commando Brigade on their sector of the front by the 8th Armored Division's Combat Command B began on 17 February and was completed by 21 February 1945.
THE SITUATION
The XVI Corps front, on the eve of its first major combat operation, extended from Linne, Holland (K7486), southeast to Randerath, Germany (K9169), facing an intensely fortified sector of the Siegfried Line in which the enemy was expected to make assault forces pay heavily in blood and sweat for every foot they might be able to gain. The most heavily defended area extended from Roermond southeast to Melick (K7986), a veritable maze of trenches, fortifications and mines, with a defense zone 3,000 yards deep at Roermond. Two spur lines of fortifications from Melick to the Maas (Meuse) River below Roermond and from Melick northwest along the southern bank of the Roer River blocked XVI Corps access to the Roer in that sector.
Besides this triangle of land between Melick, the Meuse River and Roermond, the enemy maintained
A British Commando describes the field of fire to two American infantrymen taking over a machine-gun position (left), and a British officer orients an American officer on enemy dispositions (right), as the U.S. 8th Armored Division relieved the British 7th Armored Division and 1st Commando Brigade.
footholds on the south bank of the Roer River at Morsel (K820839), Triest (K828839), Vlodrop (K8483), Karken (K8379), Kempen (K8578), Kivit (K9073), and Hilfarth (K9372). Across the Roer, additional defenses extended from Melick east to Herkenbosch (K8385), and then southeast to Ophoven (K8679), Ratheim (K9175) and the area across from Hilfarth. Behind this line running generally north from an anchor point at Wassenburg (K8979) was a main section of the Siegfried Line proper, with unknown fortifications in the Elmpter Wald, a heavily wooded area between the Meuse, Roer and Niers Rivers. With the advantage of terrain, observation, and previously prepared positions along the Roer River, the enemy was fully capable of turning fiercely upon his assailant with furious limited objective attacks.
The strength of the enemy defenses and his power to strike back at any attacking force failed to daunt Maj. Gen. John B. Anderson, XVI Corps commander, and his staff, and they, putting in many long hours, had perfected carefully laid plans for an assault that would send the Germans reeling back, never able to regain their balance under the repeated sledgehammer blows of XVI Corps forces.
The reinforced 35th Infantry Division had been regrouped on the XVI Corps right flank, ready to smash toward the Roer with the able support of the 15th Cavalry Group. The 314th Regimental Combat Team of the 79th Infantry Division stood ready to attack in the center of the Corps sector after having relieved the 35th Division's 137th Infantry Regiment on that portion of the line. Combat Command B of the 8th Armored Division remained in positions on the Corps left flank. The 35th Division's 137th Infantry Regiment had been withdrawn and placed in Division reserve, and it was contemplated that it would be the first unit to cross the Roer River in the bridgehead which was to be secured by the XIII Corps. 79th Infantry Division forces, with the exception of the 314th Regimental Combat Team, were held in Corps reserve.
Opposing the XVI Corps were elements of the German 8th Parachute Division and the 176th and 183d Volksgrenadier Divisions, about 7,500 men as far as could be determined, with units of an unidentified infantry division, about 6,000 men, in reserve.
The 183d Volksgrenadier Division had seen long service in Russia, had been reorganized in Austria, and had been in heavy action on the Western Front in November. The 176th Volksgrenadier Division, while originally a depot division consisting of Ersatz units, had been greatly strengthened with replacements. The 8th Parachute Division was one of the units that battled the September 1944 allied airborne landings in the vicinity of Arnhem so successfully.
H-hour and D-day were 0330 hours on 23 February 1945, for the Ninth Army's "Operation Grenade." Briefly, the plan for that operation insofar as the XVI was concerned, proposed that the initial crossing of the Roer by the Corps would be made in a bridgehead which was to be provided by elements of the XIII Corps. The XVI Corps was then to advance almost directly north, and initial tactical boundaries were assigned in keeping with the Corps' mission of clearing out the Venlo-Roermond-Hilfarth triangle only.
**The Assault**
23 February 1945. Watches steadily ticked off the minutes and seconds early in the morning of 23 February 1945, as tense troops waited for the time to attack. The tremendous artillery preparation preceding the assault began at 0245 hours, and at 0330 hours the barrage lifted and dimmed. XVI Corps forces started moving forward in coordination with the XIII and XIX Corps and smashed quickly to the Roer River, crushing opposition from small arms, machine guns, mortar fire, and mines, and clearing the pockets of enemy resistance west of the Roer River left by the British XII Corps. Artillery batteries followed up their barrage with close support, counter-battery, neutralization, and smoke missions, battering the enemy throughout the day in close cooperation with the 35th Infantry Division and the 314th Regimental Combat Team attacks, and firing a total of 893 missions.
Advancing Corps units met their first opposition in Brehin (K8777), Unterbruch (K8776) and Oberbruch (K8874), but quickly seized the towns, along with Porselen (K9072), Kempen (K8578), and Eckholderdriesch (K8478). The enemy held stubbornly at End (K8480), Karken (K8379), Schanz (K9073), Kranzes (K8974), Kivit (K9073), and Hilfarth (K9372), but Karken, Schanz and Kranzes fell before the end of the day to the Corps' surging drive.
Corps artillery units fired a 45-minute barrage to open the Roer offensive, raining shells on enemy positions, rocking his strongpoints, and battering his will to withstand the crashing assault.
24 February 1945. The 314th Regimental Combat Team cleared End, despite small-arms fire and the use of antipersonnel mines and booby traps by the enemy, while a 35th Division (320th Infantry Regiment) patrol occupied Kivit that night after having found the town evacuated by the hard-pressed enemy. German troops continued to hold Hilfarth, turning small-arms fire on our patrols attempting to penetrate the town. Enemy artillery pounded towns in the Roer River valley in harassing missions. The XVI Corps Artillery blasted German positions, firing 472 missions for advancing Corps troops and delivering counterbattery fire to support the XIII Corps on the right flank. The 8th Armored Division began sending patrols into the area southwest of Roermond reconnoitering for bridge sites.
25 February 1945. The 134th Infantry Regiment (35th Division) attacked Hilfarth, pushing through a heavy minefield to reach the outskirts of the town, but was stopped there by automatic-weapons fire. Units of the 8th Armored Division patrolled both sides of the river, and the Division's Combat Command B occupied Morsel (K820839) and Triest (K828839) without resistance other than the usual mines and booby traps. Troops of the 314th Regimental Combat Team captured a ten-man enemy patrol and drove off two other patrols in small boats as it cleaned up and consolidated positions on the west bank of the Roer in accordance with original battle plans. Corps artillery units shelled the enemy throughout the day, firing 452 missions in supporting XVI Corps troops and delivering interdiction fires for the XIII Corps as German artillery threw light-caliber rounds into St. Odilienberg (K7884), Porselen (K9072), and Paarlo (K8184). The 211th and 777th Field Artillery Battalions supported an air attack on Rheindahlen (F0384) with a counterflak mission.
**The Crossing**
At the banks of the Roer with a powerful fighting force waiting only for a means across the river to continue its battering drive, the XVI Corps learned that unexpected resistance and difficulties of operation had made it impractical for the XIII Corps to provide a bridgehead for its use.
Major General Anderson and his staff, as a result, swiftly laid plans for the XVI Corps to make a bridgehead of its own, mapping strategy for a feint river crossing to mislead the enemy, and for a main assault
Perspective sketch of Roer River crossing and advance into Venlo, Holland.
to ram into his defense line before he could recover from his efforts to repel the faked crossing. The Corps ordered the 79th Division's 314th Regimental Combat Team to make the feint crossing attempt and assigned the 35th Division to the main assault task.
26 February 1945. The feint river crossing was staged by the 314th Regimental Combat Team (79th Infantry Division) in the vicinity of Kempen (K8578). Beginning at 0545 hours, this activity continued for one and a half hours. Artillery units shelled the Germans. Assault boats were brought up to the stream and prepared for a crossing. Smoke pots poured out their thick, artificial fog, and automatic weapons ripped into enemy positions. Everything necessary was done to impress the enemy that the 314th was about to crash over the stream and draw his attention to that area and away from the main effort already well under way farther south in the Hilfarth sector where the 35th Division had prepared its blow.
The 35th Division's 137th Infantry Regiment, held in reserve, passed through left flank elements of the XIII Corps (the 84th Division), advancing in the vicinity of Linnich to Doveren, and attacked toward Klein Gladbach (K9476), northwest across the Corps front. The 134th Infantry Regiment attacked Hilfarth and slugged through a curtain of small-arms and machine-gun fire and a viciously arranged mass of booby traps. Entering the town, the Regiment cleared it by 1000 hours and crossed the Roer River over its own bridge at Hilfarth. It then advanced on Huckelhoven (K9473).
Initial crossings in the XVI Corps sector were made by footbridge rather than assault boats. Two bridges were put across the river first about a half kilometer downstream from Hilfarth, followed closely in the same vicinity by an infantry support bridge taking up to five-ton loads. By noon a highway bridge at Hilfarth, although damaged to some extent, was captured intact, and XVI Corps vehicles and tanks started rolling over it early in the afternoon. Two M2 treadway bridges were constructed during the afternoon, one in the vicinity of the infantry support bridge, and the other one about 150 yards upstream from the highway bridge.
XVI Corps forces began pouring through the bridgehead established at Hilfarth and by 2400 hours the 35th Division had moved five platoons of the 784th Tank Battalion and five platoons of the 654th Tank Destroyer Battalion across the Roer in addition to its infantry regiments. Artillery units fired 543 missions in supporting the bridgehead operation. The 692d Field Artillery Battalion fired 30 rounds per hour for 36 hours in the vicinity of the highway bridge at Hilfarth to block the enemy as much as possible from placing demolitions. The 8th Armored
By 27 February, troops and equipment were moving across the Roer River in a steady stream. At left, elements of the 35th Infantry Division approach crossing sites near Hilfarth to cross the completed treadway bridge shown at right.
Division demonstrated along its front in conjunction with the 35th Division attack, and its Combat Command B advanced some distance but withdrew for consolidation after meeting heavy antitank fire from across the river.
27 February 1945. With troops and equipment moving across the Roer River in a steady stream, the 35th Infantry Division launched a drive at 0600 hours to the north and northwest into the Wassenburg sector, anchor point for the main Siegfried Line running northward and additional defenses running southeast to Jülich (A0359) and east to Ocrath (K995780). The 134th Infantry Regiment struck at Huckelhoven (K9473) and encountered small-arms, automatic-weapons and mortar fire, mines, and booby traps, as the enemy put up a stubborn defense. The Regiment cleared the town, however, and then pushed on to the northwest to clear Millich (K9274), and Gendorf (K9175) and fought its way from house to house through Schaufenberg (K9375). Its drive still unchecked, it swung against Orsbeck (K8877) and Wassenberg (K8979) and seized the two towns from garrisons of about a hundred men each who poured small-arms and mortar fire at the assaulting infantrymen in their efforts to hold their positions. The 137th Infantry Regiment cleared Klein Gladbach (K9476), Gerderath (K9378), Myhl (K9178) and Gerderhahn (K9579). Artillery units continued to pound the enemy, with three of the 35th Division artillery battalions firing from positions established after crossing the Roer.
The 8th Armored Division rolled through the 35th Division bridgehead and advanced on the 35th's right to exploit the breakthrough upon being relieved of its section by the 15th Cavalry Group.
28 February 1945. Forging an arc to the northwest the 35th Division, supported by the 8th Armored Division, drove with an irresistible force to flank the area around Roermond and force the enemy to evacuate the city if he wished to avoid being caught in a pocket. The 35th's Infantry regiments swept through Ophoven (K8580), Birgelen (K8979) and Wildenrath (K9282), and then captured Steinkirchen (K8580), Effeld (K8581), Station-Vlodrop (K8984), and Rodgen (K9183). Troops met a stiffer defense, however, in the form of small-arms and automatic-weapons fire at Herkenbosch (K833852). Combat Command A of the 8th Armored Division swiftly captured Tetelrath (K9688), and the Division's Combat Command B rolled to a point 1,000 yards north of Arsbeck (K9383). Squadrons of the 15th Cavalry Group, relieved from attachment to the 35th Division on 27 February 1945, conducted active patrolling on both sides of the Roer, and XVI Corps Artillery units continued to pour shells at enemy positions. The completion of a heavy ponton bridge across the Roer River at Ratheim (K9175) and a 600-foot M2 treadway bridge at Orsbeck (K8877) permitted a rapid transfer of troops to the east side of the river to support advancing elements.
1 March 1945. Task Force Byrne, a crack 35th Infantry Division Combat Team, swung into action in a furious, smashing drive to the north that pushed the enemy back over far greater distances than was anticipated. Welded into a single striking force designed to deliver a crushing blow, the 35th Infantry Division's 320th Infantry Regiment (Motorized) had been combined with the 216th Field Artillery Battalion; the 275th Armored Field Artillery Battalion; the 784th Tank Battalion (minus Company A);
Company C of the 654th Tank Destroyer Battalion; Company C of the 60th Engineer Combat Battalion; and Company C of the 110th Medical Battalion for the record-shattering operation. Attacking at 0700 hours, Task Force Byrne crushed enemy resistance at every critical terrain feature as it hurtled north to occupy Venlo (E9109). It rolled through Elmp (K9001), Bracht (K9299), and Kaldenkirchen in a sweeping drive and moved into Venlo after meeting and smashing all the opposition the enemy could muster in the path of its charging advance.
To the south, Herkenbosch was found evacuated by the enemy, and the 137th Infantry Regiment pressed northward in the wake of the hard-hitting task force, reaching Venlo (E9109) at 2400 hours.
Troops of the 15th Cavalry Group swept into Roermond during the early morning hours, finding the city unoccupied but very heavily mined. They were told by civilians that German forces had fled during the night after executing demolitions of public utilities. The 17th Cavalry Squadron pulled out of line and at 1300 hours advanced north to Swalmen (K8193), followed by the 15th Cavalry Squadron.
The 8th Armored Division encountered small-arms and automatic-weapons fire at scattered points along roads and road junctions, but after the clearing of Amern-St. George (K9694), there was a general slackening of enemy resistance. The Division's Combat Command A cleared Waldniel (K9891) and rolled on north to Flothend (E983002) where it was held up by a roadblock.
Heavy minefields and massive roadblocks impeded the progress of practically all Corps units, but were efficiently overcome with a minimum of delay by the skillful direction of unit commanders. Only remnants of enemy units apparently remained on the XVI Corps front, and these were in a disorganized state due to the rapid advance and strategic maneuvers of Corps units. Prisoners of war, fairly intelligent for the most part but somewhat reticent about talking, said they knew very little about the general situation but agreed that it was very much confused.
A Change in Mission
Moving to employ this general momentum of the XVI Corps drive to full advantage, the Ninth Army quickly revised its operational scheme, arranged changes in boundaries between the Ninth Army and British and Canadian units on the north, and provided for XVI Corps a zone clear to the Rhine River, with orders to attack onward. This change in tactical plan moved the boundary between the Ninth Army and the British northeast so that it met the Rhine River in the vicinity of Rheinberg, providing a corridor down which the Corps could pursue the broken enemy forces to a crashing climax on the west bank of the Rhine. It gave the Corps a zone of advance to the Rhine River between British and Canadian forces on the left flank and the XIII Corps on the right flank. Enemy forces being driven into this sector by Canadian gains on the north and by the XIII Corps on the south were
Perspective sketch of Corps advance from Venlo to Rhine River
steadily increasing the number of troops which the XVI Corps would engage. Units and men from seven different divisions, the 180th and 190th Volksgrenadier Divisions, the 406th zu Besonderer Verwendung (special purpose unit), and the 7th Parachute Division, in addition to the 176th and 183d Volksgrenadier Divisions and the 8th Parachute Division, were identified on the Corps front during ensuing days. The presence of numerous small artillery and service units were also revealed. Of them all, the 190th Volksgrenadier Division offered the greatest resistance.
With the extension of the XVI Corps sector, the 75th Infantry Division and its attached units, the 440th Antiaircraft Automatic Weapons Battalion and the 772d Tank Destroyer Battalion (but minus the Division's 289th Infantry Regiment) were attached to XVI Corps effective 1 March 1945. The 79th Infantry Division and its attached units, held in Corps reserve, were released from Corps attachment and attached to the XIII Corps. With this transfer of the 79th Division, the 314th Infantry Regiment was released from Corps control and returned to its parent division.
2 March 1945. Resistance continued apparently disorganized, although enemy troops attempted in vain to defend stream crossings, road junctions, and other critical features with small-arms fire, scattered mortar and artillery fire, and obstacles. Task Force Byrne swept forward more than twelve miles in a roaring onslaught from Venlo, clearing Straelen (E9717), Nieuikirk (A0518), and Sevelen (A0922) after only brief delays due to small-arms and occasional harassing artillery fire.
The 137th Infantry Regiment battled German forces at (E955080) just south of Herongen, receiving mortar and small-arms fire. The enemy continued to cling to Geldern (A0225), and, from positions along an east-west line south of the Geldern-Issum road, denied the Corps advance to the north in this sector by small-arms, mortar and self-propelled artillery fire. Movement to the east, however, was unopposed, and the usual small-arms and mortar fire was the only resistance encountered in the vicinity of Stenden (A105145).
A synthetic oil plant and supplies of ammunition, rifles, and optical and signal equipment were captured as the 8th Armored Division cleared Wachtendonk (A025130). The Division's Combat Command Reserve cleared Grefrath (A0205), and its 88th Cavalry Reconnaissance Squadron (Mechanized) cleared Wegberg (K9883). Both the 35th Infantry Division and 8th Armored Division Artillery operated under decentralized control, and generally Corps artillery battalions remained silent. The 75th Infantry Division moved toward Echt, Holland (K6980), to establish its command post there.
3 March 1945. The withdrawal of enemy troops grew more organized, but considerable quantities of guns, ammunition, and supplies were taken intact. In falling back, the enemy had prepared extensive demolitions, but many were not executed because of the rapidity and force of the Corps' advance. The 15th Cavalry Group swept north to Walbeck (E9623) and established contact there with troops of the Canadian First Army, a contact it was to maintain throughout the rest of the offensive as it protected the Corps northern flank. Task Force Byrne struck forward one mile to Oermten (A1122) against stiffening resistance. Enemy troops re-entered part of the town of Sevelen (A0922) and fought unsuccessfully with small-arms, mortar and self-propelled-artillery fire to regain the town. Elements of the 134th Infantry Regiment, which had been moving northward behind Task Force Byrne, attacked Geldern (A0225) jointly with troops of the Canadian First Army after making contact with the Canadians, and seized a third of the town against stiff resistance.
Infantrymen of Task Force Byrne (35th Infantry Division) advance through the town of Sevelen, Germany (left), and after capturing this community, pause in the town to service their vehicles (right) prior to moving on to new objectives.
The 8th Armored Division captured Aldekerk (A0816) and was then pinched out by the change in the Corps right boundary, leaving the 88th Cavalry Squadron (Mechanized) to mop up resistance east of Aldekerk. The 8th Armored Division assembled in the vicinity of the town as Corps reserve. The 75th Infantry Division moved into the area northwest of Venlo and the reconnaissance elements screened the Corps north flank in that vicinity. The XVI Corps command post was closed at Sittard, Holland (K6968), and opened at Kaldenkirchen, Germany (E9203), at 1800 hours as a result of the swiftly moving advance of Corps units.
4 March 1945. Slackening their resistance north of Sevelen, the Germans withdrew to the northeast bank of the Nenneper River, destroying all bridges behind them and blocking the cavalry's advance. A furious drive on Lintfort (A1722) was opened by Task Force Byrne and the 137th Combat Team, organized by combining the 35th Division's 137th Infantry Regiment; the 219th Field Artillery Battalion; the 692d Field Artillery Battalion; Company A of the 784th Tank Battalion; Company B of the 60th Engineer Combat Battalion; and Company A of the 110th Medical Battalion. Task Force Byrne pounded two miles toward Lintfort in the left sector of the 35th Division's zone, while the 137th Regimental Combat Team ground forward in the right sector against small-arms, mortar and self-propelled-artillery fire from high ground in the vicinity of Kamp (A1523). The 88th Cavalry Squadron completed the clearance of all enemy resistance in the former zone of the 8th Armored Division. The 35th Division's 134th Infantry Regiment closed in an assembly area near Hartefeld (A0522). The 15th Cavalry Group screened the Corps left flank in the vicinity of Geldern (A0225)-Issum (A0927), while the 75th Infantry Division continued to screen the northern positions in the Venlo area.
Vehicles of the 35th Infantry and 8th Armored Divisions line the streets of Lintfort, Germany, as these forces capture the city on 5 March 1945, in the XVI Corps drive to the west bank of the Rhine River.
5 March 1945. A two-mile advance against intense enemy machine-gun and harassing artillery fire was completed by Task Force Byrne and the 137th Regimental Combat Team as they continued pushing toA column of 35th Division infantrymen move through Rheinberg, Germany, under enemy mortar fire (left), while an armored vehicle supporting the attack rolls past a knocked-out German antitank gun in the city (right).
ward Lintfort. The 8th Armored Division's Combat Command B, which had been attached to the 35th Infantry Division, joined in the attack at 0800 hours, and the city was cleared by 1100 hours. Combined to form Task Force Murray, the 137th Regimental Combat Team and the 8th Armored Division's Combat Command B smashed into Rheinberg (A2128) near the west bank of the Rhine and began battling for the town against desperate German forces employing every available weapon to hold their ground.
6 March 1945. German forces, overwhelmed by the Corps' relentless drive, blew bridges over the Alter Rhein and fell back from Rheinberg. Task Force Murray cleared the town, and with its capture and subsequent advance to the Rhine River's west bank, the XVI Corps completed its assigned mission.
A New Task
A new task, however, was in the offing as it became evident that the enemy was attempting to evacuate his largest group of troops across the Rhine River over bridges in the Wesel area. The Corps' north boundary was again extended so as to include the Wesel area in its zone of advance, and XVI Corps moved to smash the enemy's last foothold on the west bank of the Rhine. This Wesel bridgehead was of primary importance to the Germans because it was the only escape route open to their forces. It was imperative that the enemy maintain that bridgehead and he was prepared to resist fiercely and strongly all attacks as he used every available means of transportation to evacuate his troops to the river's east bank.
The 35th Infantry Division was aimed at vital objectives, chief among which was the road junction at (A168336) where the Geldern–Issum–Wesel road crossed the Xanten–Rheinberg highway, and the Division's battle-scarred forces opened what was to become a relentless drive, grinding the enemy area smaller and smaller and forcing him back step by step to his complete collapse on 10 March 1945. As Task Force Murray cleared Rheinberg, Task Force Byrne drove forward two miles in the left sector of the 35th Division's zone. The 88th Cavalry Reconnaissance Squadron cleared out isolated pockets of resistance in Budberg (A2426), Eversael (A2528) and sixteen other small nearby towns and patrolled the west bank of the Rhine River from the vicinity of Rheinberg to the southern border of the Corps territory. The 8th Armored Division maintained security patrols in the vicinity of its assembly area while remaining in Corps reserve. Additional forces were placed under XVI Corps control with the attachment of the 30th Infantry Division and its semi-organically attached 823d Tank Destroyer Battalion, 531st Antiaircraft Automatic Weapons Battalion, and 843d Tank Battalion.
7 March 1945. Onward-driving 35th Division forces met heavy resistance from small-arms, automatic-weapons, mortar, and antitank fire from cellars, buildings, and dug-in positions along the general line Ossenberg (A1930)–Millingen (A1830)–Huck (A1631)–Alpon (A1531), as the enemy clung stubbornly to his bridgehead. Task Force Byrne gained a mile in the left sector of the zone, while Task Force Murray advanced to the outskirts of Ossenberg in the right sector and initiated the assault on the town. One hundred Lancaster bombers attacked Wesel,
and five flights of fighter-bombers hit targets in the ground troops' line of advance, strafing and bombing Borth (A18435) and Wallach (A19338). The 88th Cavalry Reconnaissance Squadron (8th Armored Division) maintained active patrols on the west bank of the Rhine River from Rheinberg to Orsoy (A2725) until relieved by elements of the 75th Infantry Division's 291st Regimental Combat Team. The 75th Division reduced isolated pockets of enemy resistance in the Corps rear area; the 8th Armored Division remained in its assembly area as a part of Corps reserve; and the 30th Infantry Division closed in an assembly area near Echt to begin training and preparation for future operations.
8 March 1945. Fighting from house to house, Task Force Murray captured Millingen (A1830) and occupied Ossenberg as the enemy held tenaciously to his lines. Task Force Byrne made slight gains against the stiffest type of resistance. A decrease in German artillery fire was offset to a great extent by its increased accuracy, and shelling late in the day from east of the river indicated that some artillery units had moved across the Rhine. The enemy also employed considerable Nebelwerfer, mortar and some 20mm. antiaircraft fire against Corps forward elements. Hostile tanks in the Millingen area and the capture of prisoners from the 116th Panzer Division confirmed the continued presence of that division west of the Rhine. Corps artillery units shelled twenty enemy batteries during the day and also pounded three towns, firing 429 missions. Other XVI Corps units remained in reserve, policing areas and training for the crossing of the Rhine. Many units attached to other forces for operations were released to parent groups. The 79th Infantry Division with its attached 463d Antiaircraft Automatic Weapons Battalion, 717th Tank Battalion and 813th Tank Destroyer Battalion, were again attached to the Corps. The XVI Corps command post was moved from Kaldenkirchen (E9203) to Neukerk (A0518) at 1200 hours.
9 March 1945. Task Force Byrne and Task Force Murray gained about a mile against continued strong opposition. With 11 battalions participating, Corps artillery supported their attack greatly, beginning with a thirty-minute preparation at 0600 hours and maintaining continuous harassing and interdiction fire throughout the day. Firing 344 missions, artillery units shelled Drupt (A1732), Borth (A1833) and Wallach (A1933) as well as barge assembly points on the east bank of the Rhine. Enemy artillery increased its shelling in support of the slow withdrawal of Nazi troops across the Rhine, with Orsoyerberg (A2524) as the principal target. The 291st Regimental Combat Team continued defense of the west bank of the Rhine in the Corps zone, and the 15th Cavalry Group cleaned up isolated pockets of resistance in the area centering around Neukerk (A0518). The 8th Armored Division and the 30th, 75th and 79th Divisions remained in assembly areas.
10 March 1945. The enemy's destruction of the Wesel bridges early in the morning proved the forerunner of swiftly moving events. Passing through Task Force Byrne, the 35th Infantry Division's 134th Infantry Regiment attacked to the northeast at 0630 hours. The 1st Battalion cleared Borth (A1833) while the 3d Battalion cleared Drupt (A1732), a factory district at (A17939) and then Buderich (A2037), advancing approximately four miles against weakening resistance. Task Force Murray advanced to Wallach (A1933), its final objective, and cleared the town by noon. Task Force Byrne supported the attack of the 134th Infantry by fire, and when the 134th had passed through, Task Force Byrne was dissolved. Elements of the 3d Battalion, 134th Infantry, pushed to within a hundred yards of Fort Blücher (A2139) by 2400 hours. Corps Artillery, supporting the day's attack, poured shells into Drupt, Borth, Hillmannshof (A1732), and Ork (A2133). Artillery also pounded enemy artillery positions and hit barges in the Rhine River, firing 419 missions. The 75th Infantry Division's 289th Regimental Combat Team assumed responsibility for defense of the west bank of the Rhine.
During the seventeen days' duration of the Corps offensive, the enemy suffered heavy losses in casualties and prisoners while Corps losses were relatively few. A comparison of over-all losses for this operation is illustrated graphically below.
CROSSING OF THE ROER RIVER
23 FEBRUARY - 11 MARCH 1945
11 March 1945. A garrison holding Fort Blücher surrendered at 0837 hours to the 134th Infantry's 3d Battalion and, with their surrender, the XVI Corps completed its role in Operation Grenade during which it smashed 45 miles from positions west of the Roer River to the Rhine River and then north along the Rhine in sixteen historic days. This combat operation accomplished the crossing of the Roer River, the drive across the Cologne Plain, and the closing of the last gap, the Wesel pocket along the Rhine River.
Troops of the XVI Corps held a 23,500-yard front along the Rhine River at the close of the operation as a result of the outstanding performance of its units and a brilliantly directed drive that grasped and exploited to the fullest extent every opportunity that arose, even though the original plan did not propose to have the XVI Corps included in the Ninth Army zone on the west bank of the Rhine. In the accomplishment of the furious offensive, the attached units performed their assigned tasks with skill, daring, and highly commendable employment of military tactics. The task of driving the enemy toward the Rhine was very commendably accomplished by Task Force Byrne and Task Force Murray of the 35th Infantry Division.
The aid rendered by the 15th Cavalry Group on the left or north flank of the Corps was invaluable. That Group maintained excellent liaison between the British and Canadian forces and the XVI Corps throughout the drive. In accomplishing this mission, it utilized only secondary roads and made its own routes of advance. It was the first to contact the Canadians on 3 March 1945 in the town of Walbeck, and until the Wesel bridgehead was eliminated, it maintained constant contact between British and American troops.
The task of the 35th Infantry Division, the 8th Armored Division, and the 15th Cavalry Group had been doubly difficult because of the narrowness of the Corps sector, which restricted the maneuvering of troops and utilization of all units available, plus the fact that the roadnet in the Corps zone was pitifully inadequate for the job that was being accomplished. The antiaircraft protection afforded Corps troops and installations by the 18th Antiaircraft Artillery Group, the skillful performance of all Corps engineer units, and the invaluable assistance rendered by all supporting service units contributed immeasurably to the success of this operation.
III: THE RHINE RIVER CROSSING
Great events in the history of mankind were in the making, and the XVI Corps was selected to write a very important chapter by its spearheading the U. S. Ninth Army's drive across the Rhine River to open the route to Hannover, Magdeburg, Leipzig, and Allied victory. This elaborate operation was part of the strategy involving the entire British 21st Army Group. The British Second Army was to cross the Rhine River in the vicinity of Xanten and Rees, capture Wesel, and advance to the east. The First Allied Airborne Army, utilizing the U. S. XVIII Airborne Corps and two airborne divisions, was to make an airdrop northeast of Wesel. The Ninth Army was to cross the Rhine River in the vicinity of Rheinberg to secure that portion of the Army Group's bridgehead within its zone. In the Ninth Army's "Operation Flashpoint" the XVI Corps was selected to make the main effort, and of the Army's three corps, it alone was to cross the great river barrier on DDay in one of the most outstanding inland amphibious operations ever conceived.
Carefully considered plans for the operation, extending to the most minor details, were begun by Maj. Gen. John B. Anderson, Corps commander, and his staff, as early as January 1945. Long hours were devoted to arrangements for the movement and massing of tens of thousands of tons of assorted equipment, the determination of the type and number of troops to be employed, the study of currents, river bottoms, and flood data for the selection of crossing sites, and finally, taking all these factors into account, to mapping a strategic battle plan that would cover every possible exigency that might arise.
Preliminary training for the execution of these plans was initiated while the Corps was still driving toward the Rhine from its Roer River bridgeheads in Operation Grenade. The 30th and 79th Infantry Divisions, selected to make the assault crossing for the Corps, completed ten days of amphibious training on the Maas (Meuse) River in Holland, as they prepared their troops under Corps direction for all phases of the river-crossing operation. The 35th Infantry Division moved into an assembly area following the conclusion of Operation Grenade on 11 March 1945. After rest and refitting, this division, along with the 8th Armored Division, began preparations for the impending blow across the Rhine. The 75th Infantry Division, with the 15th Cavalry Group attached, continued to patrol the XVI Corps sector on the west bank of the Rhine, probing German positions across the Rhine, and defending Corps positions from any possible thrust by the enemy.
Units of many types were added to the Corps' strength as the days of preparation passed and plans for the tremendous operation grew to completion. One of the greatest artillery concentrations in the history of warfare had been massed in the Corps sector to blast the way for the infantry divisions and attached units and to support them as they drove forward. The 34th Field Artillery Brigade with its heavy artillery battalions, and the XIX Corps Artillery Fire Direction Center with attached field artillery groups, functioned directly under the XVI Corps Artillery headquarters. The massed artillery included nine field artillery groups and the artillery from five divisions, totalling in all, 54 field artillery battalions. Participating were the 119th, 219th, 223d, 252d, 258th, 349th, 404th, and 422d Field Artillery Groups. Two field artillery observation battalions, the 291st and 14th, furnished highly accurate survey, meteorological, and hostile battery data. In addition, the XIII Corps Artillery assisted by powerful concentration on the densely populated area opposite the southern portion of the XVI Corps zone.
Engineer units selected to support the Corps in this special mission included the 1103d, 1148th and
Troops of the assault divisions witness amphibious maneuvers of a Weasel in the moat of Hoensbrock Castle (left), and Alligator crews practice land operations (right). All XVI Corps troops involved in the initial assault crossing of the Rhine spent ten days of intensive training in an area adjacent to the Maas (Meuse) River in Holland in preparation for this operation.
1153d Engineer Combat Groups. These groups, in turn, supervised the activities of two light ponton companies, two heavy ponton battalions, three treadway bridge companies, nine combat battalions, and four amphibious truck companies of the Transportation Corps, as well as a naval unit and a harbor craft company detachment. Other units placed under the Corps' direction for the impending operation included the 12th Tank Destroyer Group, which coordinated the operations of six tank destroyer battalions, and six separate tank battalions with companies from two other tank battalions. Antiaircraft protection was furnished by the 18th and 26th Antiaircraft Artillery Groups, which directed the operations of six separate antiaircraft artillery battalions and a searchlight battery. A chemical smoke generator battalion with two smoke generating companies, and several miscellaneous small units completed the Corps combat troop list totalling 120,000 men, a tremendous number seldom placed under the direction of a single corps.
Plans and preparations for the great river-crossing operation were arranged in such detail that every man was provided sample situations that he would probably meet in the actual crossing and subsequent action on the east bank. Infantry, armor, artillery, engineer, signal, and all other arms and services were given thorough training in all of the details involved. In the divisions, this orientation was extended down to the assistant squad leader. Nothing was left to chance. Every corporal was instructed in the mission and objective of his squad, what he was going to carry, the number of the craft he would cross in, who would be in the vessel with him, what German town or terrain feature they were to attack, what time the attack was to be launched, and many other similar details.
Patrol activity by both XVI Corps and enemy units marked the period between the elimination of the enemy's Wesel bridgehead on 11 March 1945 and the opening of the new offensive on 23 March 1945. Seventy-six prisoners of war were seized, most of them members of German patrols seeking information. Patrols from the 75th Infantry Division met intense small-arms and machine-gun fire and large
Prior to the Rhine crossing, all participating troops were thoroughly oriented on every detail with which they would be concerned. Here, by the use of a terrain table, an officer of the 8th Armored Division reviews details of impending operations with his men.
numbers of hand grenades from dug-in positions as they probed the German line along the east bank of the river, seeking information to supplement facts already known on the disposition of German troops and strength of their defenses. These night patrols frequently suffered heavy casualties or were unable to accomplish their mission because of the tense alertness of enemy outposts anxiously awaiting to discover the first indication of any American offensive. However, one of these patrols which landed at (A227307) south of Mehaum succeeded in penetrating as far inland as the first dike and encountered what appeared to be a strong outpost line, well established with reliefs.
Scattered enemy artillery batteries shelled towns along the west bank of the Rhine held by XVI Corps units, laying down harassing fire on Ossenberg, Millingen, Repelen, Borth, Rheinberg, and Wallach, and repeatedly on Orsoy. Spasmodic air assaults supplemented the artillery attacks. This artillery fire from enemy batteries began to show indications of a build-up south of the Wesel area (A2240) by 20 March 1945, generally along the road from Wesel to Letkampshof (A3232). Four bridges over the Lippe-Seiten Canal south of Wesel were destroyed by enemy demolition squads.
Identifications of prisoners of war seized by 75th Infantry Division units indicated that elements of the 2d Parachute Lehr Group held the east bank of the Rhine between Walsum (A2926) and Duisburg (A3117), and that elements of the 180th Volks grenadier Division were entrenched in the northern part of the front facing the XVI Corps. It was also indicated that the 116th Panzer Division was being held in reserve. In addition to these major units, there were a number of artillery, antiaircraft artillery and replacement battalions, some Volkssturm units, and organizations made up of policemen and members of the Duisburg fire department opposing the Corps. The 180th Volks grenadier Division, which was to take the initial brunt of the Corps assault across the Rhine, had been strengthened, it was later learned on contact, by the addition of the former 588th Regiment of the Volks grenadier Division Gross Hamburg, and by the addition of one Ohren (Ears) and one Magen (Stomach) battalion. The 2d Parachute Division, despite the priority of parachute divisions on replacements, was still understrength as a result of its losses on the western side of the Rhine. The 116th Panzer Division had received a large number of replacements since its commitment west of the Rhine, although some of its armor had been destroyed by Allied fighter-bombers in assembly areas, cutting its potential power to some degree.
Saboteurs were seized on 16 March 1945, near Greifrath (A0305), and it was learned that there were possibly ten other detachments of saboteurs in the Corps area ready to strike vital blows at any vulnerable point that might present itself. Seizure of his agents showed the enemy still lacked definite knowledge of the XVI Corps situation, but that he was not completely ignorant of the activity of the Corps and of the British Second Army on the north. The tempo of enemy air activity showed a steady increase, with hostile aircraft bombing and strafing of forward elements. A group of twelve enemy aircraft swept over the area west of Lintfort (A1722) on 18 March 1945, and other small groups made forays on other occasions. Enemy parachutists were seen falling behind XVI Corps lines on 19 March 1945, after enemy aircraft had been spotted overhead just a few hours after the Corps had moved its command post from Neukirk (A0518) to Lintfort.
Capture of a German officer, only survivor of a five-man patrol, on 22 March 1945, revealed that an order outlining detailed instructions for defense of the east bank of the Rhine had been issued by the German LXXXVI Corps. This order indicated the possibility of an airborne landing in cooperation with a river crossing and revealed that the enemy erroneously expected the crossing would be attempted between Emmerich (K9761) and Wesel, accompanied probably by a feint attack south of Wesel. The officer reported that a defensive position had been prepared but not occupied along the Wesel-Dinslaken railroad, that the first and main defense line had been dug in at the rear of the slopes of the dikes, with machine guns emplaced to fire onto the west bank. He further stated that there were barbed-wire entanglements in front of the dikes, and rolls of concertina wire placed behind the dikes for emergency use, and that large numbers of antitank and antipersonnel mines were being laid in the sector.
Enemy railroad traffic grew steadily greater, and air observation disclosed the movement of armored equipment into the sector across the Rhine from XVI Corps. Long, heavily loaded trains had been observed for days moving toward the Ruhr Valley. Intense activity was noted in Ruhr marshalling yards, practically all of which were filled to capacity, with the overflow parked on sidings and along main lines. Many trains had multiple engines, indicating the
Giant trucking operations were under way in the XVI Corps sector just prior to the river-crossing operation, as heavy Ordnance vehicles moved up road- and bridge-building materials, storm and assault boats, and landing craft. At left, landing craft that had been set ashore at Le Havre, France, are trucked forward to the vicinity of Lintfort, Germany.
heavy character of the loads carried. Barge traffic, quiet during the day, was apparently active at night, judging from sightings of moored craft all along the Lippe-Seiten Canal and the appearance of a rather formidable balloon barrage about the juncture of the Lippe-Seiten and Dortmund-Ems Canals at (A7440).
The XXIX Tactical Air Command, working in cooperation with the Corps, hammered enemy road and rail traffic east of the Rhine River and conducted aerial reconnaissance flights deep into the German sector. Ground troops of XVI Corps that were selected to lead the attack across the river began moving forward under cover of darkness from the Maas (Meuse) River training areas. During the period of 21-23 March 1945, the 30th and 79th Infantry Divisions closed into forward assembly areas, the 30th into an area southwest of Alpen (A1531) and the 79th into a sector below Rhein (A2021). The two divisions' assault regiments then moved into advanced positions on 23 March 1945. The emplacement and registering of additional artillery units continued in such a manner that there was little or no indication of this activity. Positions were dug into the west bank river dikes for the hull-down emplacement of tank destroyers for direct fire on the far shore. A huge smoke screen, 68 miles in length and emitted from thousands of smoke pots, shrouded the west bank of the Rhine River and all Corps operations as well as those in sectors above and below the Corps front.
The XVI Corps front on the Rhine River extended from the vicinity of Buderich (A2037) on the north to the vicinity of Homberg (A2118) on the south, a distance of approximately 12 miles. The date of 24 March 1945 was set as D-day for the operation, and
Many routes had to be widened and cleared of debris for the passage of the heavy vehicles transporting equipment to the west bank of the Rhine River for the crossing operation. At left, a bulldozer clears a route through Alpen, Germany. At right, Alligators are being unloaded in the vicinity of Rheinberg, Germany.
Personnel of smoke-generating companies were busily engaged in the operation of their equipment. A huge smoke screen, 68 miles in length and emitted from thousands of smoke pots, shrouded the west bank of the Rhine River and all XVI Corps operations, as well as those in sectors above and below the Corps front.
H-hour was 0200 hours for the 30th Infantry Division and 0300 hours for the 79th Infantry Division. Plans for Operation Flashpoint provided that the 30th Division would cross the Rhine at three crossing sites in the northern portion of the Corps zone and the 79th Division would cross at two crossing sites in the southern portion. The 75th Division and the 15th Cavalry Group would hold the west bank of the river, and the 8th Armored and 35th Infantry Divisions would remain in Corps reserve, guarding vital roads and bridges and providing security in the Corps rear area. All troops not participating in the assault crossing were to be prepared to assemble in pre-designated localities and cross the Rhine River on Corps order to exploit the bridgehead gained by assault elements. Attempts to deceive the enemy as to actual crossing sites were to be made by having the XIII Corps on the south stage feints and demonstrations and execute false preparations in its zone. Lending strength to this deception, supporting engineer units waited until the night of 23-24 March 1945 before they brought forward their bulldozers to cut through the dikes. The many weeks of thorough, careful planning, intensified and detailed training, and extensive preparations were thus brought to a powerful climax. The eve of this great undertaking was at hand.
General of the Army Dwight D. Eisenhower, Supreme Commander of Allied Forces in the European Theater of Operations, and Lieut. Gen. William H. Simpson, commanding the U. S. Ninth Army, visited the XVI Corps headquarters, observed initially the firing of heavy artillery in a bombardment of Wesel, and then proceeded to an observation point to witness from there the preparations for the great offensive and the initial operations of the historic smash across the Rhine. Generals Eisenhower and Simpson walked with the infantrymen as they moved up to their positions and talked with several of them. Both commanders in later comments paid tribute to these men and the attitude they displayed as they prepared to hit the opening blow in the great assault.
The 9th Bombardment Division of the XXIX Tactical Air Command, operating in conjunction with the Corps, blasted Dinslaken (A3129). Corps Artillery maintained a light harassing program during the day. With the arrival of dusk, XVI Corps forces swiftly put in motion those details of preparations that were delayed until the last moment to mislead the enemy as to the power massed against his front for the impending drive. Infantry commanders prepared to move their troops to the waiting assault craft. Artillery units made certain everything was set to open their great barrage. Engineers brought up their bulldozers ready to cut through the dikes. Truckloads of road-building and bridging equipment were lined up behind the embankments to roll to the river as soon as the bulldozers opened the way. The stage was set to the smallest detail for the grand opening of Operation Flashpoint. The
30th and 79th Infantry Divisions were poised. Every unit of every description that constituted the Corps' great force of 120,000 men was ready to do its part. The British Second Army and the First Allied Airborne Army had already struck in the north.
24 March 1945. The Corps' mighty mass of artillery opened the thunderous attack with a sixty-minute preparation that will long be remembered throughout the Rhineland, as field and self-propelled pieces, tank destroyer guns and mortars cut loose in a veritable cyclone of sound. The heavy guns rumbled and roared turning the night into a bedlam of destruction for the stunned and shaken enemy as artillermen slammed shell after shell into the weapons. The brown German earth trembled with the concussion and recoil as the big guns roared away, rocking the cardrums of men on both sides of the river. Each minute, 1,087 shells, ranging in weight from 25 to 325 pounds, were sent crashing across the Rhine for a total of 65,261 rounds or 1,820 tons for the one-hour preparation barrage. This rate of artillery fire was followed in the succeeding four hours by a continued heavy volume of shells, raising the total to 131,450 rounds or 3,865 tons for the period from H minus 1 to H plus 4 hours, a rate of 547 rounds per minute. The Corps and Division artillery units continued to blast the enemy at a heavy rate throughout the ensuing twenty-four hours. Altogether, 218,727 rounds, or 6,509 tons were fired during the period from H minus 1 to H plus 28 hours, at an average rate of 148 rounds per minute.
Ten thousand planes, striking from Britain, France, and advanced bases inside the Reich, ranged over the German front and far behind it, bombing and strafing enemy airfields and road and rail communications. One thousand and fifty Flying Fortresses and Liberator bombers pounded twelve airfields within range of the XVI Corps front, and 450 other bombers struck later at four enemy night-fighter bases nearby. This mighty artillery bombardment and accompanying air attacks were described by German forces as the worst Feuervzauber they had ever experienced, a primary contributing factor to the success of the assault across the Rhine River.
Infantrymen of the 30th Division began moving up to the storm and assault boats which were assembled near the river, with their 55-horsepower motors warmed up and covered to keep them from cooling and stalling. Infantry and engineers together moved the craft to the water's edge, and from
General of the Army Dwight D. Eisenhower, Supreme Commander of Allied Forces in the European Theater of Operations, poses for a picture at the XVI Corps command post in Lintfort, Germany, on the eve of the crossing of the Rhine River. (top).
General Eisenhower is pictured below commenting on the crossing operations as he witnessed them from an observation point on the Corps front at the time of the assault.
A battery is shown in action during its participation in the great barrage. One of the greatest concentrations of artillery pieces ever assembled, including 1,050 weapons ranging in caliber from 75 to 240 millimeters, was arrayed on the XVI Corps front for participation in the preparation fires that opened the Corps' drive across the Rhine River. These guns were emplaced over 20,000 yards of front, providing a coverage of 19.5 yards per weapon, which was reduced to 15.6 yards per weapon with the employment of 252 guns of three tank and two tank destroyer battalions attached to the assault divisions.
there they could see the enemy installations on the far side of the river being pounded by artillery. The hour for the assault was at hand, and the crash of artillery on the opposite shore lifted. The assault battalions jumped off, each in four waves with two-minute intervals between waves. Each stormboat carried 2 engineers and 7 infantrymen, and each double assault boat transported 14 infantrymen and 3 engineers. Heading across the river and propelled at a rapid rate, these vessels were swallowed up in the smoke screen that hovered over the crossing sites. The men hugged the bottom of the boats and ducked the spray. Boundaries for the crossing lanes of the first wave were marked by machine guns firing tracer ammunition. After the initial wave landed, aircraft control lights were placed to mark crossing boundaries of succeeding waves. As bottoms of the craft scraped the far shore, the infantrymen leaped out and moved up rapidly toward the enemy positions with elements of three regiments abreast. Remaining battalions of these assault regiments followed in rapid succession, crossing in vehicle and personnel, medium, tank, and other available landing craft. The loss of amphibious craft through enemy action or mechanical failure during the entire operation was negligible, and more than sufficient water transportation was continually available for movement of infantry and supporting troops to the rapidly expanding beachhead. Tanks were launched within one-half hour after the jump-off and were beached on the far side of the river in less than three hours. Combat elements continued to pour across the Rhine, and the rafting of tanks and tank destroyers was well under way.
First waves of the 79th Infantry Division started to cross the Rhine at 0305 hours in the southern portion of the Corps zone, using the same type of landing craft employed by the 30th Division. The 79th Infantry Division crossed at two crossing sites with the 313th and 315th Infantry Regiments abreast. All boundaries for this assault were marked by colored lights. Difficulties associated with the construction of roads from the dikes to bridge and ferry sites, the launching of landing craft, and the maintenance of beach and water traffic discipline were skillfully surmounted by the Corps engineer units. Their teams functioned so efficiently that by 0600 hours they had transported eight infantry battalions of the 30th Division and five infantry battalions of the 79th Division to the Rhine's east bank. German
At left, a portion of the large stocks of ammunition assembled to feed the guns is shown, while at right is pictured the emplacement of one of the 8-inch rifles of the 34th Field Artillery Brigade.
Engineer operations in the XVI Corps Rhine River crossing.
A 30th Infantry Division machine gunner occupies a position on the west bank of the Rhine to assist in protecting crossing operations (left), and infantrymen of that division file toward a loading point on the river bank prior to their assault crossing (right).
troops were found dazed from the artillery bombardment and rapid assault by the 30th and 79th Divisions' infantry elements. Prisoners related that XVI Corps troops overran their positions before they had time to emerge from their dug-in positions.
Construction of the first bridge, an M2 treadway, across the Rhine River at Wallach was begun by engineers at 0630. Even though at 0830 hours it was found necessary to change the alignment of the bridge one hundred yards in order to take advantage of the existing roadnet on the far side, this 1,150-foot bridge was completed by 1530 hours. Construction of east-bank approaches began at 1045 hours, and by 1600 hours the bridge was open to traffic. Here, as in other phases of the operation, detailed planning and advance preparation contributed greatly to the speed and success of accomplishment. Floats for this bridge were inflated, assembled, and loaded on vehicles for movement to the water's edge well in advance. The plan for construction involved the use of three section assembly sites on the west shore in addition to the actual bridge construction site, and the completion of this structure under enemy fire in nine and one-half hours was a remarkable feat.
The towns of Mehrum (A2231), Götterswickerhamm (A2532), and Ork (A2133) were captured by 30th Infantry Division troops by 0600 hours. Opposition was light, and these troops continued their assault against increasing resistance, clearing Mallen (A2732), Vorde (A2633), Lohnen (A2533), Stockum (A2534), and Friedrichsfeld (A2537). Elements of the 119th Infantry crossed the LippeTanks of the 79th Infantry Division move through the town of Overbrüch, Germany (left), while infantrymen of the same division who captured the town move on to new objectives.
Seiten Canal at (A225373), directly north of Spellen, and advanced north to the Lippe River. By 2400 hours, the 30th Infantry Division's advance elements were driving along the southern border of the Lippe River toward Dorsten. Units of the 79th Infantry Division seized Walsum (A2826), Overbrüch (A2927), and Dinslaken (A3129) in a steady advance against generally light resistance which increased in intensity at prepared strong-points. At the close of the day, this division's advance units were approaching the outskirts of Hamborn (A3322) on the southern edge of the Corps bridgehead and were closing in on the Autobahn, a superhighway running along the northern edge of the Ruhr industrial area.
The 75th Infantry Division and the attached 15th Cavalry Group supported the assault across the Rhine by fire from their west bank positions, and, after the 30th and 79th Divisions had passed through them, they protected the bridge and crossing sites west of the river. The 1st Battalion, 290th Infantry Regiment, crossed the Rhine at 1954 hours to protect bridging operations at (210343) slightly north of Wallach, and at (A212337) almost directly east of Wallach. The Division established a log boom across the river in the vicinity of (A270295) across from Dinslaken, but it was destroyed by enemy fire. The 35th Infantry Division and the 8th Armored Division remained in assembly areas as Corps reserve. The 8th Armored Division maintained security of the Corps rear area, while the 35th Division infantrymen patrolled roads and guarded bridges in their sector.
By the end of this eventful day, the 30th Infantry Division had moved nine infantry battalions, two tank battalions, one tank destroyer battalion and two field artillery battalions to the east bank of the Rhine. The 79th Division had transferred nine infantry battalions, one tank battalion, and one tank destroyer battalion to the far side, and one infantry battalion of the 75th Division had crossed. The results of careful planning, meticulous attention to details, and
Antiaircraft units attached to XVI Corps engaged enemy aircraft and operated barrage balloons to protect sites where bridges were rapidly being constructed by engineer units. At left, barrage balloons are ready to be launched for protection of a bridge over the Rhine River at Ossenberg. At right, having dug in their position near the Rhine, a gun crew of an automatic weapons battalion is prepared to open up on any hostile aircraft coming in range.
Prime Minister Winston Churchill crosses the Rhine in the XVI Corps zone. At the extreme left is Maj. Gen. John B. Anderson, Corps commander. Next to him are Lt. Gen. William H. Simpson, Ninth Army commander and Field Marshal Sir Bernard L. Montgomery, commander of 21st Army Group. The British officer at the extreme right is Field Marshal Sir Alan Brooke, Chief of Staff of the British Army.
Skillful execution of this hazardous operation by all units was again revealed in the extremely small number of casualties suffered by troops under the XVI Corps; such losses included 38 killed, 426 wounded and 3 missing. Elements of the Corps captured 1,896 prisoners of war, and it was estimated that the enemy lost 250 killed and 430 seriously wounded.
The Corps Artillery fired 3,378 missions in support of ground operations and in a counterflak mission as assistance for the airdrop north of Wesel. The XXIX Tactical Air Command flew missions throughout the day for XVI Corps, providing air cover over crossing and bridging sites and completing aerial reconnaissance missions deep into enemy territory.
A bridgehead had been established by the British on the north, the XVI Corps' left flank, and a Commando brigade had occupied Wesel (A2240). The U. S. 17th Airborne Division and the British 6th Airborne Division, operating under the U. S. XVIII Airborne Corps, had made an airdrop north of Wesel and had established contact with elements of the British XII Corps. The XIII Corps on the XVI Corps' right flank, had continued defense of the west bank of the Rhine River in their zone and had supported the XVI Corps attack with artillery fire.
25 March 1945. The Corps continued to enlarge its bridgehead east of the Rhine River as the completion of additional Class 40 bridges hastened the movement of all types of units, equipment, and supplies across the water barrier. Construction of a heavy ponton bridge (reinforced) just south of the original M2 treadway bridge was completed by 0100 hours, and this 1,150-foot span was opened to traffic by 0630 hours. Completion of the M1 treadway bridge at Mehrum was delayed by observed enemy artillery fire on the bridge site, but this route was also open to traffic at 0830 hours.
Prime Minister Winston Churchill of Great Britain; General of the Army Dwight D. Eisenhower, Supreme Commander of Allied Forces in the European Theater of Operations; General Omar
Tank destroyers roll along a road beyond Haulthausen, Germany, as 30th Division infantrymen advance on the flanks (left). The town of Dinslaken, Germany, was severely attacked by Allied aircraft and artillery prior to its capture by men of the 79th Infantry Division (right). This is a typical street scene in the town after its capture. Note that only one civilian appears in the street.
N. Bradley, commander of the U. S. 12th Army Group; Field Marshal Sir Bernard L. Montgomery, commander of the British 21st Army Group; Lt. Gen. William H. Simpson, commander of the U. S. Ninth Army; and Field Marshal Sir Alan Brooke, British Chief of Staff, visited XVI Corps headquarters to witness the Rhine crossing operations as Corps forces continued to forge ahead. Accompanied by Maj. Gen. John B. Anderson, commander of the XVI Corps; Brig. Gen. Charles C. Brown, XVI Corps Artillery commander; and Col. George R. Barker, Corps Chief of Staff, they had a picnic luncheon in the field and then proceeded to an observation point on the banks of the Rhine where they observed bridging and ferrying operations.
While they looked on, 14 more field artillery battalions, five more infantry battalions and a cavalry reconnaissance squadron crossed the river on ferries and bridges as the 30th and 79th Infantry Divisions expanded the Corps bridgehead to a depth of eight miles and a width of seven miles in continued attacks to the east against generally light to moderate resistance, and the 35th and 75th Infantry Divisions began moving east of the river to join in the offensive.
The 30th Infantry Division cleared Buderich Island between the Lippe River and the Lippe Canal in the vicinity of (A2338) with little difficulty, but troops of the division battled with every resource for positions in the vicinity of the autobahn north of Brückhausen (A3134) as the enemy directed antiaircraft guns at Corps ground troops from previously prepared positions. The 15th Cavalry Squadron crossed the Rhine River to hold Buderich Island after it had been seized.
Units of the 79th Infantry Division fought a furious engagement in Dinslakener Bruch (A2931) and captured Letkamshof (A3232) as other units consolidated positions on the Corps south flank. A small force of enemy tanks, believed to be the nucleus of a counterattack being formed north of Wehofen (A3220), delayed the 79th's advance for a time, but was effectively suppressed by supporting aircraft and artillery fire laid down three hundred yards ahead of the infantry. The XXIX Tactical Air Command furnished a squadron of fighter-bombers each hour to assist each division, strafing and bombing enemy defenses in a record total of 829 sorties. Thousands of Eighth and Ninth Air Forces and Royal Air Force planes maintained an unprecedented air pace for ground troops, attacking three underground oil depots believed to be supplying enemy vehicles defending the area north of the Ruhr River. The Corps
Troops and supplies continued to move eastward over XVI Corps bridges as German prisoners were moved to enclosures on the west side of the Rhine.
Artillery laid down a heavy harassing and interdiction program in supporting the Corps attack and the bridging and crossing operations, firing 1,272 missions. The XIII Corps Artillery fired 410 missions in support of XVI Corps operations.
Little small-arms fire was encountered by the ground troops during the day, but heavy mortar and infantry howitzer fire more than made up for that lack of fire power in the enemy ranks. Enemy artillery was largely scattered and uncoordinated, although interdiction fire was placed on the southern bridge site at (A290295), across the Rhine from Dinslaken. Eighty-five enemy aircraft strafed Corps units and attacked barrage balloons over the bridging sites, but Corps antiaircraft artillery units engaged them, destroying several and forcing others to disperse.
The success of crossing operations and continued
Infantrymen of the 30th Division pass a knocked-out German ambulance as they move hurriedly eastward through the Wesel Forest en route to Kirchelen, Germany (left), and combat soldiers of the same division pass a German 240mm. howitzer taken during their advance near Hunxe, Germany (right).
rapid expansion of the bridgehead east of the Rhine is evidenced by the fact that at the end of the day the Corps had moved 24 infantry battalions, 19 field artillery battalions, five tank and tank destroyer battalions, and many other supporting units to the east side of the Rhine River.
26 March 1945. The 30th and 79th Infantry Divisions moved steadily onward in spite of opposition offered by newly committed German elements, and the Corps bridgehead was extended to a total depth of twelve miles through gains of two to four miles to the east and southeast. The 35th Infantry Division completed movement of its forces across the Rhine and the 8th Armored Division, with the 75th's 290th Infantry Regiment attached, began moving into the bridgehead to play its part in the sweeping offensive. The 1,260-foot M2 treadway bridge at Milchplatz was completed at 1645 hours and opened to traffic at 1800 hours, considerable difficulty in construction and maintenance having been encountered as a result of enemy artillery fire on the site. Additional infantry elements, two chemical mortar battalions, six more field artillery battalions, and six antiaircraft artillery battalions crossed the Rhine River in a steady stream to add their strength to the swelling tide of XVI Corps forces driving steadily forward.
Difficult, heavily wooded terrain and stubborn opposition from anti-tank, tank, automatic weapons, and artillery fire failed to stop the 30th Division. Advancing three regiments abreast, the Division gained four miles and seized Hunxe (A3339). The 119th Regiment cleared a large portion of Gahlen (A4041) against very heavy resistance. A counterattack attempted in the vicinity of (A380348) about three miles east of Brückhausen at 0930 hours by hostile infantry and tanks was effectively repelled. Isolated enemy groups laid down heavy small-arms and automatic-weapons fire, as the 79th Division forged onward in the southern part of the Corps sector through open fields of farm land and small settlements of houses, with the smokestacks of the Ruhr industrial area dimly apparent off to the south. The 35th Division's 134th Regimental Combat Team (Task Force Miltonberger) advanced through the 79th Division area and attacked to the east at 0800 hours under the temporary operational control of the 79th Division. Gains of more than two miles were made against 20 mm. and self-propelled artillery fire. The 79th Division's 314th Infantry Regiment attacked on the left flank, keeping abreast of the 134th Regimental Combat Team, while the 313th Regiment consolidated positions and protected the division's right flank north of the Rhein-Herne canal. A counterattack mounted by the enemy near (A338276) east of Barmingholten about 1915 hours following heavy artillery and machine gun preparation was broken up by Corps Artillery.
The 15th Cavalry Squadron made contact with elements of the British 1st Commando Brigade at Lippendorf (A2338) after elements of the 75th Infantry Division's 291st Regiment took over responsibility for the defense of Buderich Island. The 75th Infantry Division made a new unsuccessful attempt to establish a log boom across the Rhine at the Homberg railroad bridge. The 35th Division's 137th and 320th Infantry Regiments closed in forward assembly areas east of the Rhine and conducted reconnaissance for future operations. Several of the field artillery groups attached to the XVI Corps for the crossing operation were released, their mission accomplished. The XXIX TAC attacked enemy gun positions and motor- and horse-drawn vehicles in their continued close cooperation with the Corps drive.
Eighteen out of 44 enemy aircraft strafing ground troops and flying reconnaissance missions were shot down by the Corps antiaircraft artillery units. Enemy artillery, mostly single pieces of light caliber, continued to shell the Corps' southernmost bridge and south sector of the bridgehead. Two regiments of the German 116th Panzer Division had joined in the fray during the day, plugging the holes torn in the ranks of the 180th Volksgrenadier Division by the Corps drive. Corps troops took a heavy toll of the new foe, however, capturing many hundreds.
At the close of the third day of crossing operations, the XVI Corps had transferred three complete infantry divisions, numerous groups and separate battalions, and a host of service units to the huge bridgehead east of the Rhine River.
27 March 1945. Gains of one to three and one-half miles were carved out all along the Corps front as elements of the 30th, 35th and 79th Infantry Divisions pushed forward. The 116th Panzer Division committed some of its tanks to support German infantry in the northern sector, while elements of the long-missing 190th Volksgrenadier Division joined in the battle in the south.
The 30th Infantry Division attacked, three regiments abreast, and beat back heavy resistance from small-arms, machine-gun, tank and artillery fire. The Division cleared the remainder of Gahlen (A4041) by 1330 hours. Elements of the 117th Regiment cleared Besten (A4139) later in the afternoon against stubborn opposition. The 320th Regiment (35th Division) captured a field artillery battery intact.
The 35th Division's 134th and 137th Infantry Regiments pushed forward, the 137th passing through the 79th Division's 314th Regiment, for gains of one thousand yards south and six thousand yards east through wooded terrain against small-arms, mortar, and artillery fire. Infantrymen of the 79th Division struck into the northern edge of the Ruhr industrial area along the Rhine River. The 313th and 315th Regiments attacked south advancing up to four thousand yards against light resistance. The 314th Regiment, on being passed through by the 137th Regiment, assembled and attacked eastward, gaining up to two thousand yards against dug-in 88 mm. guns. Troops cleared Wehofen (A3326), Horsterbruch (A3126), and Holten (A3525). Six thousand five hundred persons, including a thousand children, were found crowded into the three short subterranean passageways of a Wehofen mine shaft, waterless and foodless for three days. Ten of them were dead, four from Nazi machine-gun bullets fired into their group when they attempted to surrender earlier to 79th Division elements.
The 75th Infantry Division's 289th Regiment continued to defend the west bank of the Rhine, while the Division's 291st Regiment guarded bridges across the river. The 8th Armored Division completed moving its combat commands and attached units across the river, increasing Corps strength east of the Rhine by 2400 hours to 3 infantry divisions, 1 armored division, and Corps attached units consisting of 9 field artillery battalions, 3 antiaircraft artillery battalions, 4 engineer combat battalions and 2 cavalry reconnaissance squadrons. XVI Corps Artillery silenced several enemy batteries and a big railroad gun during the day, firing 845 missions. Twenty-six enemy planes attempting to attack Rhine crossing sites were effectively engaged by Corps antiaircraft artillery units.
28 March 1945. Corps forces cut the Autobahn near Duisburg, reached the Rhein-Herne Canal, and drove to within a mile of Dorsten as the enemy's 190th Volksgrenadier Division and elements of the 2d Parachute Division, reinforced by artillery, fought for every foot of ground. The 8th Armored Division, with the 290th Regimental Combat Team of the 75th Infantry Division attached, passed through the 30th Infantry Division and drove eastward two to five miles against heavy small-arms and direct antitank fire from dug-in positions along the Dorsten-Bottrop (A4326) road, and mines and infantry fire at Kirchhellen (A4334). The Division's Combat Command Reserve entered Zweckel (A4833) and its Combat Command A advanced to within a mile of Dorsten.
Following up the 8th Armored Division, the 35th Infantry Division mopped up by-passed pockets of resistance and seized Ostrich (A4240) in a two-mile advance. A four-mile stretch of the Autobahn was
German residents of Bottrop line the streets as these infantrymen of the 35th Division enter the town.
Combat men of the 79th Infantry Division (left) advance over rough terrain toward enemy-held positions southeast of Dinslaken. At right, a mortar crew of the 79th Division goes into action as its members lob 81mm. shells into Waldteich, Germany.
seized by the 35th Division as it swung forward, cleared Rentfort (A5431) and swept to the outskirts of Gladbeck (A4831).
The 79th Infantry Division moved into Hamborn and through the sea of twisted girders, wrecked machinery, and churned-up masonry that was once the enormous Thyssen Steel Works, armories for Hitler's conquering legions. The infantrymen pushed on, found Ruhrtort (A3218) evacuated, extended the Corps southern flank to the Rhine-Herne canal (A3520) southeast of Hamborn, and then ran into heavy concentrations of light artillery and intense small-arms, self-propelled-artillery, automatic-weapons, and mortar fire from strong positions along the Autobahn running north from the canal.
The 75th Infantry Division continued to provide rear area security and local protection of bridges across the Rhine. The XVI Corps Artillery fired 850 missions in supporting the Corps advance. Anti-aircraft and engineer groups were released from Corps attachment, their missions completed. Continuing to move forward, the XVI Corps closed its command post at Lintfort and opened at Letkamshof (A3232) at 1200 hours.
29 March 1945. Additional objectives, including Dorsten (A4640), Gladbeck (A4830), and Sterkrade (A3824), were seized by XVI Corps forces as they drove forward against moderate to heavy resistance. Eleven artillery battalions opened the assault on Dorsten, pouring hundreds of shells into the town from 0600 to 0615 hours. Infantry elements of the 8th Armored Division's Combat Command A and Combat Command Reserve then struck from the south and west, clearing the town by 1110 hours in the face of extensive use of mines, mortar, artillery, and antitank fire by the enemy. These two combat commands were then regrouped into five task forces, continued the attack eastward, cleared Feldhausen (A4735), and Ulfkotte (A4837), and opened a battle for Scholven (A5033), advancing approximately four miles.
Infantrymen of the 35th Division's 134th Regiment cleared Gladbeck against moderate resistance in a 2½-mile advance to the east. The Division's 320th Regiment drove over a mile southeast against heavy small-arms, mortar, and artillery fire and captured Jolster (A4025).
Sterkrade was captured by the 79th Division's 314th Regiment after a severe battle in which the Germans employed intense mortar and some direct artillery fire. Eighty-eight-millimeter guns were found later emplaced in concrete fortifications, proof against light and medium artillery fire. The Division's 315th Regiment advanced from the Autobahn along the north bank of the Rhine-Herne Canal.
30TH DIV.
79TH DIV.
MAR. 24TH
30TH DIV.
35TH DIV.
DINSLAKEN
79TH DIV.
RIVER
DUISBURG
RHINE
RUHR RIVER
N
XXX
XVI
LINTFORT
Perspective map of Rhine Crossing operations
against light resistance. The 313th Regiment patrolled across the canal into Duisburg.
The 75th Infantry Division began moving to a forward assembly area west of Dorsten prior to joining in the Corps offensive, and the 30th Infantry Division was placed in Corps reserve. The 29th Infantry Division, with the 821st Tank Destroyer Battalion, the 554th Antiaircraft Automatic Weapons Battalion, and the 747th Tank Battalion attached, located at Rheydt, Germany, was attached to XVI Corps. Artillery with the Corps fired 514 missions, including the attack on Dorsten. Enemy artillery decreased about fifty per cent during the period, the bulk of which came from the northern part of the sector. It was of light caliber, delivered against front lines and critical road intersections. Poor weather prevented any air cooperation by the XXIX Tactical Air Command.
30 March 1945. Moving ahead on a twelve-mile front, the Corps cleared numerous important towns in the Ruhr valley, gaining two to six miles, extended its front along the Rhine-Herne Canal to thirteen miles, and probed south into metropolitan Duisburg. The 8th Armored Division cleared Polsum (A5236) and Buer Hassel (A5234), advancing one and one-half miles through minefields against artillery, antitank and mortar fire. Division combat commands repulsed an enemy counterattack and destroyed five tanks. Elements of Combat Command Reserve reached Westerhold (A5434) during the morning, but heavy antitank fire forced a withdrawal of a thousand yards. Regiments of the 35th Infantry Division swept ahead four to six miles, reached the Rhine-Herne Canal and cleared Kol Welheim (A4726), Buer (A5231), Bottrop (A4326), and Eigen (A4427).
Infantrymen of the 79th Division's 314th Regiment attacked southeast at 0600 hours, met light opposition, and completed the Division's mission of clearing the area to the Rhine-Herne canal by 1415 hours. The regiment cleared Osterfeld (A4123), and a 313th Regiment patrol crossed the canal into Duisburg and entered houses there without opposition. Men of the 313th Regiment captured three submarine hulls in drydock on the canal just above Duisburg.
The 30th Infantry Division and 15th Cavalry Group were relieved from attachment to the Corps, the 29th Infantry Division prepared to move east of the Rhine, and the 75th Infantry Division assembled west of Dorsten in preparation for future operations. Corps Artillery fired 682 missions in support of the day's attacks. XXIX Tactical Air Command pilots cooperated closely with the Corps on aerial reconnaissance missions. Enemy planes made eight raids during the day, bombing and strafing the area between Dorsten and Gladbach. Corps antiaircraft units destroyed at least one. Enemy artillery activity continued to decrease.
31 March 1945. Four- to five-mile gains were made against resistance that grew more and more determined, the closer the Corps drove to the Nazi political stronghold of Recklinghausen (A6335). Prisoners seized during the day said the town was a fortress and that a main line of resistance extended from Recklinghausen north and west generally along the railroad to Haltern (A6149).
The 75th Infantry Division, passing through the 8th Armored Division with two regiments abreast, struck five miles eastward into Drewer Nord (A5641) and captured a huge synthetic-rubber plant and large supplies of raw materials near the town, at (A560435). The 289th Regiment seized Drewer Nord, Marl (A5439), and Kol Brassent (A5440). The 291st Regiment captured Sickingmuhle (A5744) and Drewer Mark (A5543). The 8th Armored Division's Combat Command Reserve gained four miles despite heavy resistance from small infantry-tank-artillery teams and high-velocity antitank fire at critical terrain points. The division's Combat Command B began moving across the Lippe River, en route to Selm (A8144).
The 35th Infantry Division, in a four-mile advance, cleared the area north of the Rhine-Herne Canal to a point at (A548276) opposite Gelsenkirchen. The 320th Infantry crossed the Emscher Canal to clear the factory area between the two canals and seized Karnap (A4925) and Horst (A5026). The 137th Infantry cleared Buer-Erle (A5529), while the
134th Infantry cleared Buer Resse (A5631), Herten (A5832) and Stuckenbrisch (A5934). The 79th Infantry Division defended the Corps southern flank on the north bank of the Rhine–Herne canal, with elements of the 315th Infantry relieving the 320th Infantry Regiment (35th Division) on the line. Both the 35th and 79th Divisions' right flank elements were subjected to harassing small-arms and artillery fire from south of the Rhine–Herne Canal.
Four Corps Artillery battalions fired a preparation barrage from 0530 to 0630 hours for the 75th Division attack. A total of 767 missions was fired by artillery batteries during the day, as they maintained a heavy harassing and interdiction program. The XXIX Tactical Air Command blasted tanks, heavy guns, and motor transport in close cooperation with the efforts of ground troops. Marshalling yards in the Ruhr industrial district were reported to be very active, with long trains pulling eastward. The 29th Infantry Division began assembling within the Corps zone east of the Rhine River.
1 April 1945. Recklinghausen fell to the 35th Infantry Division as it made a six-mile advance with close artillery support. Other Corps units made substantial gains as they cleared the greater portion of the Haltern Forest and extended front lines along the Rhine–Herne Canal to 25 miles. The German 116th Panzer Division, it was learned from prisoners, withdrew during the night to the northeast, leaving the defense of its sector to inferior troops. Resistance was scattered and noticeably weak, although mortar fire and self-propelled and fixed artillery fire was laid down on the Corps right flank elements from enemy positions south of the Rhine–Herne Canal. In addition to Recklinghausen, troops of the 35th Division cleared Rollinghausen (A6531) and Suderwich (A6735).
The 75th Infantry Division's 289th and 291st Regiments advanced four to seven miles on a six-mile front and cleared Hamm Bossendorf (A6247), Flasheim (A6547), Lenkerbeck (A5940), Huls (A5840), and Speckhorn (A6238). The 79th Infantry Division's 315th Regiment swept the enemy from between the Emscher and Rhine–Herne Canals in the vicinity of (A4422). The 8th Armored Division was relieved from operational control of the Corps, and its Combat Command Reserve was relieved on line by the 75th Division's 290th Regiment. The 79th Division's 315th Regiment relieved the 35th Division's 320th Regiment on line and assumed responsibility for the added regimental sector. The 29th Division's 116th Regiment moved into the 75th Division sector as 75th Division reserve, and the remainder of the 29th Infantry Division closed in the Corps area from Rheydt, Germany.
Corps artillery generally maintained a heavy harassing and interdiction program as it supported the Corps advance to the east, firing 597 missions. Enemy activity consisted of the firing of single guns and tended to confirm a build-up of light weapons in the area south of the Rhine–Herne Canal.
Elements of the XIX and the XIII Corps, having passed through the bridgehead established by the XVI Corps, moved north of the Lippe River and took over a zone from the British.
The XIX Corps' 2d Armored Division, climaxing a steady advance on the XVI Corps' left flank, contacted elements of the 3d Armored Division moving up from the south at Lippstadt (B4241), and the encirclement of the vital Ruhr industrial area, in which the XVI Corps played such an important role, was completed.
2 April 1945. The 75th and 35th Infantry Divisions drove through light, scattered resistance to the west bank of the Zweig and Dortmund–Ems Canal, and, with their advance, the XVI Corps accomplished its mission assigned for Operation Flashpoint. The 75th Division met stubborn resistance in Datteln (A7239) but cleared the town and the balance of the division sector south of the Lippe River. Contact was established and maintained with XIX Corps.
A large group of prisoners taken during the Rhine crossing operations near Wallach, Germany, are marched to an enclosure. Out of its 120,000 troops involved in this operation, the Corps suffered comparatively few losses, as depicted in the chart below.
CROSSING OF THE RHINE RIVER
23 MARCH - 2 APRIL 1945
MISSING OR CAPTURED: 154
WOUNDED: 2079
DEAD: 291
9095
2443
1341
elements along the Lippe River, and all regiments sent patrols east of the Dortmund-Ems Canal. Patrols from the 79th Infantry Division probed the sector across the Rhine-Herne Canal. A division officer, an interpreter, and the Bürgermeister of Hamborn proceeded to Duisburg to attempt to arrange a surrender of the German forces there, conferred with regimental officers, but were informed that the Germans would not give up. Corps Artillery maintained a heavy harassing and interdiction program, firing a total of 548 missions.
In its swift ten-day drive, the XVI Corps dealt a fatal blow to the enemy as it spearheaded the U.S. Ninth Army's attack across the Rhine River and hemmed in the great Ruhr industrial area so essential to Germany's continued prosecution of the war. Over nine thousand prisoners were taken during the operation, while Corps casualties were remarkably few. Thousands of displaced persons were liberated and the complex problems associated with their feeding, housing, and categorization were skilfully solved. Tremendous quantities of enemy matériel were overrun or destroyed, and a partial list included:
- Tanks and halftracks: 15
- Artillery pieces (150mm. to 75mm.): 22
- Antiaircraft artillery (88mm. to 20mm.): 36
- Antitank guns (75mm.): 12
- Mortars (120mm. to 81mm.): 6
- Searchlights: 14
As the Corps drove steadily eastward from its bridgehead area on the Rhine River, it encountered an increasingly heterogeneous and motley arrangement of enemy troops supporting the 180th and 190th Volksgrenadier, 2d Parachute and 116th Panzer Divisions. Identified among the enemy frontline troops were elements of naval, Luftwaffe, construction and service troops, limited-service units and a large number of poorly trained or untrained Volkssturm. The Volkssturm were an especially unhappy lot, taken from war jobs, poorly trained for two weeks, and given obsolete arms and an armband; they had no desire, inclination or willingness to fight. The area swept out by the Corps formerly had been a part of the great "flak belt" which constituted a portion of the antiaircraft defenses of the industrial
cities to the south. The permanently emplaced, high-velocity, antiaircraft weapons scattered throughout this zone were dual-purpose, and their use against the Corps' ground troops presented a menace not commonly found elsewhere. Through the use of capable officers, the enemy put up a determined defense, and it was only because of the great power brought to bear upon him, coupled with the detailed XVI Corps plans and preparations for all problems and exigencies that could arise, that he was completely overwhelmed on the Corps front.
Over 850 convoys including 84,893 vehicles were cleared for movement by the XVI Corps traffic headquarters in preparing for the great Rhine drive and in the prosecution of the offensive. Much of the traffic control, especially the movement of field artillery battalions and huge amounts of special engineer equipment into forward assembly areas, was efficiently accomplished despite the fact it had to be done at night to assure safety of the moving elements and conceal their presence from the enemy.
The outstanding success of the Corps drive brought a tribute and commendation from Lieut. Gen. William H. Simpson, commander of the Ninth Army, to the officers and men of the XVI Corps, in which the Army commander said of the Corps:
The successful crossing of the Rhine and ensuing operations to the eastward constitute the high point of accomplishment in the history of Ninth Army to date. Similarly, the occasion provides me the opportunity of congratulating you and your fine staff upon the splendid achievements that you have accomplished during your period of association with this command.
In reviewing the record of your organization, I am cognizant of the outstanding work done during the latter part of 1944 in processing and moving units from the beaches to the Ninth Army zone of action. I feel sincerely that your work in that connection contributed materially to the successes that have ensued. I have noted, also, the speed and dispatch with which your organization carried out its first operational role in the drive from the Roer River to the Rhine.
Most gratifying to me, however, is the achievement of your command in the Rhine crossing and establishment of the bridgeheads which permitted the Army to assemble its full power for the drive to the eastward. To your Corps goes the major credit for the success of the crossing. I was impressed with the enthusiasm which characterized the planning of the operation, carried on at the same time you were conducting operations, and I feel that the speed with which the crossing was consummated may be attributed to the thoroughness of your plans and preparations.
The speed and skill demonstrated in the crossing operation were remarkable; the far shore by the deft manner in which troops were assembled for the build-up and by the power with which you exploited the initial success. By your timely and accurate perception of the vital objectives and prompt seizure of the same, you made possible the crossing and expeditious build-up of all the participating forces. I am particularly appreciative of the successful coordination effected between your command and the Second British Army in solving the many and complex problems of mutual concern that arose during the build-up period. As you well know, the accomplishment of one task in war leads but to another; I am confident that the new mission upon which you are now engaged will be performed in the same thorough manner that has characterized your past accomplishments.
I wish to extend my thanks to your command upon the splendid record of the XVI Corps to date, and it is my desire that you personally transmit to every officer and man of your organization my sincere appreciation of their individual contributions.
A statement by General of the Army Dwight D. Eisenhower, Supreme Commander of Allied Forces in the European Theater of Operations, issued on 3 April 1945, stressed the importance of the accomplishments of the XVI Corps and other Army units. General Eisenhower said:
The encirclement of the Ruhr by a wide pincer movement has cut off the whole Army Group B and parts of Army Group H, thus forming a large pocket of enemy troops whose fate is sealed and who are ripe for annihilation. The most vital industrial area is denied to the German war potential. This magnificent feat of arms will bring the war more rapidly to a close. It will long be remembered in history as an outstanding battle—the battle of the Ruhr.
With the successful completion of this important mission, new boundaries were announced for the XVI Corps which directed it toward a possible movement on the Ruhr industrial area to the south. Corps units, losing no time, were sending patrols into the area, ready for their next clash with the enemy.
IV: ELIMINATION OF THE RUHR POCKET
With a record of outstanding accomplishments and skillful employment of all available forces to the utmost advantage, the XVI Corps swung southward on 3 April 1945, under a new important mission, to eliminate the enemy in the Ruhr industrial area, the most densely populated region of Germany. From a 37-mile front along the Rhine–Herne and Dortmund–Ems Canals, the XVI Corps in the next twelve days wiped out every shred of enemy resistance in its drive to the Ruhr River through such big metropolitan centers as Essen (population 670,000), Gelsenkirchen (317,000), Oberhausen (190,000), Mulheim (136,000), and Dortmund (540,000), veritable fortresses with elaborate shelters against shellfire and bombing, fixed antiaircraft artillery emplacements capable of direct fire upon ground troops, and thousands of buildings providing ideal havens for enemy snipers. During this phase of operations the Corps captured many notorious prisoners including well known military leaders, industrialists, and Nazi politicians. It seized or destroyed huge supplies of enemy equipment and liberated an estimated 200,000 displaced persons from slavery as still another combat mission was successfully completed.
Trapped by a steel ring which the XVI Corps had played an instrumental part in forging with its forceful drive across the Rhine River, desperate German armies in the Ruhr pocket were ready to battle for their lives, knowing they had only the alternatives of surrender or annihilation. Twenty-one enemy divisions, including more than 300,000 German troops, were encircled within an area of approximately five thousand square miles when the Ninth Army spearhead joined on 1 April 1945, near Lippstadt (B4242), a First Army thrust, launched from the vicinity of Bonn on the Rhine River. Hostile forces surrounded in this pocket included the German Army Group B, two corps of Army Group H, the German Fifteenth Army, the Fifth Panzer Army, and numerous scattered divisions.
Allied strategy provided for the reduction of the pocket through the use of three corps. The XVI Corps was to attack south from the Rhine–Herne and Dortmund–Ems Canals to the Ruhr River. The First Army's III Corps was to attack to the west, with its right flank defined as the Ruhr River, and the XVIII Airborne Corps, also under the First Army, was to attack northwest from the Sieg River to the juncture of the Rhine and Ruhr Rivers.
Ten thousand regular German troops and many additional thousands of Volkssturm, supported by divisional artillery, antiaircraft, and miscellaneous units, held the German sector opposite the XVI Corps' broad front. They included remnants of the 2d Parachute Division, the 180th and 190th Volksgrenadier Divisions, and the 4th Antiaircraft Division. The 2d Parachute Division, cut to 4,000 men by the Corps assault across the Rhine, was believed to be occupying the area south of the Rhine–Herne Canal from the Rhine River to the vicinity of Gelsenkirchen. The 190th Volksgrenadier Division, numbering only 3,500 men as a result of its great losses in earlier battles with XVI Corps forces, was believed to be defending a continuation of this line to the vicinity of the Zweig Canal, with the 180th Volksgrenadier Division, about 2,500 men, holding the remainder of the line. Attempts to break through the XVI Corps front were quite probable and even indicated later, and it was necessary for adequate precautions to be taken to be ready at all times to crush such an attempt. The enemy artillery situation was still somewhat obscure, since recent fire had been scattered and confined mainly to single guns.
Forces under XVI Corps, regrouping for their new mission, included the 35th and 79th Infantry Divisions in line along the north bank of the Rhine–Herne Canal, the 75th Infantry Division in the northern part of the sector along the Dortmund–Ems Canal, and the 29th Infantry Division in Corps re-
In their task of reduction of the Ruhr industrial area, XVI Corps troops were faced with 88mm. high-velocity weapons such as this, once used for antiaircraft defense of the area and later turned against the assaulting ground forces.
At left, engineer troops supporting the 75th Infantry Division's attack complete a by-pass over the Zweig Canal near Ickern, Germany. At right, men of the 35th Infantry Division employ a captured German 75mm. antitank gun against Germans entrenched in a building across the Rhein-Herne Canal.
serve. The 34th Field Artillery Brigade served with skill as the Corps Artillery Fire Direction Center for the western portion of the Corps sector, and the 40th Field Artillery Group, consisting of three 155 mm. gun battalions, added its death-dealing blows to the Corps effort.
3 April 1945. Opening the Corps' new drive that would wipe out the last throbs of militarism in the industrial heart of Germany, the 75th Infantry Division sent combat patrols across the Dortmund-Ems Canal and secured a bridgehead on the division's left flank. One company passed through the bridgehead, penetrated enemy lines, and returned with 55 prisoners. The division assumed responsibility for an additional sector of the Corps front as its 290th Infantry Regiment relieved elements of the 35th Infantry Division. Both the 35th and 79th Divisions maintained and improved their positions along the northern bank of the Rhine-Herne Canal and conducted active patrolling south of the canal. Corps artillery laid down a heavy harassing and interdiction program, firing 426 missions.
4 April 1945. Attacking at 0100 hours with three regiments abreast, the 75th Infantry Division, with the 116th Regimental Combat Team of the 29th Infantry Division attached, crossed the Dortmund-Ems Canal for a swift five-mile advance on a seven-mile front. Resistance, scattered in the open, but stiffening in built-up areas, indicated clearly the enemy's intention of taking full advantage of all suitable positions, throwing all odds and ends available into a defense of the Ruhr area. The 291st Regiment on the north met little opposition. The 116th Regiment in the center and the 289th Regiment on the south, however, advanced against intense small-arms, automatic-weapons, and self-propelled-artillery fire. Crushing heavy resistance southeast of the city, the 116th Regiment cleared Waltrop (A7636) by 1800 hours. The 289th Regiment smashed through enemy strongpoints in the northern and northwest outskirts of Ickern (A7333) and cleared the town. The 35th and 79th Infantry Divisions continued their patrolling south of the Rhine-Herne Canal. The 29th Infantry Division, in Corps reserve, provided security for the Corps rear area. Artillery with the Corps battered enemy strongpoints, firing 836 missions.
5 April 1945. Resuming its attack at 0700 hours, the 75th Infantry Division advanced a mile against light resistance, and the 116th Regiment cleared Braumbauer (A7933). The 79th Division, maintaining its defensive positions, destroyed locks on the Rhine-Herne Canal. Having been attached to the XVI Corps, the 17th Airborne Division moved into the 79th Division's sector and prepared to relieve that division. The 35th Infantry Division continued defense of its sector and improved its positions. The 29th Infantry Division began movement out of the Corps area prior to its being relieved from attachment to the Corps. In its continued assault on cities and other important targets, the Corps artillery fired 689 missions.
6 April 1945. As it forged ahead against delaying action at strongpoints and small-arms and automatic-weapons fire from built-up areas supported by direct high-velocity fire, the 75th Infantry Division drove to within two miles of Dortmund as other Corps elements regrouped to join in the attack. Heavy-caliber antiaircraft guns harassed assaulting elements with air-bursts. An enemy counterattack northeast of Castrop-Rauxel (A7028) was successfully repulsed. The 79th Division moved into the 35th Division sector, relieved the 320th Infantry Regiment on line, and prepared to attack south. The 320th Regiment began movement to the 75th Division sector. The 17th Airborne Division assumed responsibility for the 79th Division area, and the 29th Division was released from attachment to the Corps. Corps artillery assisted in repulsing several small counterattacks as it supported the 75th Division's drive, firing 542 missions.
7 April 1945. Aided through a demonstration by the 17th Airborne Division and supported by fire from both the 17th Airborne Division and 35th Infantry Division, the 79th Infantry Division struck south across the Rhine–Herne Canal toward Essen at 0300 hours. Attacking as German troops were moving east to bolster forces on the 75th Division's front, the 79th Division effectively split the 2d Parachute Division.
German artillery shelled treadway bridges being swiftly constructed across the Rhine–Herne Canal by Corps engineer units in the sector west of Gelsenkirchen, but 79th Division troops, the 313th and 315th Regiments abreast, pushed onward to establish a bridgehead two miles deep and three miles wide. The 75th Division, with the 35th Division's 320th Regiment attached, moved into the outskirts of Dortmund and into Castrop-Rauxel (A7028). A strong enemy counterattack launched northwest along the railroad from Dortmund was repulsed by division troops, artillery fire, and XXIX Tactical Air Command planes working in close cooperation with Corps ground troops. Corps artillery continued to pour shells into the Ruhr cities, supporting the 75th and
At left, 79th Division infantrymen move toward the Rhine–Herne Canal near Neuessen, Germany, while at right, troops of the 79th Division's 315th Infantry Regiment hurry over the Rhine–Herne Canal dikes as they attack south to block the eastward movement of enemy forces defending the Ruhr industrial area.
The 17th Airborne Division's 507th Parachute Infantry Regiment crossed the Rhine-Herne Canal in the 79th Division sector, passed through the 315th Infantry Regiment, and advanced a mile southeast against light opposition. Two heavy howitzer battalions laid down a stiff thirty-minute preparation barrage, after which the 75th Division drove forward three miles to the south and one mile to the west. The division repulsed two counterattacks and cleared Castrop-Rauxel, as well as several small towns nearby. Corps artillery rained shells on the enemy throughout the day, battering every apparent German strongpoint, and firing 1,005 missions.
9 April 1945. Progressing so successfully in its advance to the Ruhr River, the XVI Corps was assigned an additional sector to the east and was given control of the 8th Armored Division, the 95th Infantry Division, the 194th Glider Infantry Regimental Combat Team (17th Airborne Division), the 15th Cavalry Group, and their attached units, as well as additional Corps artillery units. The Corps hurled Division assault elements smashed to a point almost directly east of Essen and south of Gelsenkirchen by 2200 hours, extending the division's bridgehead two miles southward.
Vehicles of the 79th Infantry Division roll across a newly constructed Bailey bridge spanning the Rhine-Herne Canal near Essen, on 8 April 1945, as the Division continued its drive on Essen.
At left, infantrymen of the 17th Airborne Division move into the outskirts of Essen, Germany, capturing the great industrial center on 10 April 1945. At right, 79th Infantry Division troops pass through a portion of Essen on their way to Mulheim, which fell to them on 11 April 1945.
the 35th Infantry Division into the attack, and, with four infantry divisions, an armored division, an airborne division, and a mechanized cavalry group pounding forward, it drove to destroy the vestiges of German resistance remaining north of the Ruhr River.
The 35th Division's 134th and 137th Infantry Regiments attacked across the Rhine-Herne Canal north of Herne at 0630 hours and swiftly established two bridgeheads against spotty resistance to a depth of two miles along an eight-mile front. The 134th Regiment outflanked Gelsenkirchen on the east, and patrols entered the city.
With the pressure on its flanks relieved by the 17th Airborne and 35th Infantry Divisions' attacks, the 79th Division thrust rapidly south to the Ruhr River, seizing Steele (A5418) and cutting German forces north of the Ruhr into two swiftly closing pockets. Enemy troops poured small-arms fire at division units from the north and northeast outskirts of Essen, while enemy artillery south and southeast of the city shelled assault elements.
Supported by artillery, German forces again counterattacked across the Dortmund-Ems Canal northwest of Dortmund and in the area south of Castrop-Rauxel, but the 75th Infantry Division's troops repulsed them without loss of ground. Able to make only slight gains, the 75th Division consolidated its earlier advances and cleared scattered resistance in rear areas.
Combined into a powerful task force, the 95th Infantry Division, the 8th Armored Division, the 194th Glider Infantry Regimental Combat Team, and the 15th Cavalry Group drove on Dortmund from the east to sweep the foe from that great industrial center. The 95th Division's 377th Infantry Regiment and the 194th Glider Infantry Regimental Combat Team were combined to form Task Force Faith, and they operated as a unit along with the remainder of the 95th Division, the 8th Armored Division, and the 15th Cavalry Group under Task Force Twaddle. Moving steadily toward Dortmund, these elements drove to meet the 75th Division. The 8th Armored Division reached the outskirts of Wickede (B0922) and moved to within three miles of Unna (A9626). The 95th Division pushed west six miles through numerous small towns and over rugged and wooded terrain on an eight-mile front. The 194th Glider Infantry RCT mopped up enemy resistance in its sector despite numerous mines and booby traps left by the enemy, and the 15th Cavalry Group patrolled north of the Lippe River, protecting the Corps' north flank.
Corps artillery, its effective power increased by the addition of six battalions accompanying and supporting Task Force Twaddle, fired 1,181 missions as it continued to batter German forces. Over two thousand prisoners were seized in the day's operation, and interrogation revealed that several new battalions had been thrown into the enemy's desperate defense.
10 April 1945. The great industrial city of Essen, with its mammoth, sprawling Krupp Steel Works smashed into rubble by bombs and artillery shells, fell to the XVI Corps as the enemy evacuated the battered armament city, blowing up or blocking scores of intersections and underpasses in increasSketch of Ruhr Pocket operations
RHINE-HERN CANAL
APRIL 2
5TH DIV.
APRIL 5
7TH DIV.
95TH DIV.
UNNA
DORTMUND
95TH DIV
12TH 11TH
TF FAITH
WITTEN
12TH
ingly conclusive evidence that the Germans were withdrawing their forces south of the Ruhr River to escape destruction at the hands of the Corps' troops. Elements of the 17th Airborne Division occupied the eastern portion of Essen without opposition. The 35th Division's 134th Infantry Regiment cleared Gelsenkirchen (A5524), and its 137th Regiment cleared Herne (A6427). The 79th Division drove east between the 35th Division on the north and the Ruhr River on the south and cleared Wattenscheid (A5820) and the western half of the large city of Bochum (A6320) against moderate resistance.
Seeking to save forces in Dortmund from entrapment before they could be evacuated south of the Ruhr River, the enemy fought desperately as Task Force Twaddle, the 8th Armored and 95th Infantry Divisions abreast, advanced to within two miles of contacting elements of the 75th Division. Tiger tanks and several hundred men were employed in a furious counterattack early in the evening, but the 8th Armored Division repulsed the effort quickly and effectively and pushed onward. The 8th Armored Division advanced to within a mile of Unna and the outskirts of Frondenberg (B0219), and cleared Wickede (B0922). While the 95th Division's 378th Regiment advanced up to eight miles along the Lippe River, its 379th Regiment entered Kamen (A9432) and fought to within one mile of Unna. The 377th Regiment advanced five miles in its zone.
The 194th Glider Infantry Regimental Combat Team practically completed its mission of clearing scattered resistance in its zone and established contact with elements of the III Corps on the south bank of the Ruhr River. The 15th Cavalry Group screened the Corps north flank along the Lippe River, and Corps artillery fired 1,031 missions in support of Corps attacks. Enemy artillery south of the Ruhr River shelled southern elements of the 79th Division and the 8th Armored Division. Again the Corps captured over 2,500 prisoners.
11 April 1945. Sweeping the entire industrial Ruhr clear of German troops except for the enemy bridgehead in the Dortmund area, XVI Corps forces captured Mulheim (A4014), Oberhausen (A3919), Bochum (A6420), Unna (A9726), and Witten (A7115), occupied the remainder of Essen, seized Ruhr River bridges intact at Mulheim, Witten, and Kettwig (A4407), and established positions along the north bank of the Ruhr River for 42 miles from its confluence with the Rhine east to the vicinity of Witten and from Frondenberg (B0219) east to Arnsberg, where it was in contact with the First Army's III Corps.
Clearing Mulheim after a swift eight-mile advance, the 17th Airborne Division established a small bridgehead south of the Ruhr River with its capture of the Mulheim bridge intact. The 35th Division drove through Bochum in advancing four to five miles to the Ruhr River, and the 79th Division, capturing the Kettwig bridge, established a position south of the Ruhr against heavy small-arms, self-propelled and antiaircraft artillery fire. The 75th Division's 291st Regiment maintained positions west of Dortmund, and the 289th and 290th Regiments drove to the Ruhr River and entered Witten.
A force of 800 to 1,000 Germans fought bitterly to hold Unna, hurling antitank, self-propelled, antiaircraft, heavy-caliber mortar and artillery fire at 8th Armored Division forces attacking the city under Task Force Twaddle. The 8th Armored Division swept through the city by 1400 hours, however, and continued onward for an advance of four miles. The 95th Infantry Division, under Task Force Twaddle, moved to within three miles of Dortmund from the east, establishing contact with elements of the 75th Division and shifting the axis of its advance to the south. The 194th Glider Infantry Regiment completed its drive to the Ruhr River and then moved to the 8th Armored Division sector to assist its advance to the west.
Prisoner totals soared to 3,240 for the day, and fourteen tanks and heavy guns were captured or destroyed. Corps artillery supported the divisions' drives with a heavy harassing and interdiction program, firing 872 missions.
12 April 1945. Forging a mighty steel pincers around Dortmund, the XVI Corps drove the prongs to within four miles of encircling the great metropolis as the enemy battled with all available might to hold open his escape route across the Ruhr River south of the city. The 75th Division, containing Dortmund on the west, cleared Witten and continued its advance against heavy resistance over difficult terrain.
The 95th Infantry Division entered the northern and eastern edges of Dortmund in a four-mile advance through a sector studded with minefields and roadblocks. Mortars and artillery pounded Corps troops from positions south of the Ruhr River.
The Corps began a regrouping of troops preparatory to releasing the 8th Armored and 35th Infantry Divisions. The 17th Airborne Division assumed an additional sector on the north bank of the Ruhr and sent strong combat patrols into Duisburg, where they were told by civilians that German troops had fled from the city two or three days earlier. Corps artillery fired 474 missions. The 15th Cavalry Group assumed responsibility for patrolling the north bank of the Ruhr River from Neheim to Wickede, and in the vicinity of Arnsberg. The 29th Infantry Division was again attached to the Corps and it continued its mission of security and occupation of the Corps and Army rear area.
13 April 1945. Climaxing the combined efforts
of the 75th Infantry Division, Task Force Twaddle, and Task Force Faith, the 95th Infantry Division's 378th Regiment clinched tight the pincers around Dortmund, clearing the city by 1630 hours. The 95th's 379th Regiment drove to high ground overlooking the Ruhr River, the 377th Regiment relieved elements of the 8th Armored Division on the line east of the 379th Regiment's positions, and with the achievement of their objectives, Task Force Twaddle and Task Force Faith were dissolved.
The 75th Division's 290th and 291st Regiments advanced to the Ruhr, clearing Wetter (A7610) and Herdecke (A7811) and captured intact railroad and highway bridges across the Ruhr west of Westhofen. The Corps continued regrouping of troops and released from attachment the 8th Armored Division and 35th Infantry Division, with the exception of the 134th Infantry Regiment, which was placed under control of the 79th Infantry Division. The 17th Airborne Division occupied metropolitan Duisburg without opposition, and patrols penetrating as far south as Lintorf (A367045) were informed by Volkssturm that it was believed German troops had withdrawn from Düsseldorf. Corps artillery fired 479 missions, carrying out registration and neutralization assignments, and destroyed an ammunition dump some distance north of Hagen across the Ruhr River. The 29th Infantry Division continued security missions in the army area.
Of particular interest is the information that was revealed later on interrogation of Lt. Gen. Fritz Bayerlein, Commanding General of the German
LIII Corps and formerly commander of the German Panzer Lehr Division. General Bayerlein related that following the capitulation of Dortmund and Unna, on the night of 13-14 April, he received an order from Field Marshal Model to try to break out of the Ruhr pocket to the west with everything he had available. This order was never acknowledged, answered, or obeyed.
14 April 1945. The 95th Infantry Division's 379th Regiment wiped out the last organized resistance in its sector by 1900 hours, and the XVI Corps completed its mission of reducing organized enemy resistance in the densely populated area north of the Ruhr River and prepared to undertake a new mission—the occupation, military government, and "T" force activities in a sector of the Ninth Army's rear area as far east as the Weser River. Regrouping its troops, the Corps provided defense of the Ninth Army's southern flank during the ensuing days until First Army troops of the III Corps and XVIII Airborne Corps, already in contact with XVI Corps, completed their task of wiping up enemy resistance south of the Ruhr River on 18 April 1945.
Prisoners seized during the day numbered 1,685, and Alfred Krupp von Bohlen und Haltern, chief executive of the vast Krupp works, and Just Dilgard, Oberbürgermeister of Stadtkreis Essen, honorary Obersfeldführer SS and Reichsminister for Coke and Gas, were also taken into custody by XVI Corps forces.
15-18 April 1945. The Corps maintained defensive positions along the north bank of the Ruhr River, protecting the Ninth Army's southern flank, as the First Army's III Corps advanced steadily northwest toward the river and the XVIII Airborne Corps drove north to form a joint front with the XVI Corps along the Ruhr River line. On 18 April 1945, the last enemy resistance in the Ruhr pocket was eliminated as the XVIII Airborne and III Corps uncovered all XVI Corps positions along the river, wiping out the famous pocket and completing their missions. The 29th Infantry Division was released from attachment to the Corps, and the regrouping
of other Corps units was speeded for the occupation and military government of the Corps area and the Ninth Army's rear area under the Corps' newest mission.
In these four days the Corps seized 9,241 prisoners, increasing its enemy casualties since it became operational on 6 February 1945, to 42,930 prisoners, 5,247 enemy killed (estimated), and 8,136 enemy wounded (estimated). Personages taken into custody on 15 April included Fritz Schlessmann, acting Gauleiter of Essen since 1942. Lt. Gen. Josef Harpe, commanding the Fifth Panzer Army, was captured by the 17th Airborne Division on 16 April 1945, as he attempted to cross the Ruhr River near Mulheim with his aide on his way to Holland to join German forces fighting there. An ardent admirer of Hitler, he had commanded the XLI Panzer Corps, the German Ninth Army, and the Army Group A on the eastern front and was accused by the Russian high command of extreme cruelty at Zhlovin. A highlight in the events of 15 April 1945, was the public announcement that troops of the 194th Glider Infantry Regiment had seized Franz von Papen, former German Chancellor and one of the Reich's foremost diplomats, with his son, Captain Franz von Papen, Jr., and his son-in-law, Max von Stockhausen, on 10 April 1945, at Stockhausen's estate about ten miles west of Hirschberg. Great supplies of enemy war materiel were seized by XVI Corps troops during these operations and included:
- Tanks ........................................... 20
- Self-propelled guns .......................... 11
- Howitzers and mortars (150mm. to 81mm.) .... 202
- Antiaircraft guns (105mm. to 20mm.) ........ 476
- Antitank guns (75mm. and 50mm.) ............ 16
- Machine guns .................................. 1,035
- Rifles (estimated) ............................. 14,530
- Motor vehicles ................................ 311
- Searchlights ................................... 14
- Halftrack vehicles ............................ 13
- Panzerfausts ................................... 44
In an order of the day to the American forces on 19 April 1945, General of the Army Dwight D. Eisenhower, Supreme Commander of Allied Forces in the European Theater of Operations, hailed the Ruhr victory as a fitting prelude to the final battle to crush the ragged remnants of Hitler's armies in the west, "now tottering on the threshold of defeat." Outlining the envelopment of the vital industrial area, he said Allied forces fully encircled German Army Group B and two corps of Army Group H, wiped out twenty-one divisions, including three panzer, one panzergrenadier, and three parachute divisions, and seized more than 317,000 prisoners. Twenty-one generals and one admiral were captured in the entire operation, and many tanks and more than 750 guns were destroyed or captured. General Eisenhower praised the speed and determination "with which this brilliant action was executed" and said that as a result the divisions of Marshal Model were smashed, enabling all Allied army groups to continue without pause in their drive eastward.
With an enviable record established in two months of continuous combat, the XVI Corps already had begun a new important task, the occupation and military government of a portion of the Ninth Army area, and on 18 April 1945, it swung its full attention to the fulfillment of that mission, undertaking the task so ably that it would soon be given the assignment of administering the greater portion of the large German province of Westphalia.
V: OCCUPATION AND MILITARY GOVERNMENT
Its combat operations accomplished swiftly, efficiently, and with greatest success, the XVI Corps on 18 April 1945, undertook its next mission, a task of strategic importance in assuring the complete collapse of Germany just three weeks later, and in destroying her capacity and inclination to wage another war. Activities related to military government and occupation were the direct concern of G-5 sections provided in divisions and higher echelons of command. Working with them were two important agencies—Military Government detachments, and Counterintelligence Corps detachments.
Military Government detachments under Corps control initiated and conducted the de-Nazification of the occupied area, removing public officials identified in any way with the Nazi Party or any of its many types of organizations and appointing in their places new officials to conduct the civil administration of city and state affairs. Theirs, also, was the task of organizing and supervising all civil administration, and of installing agencies for public welfare, education, religious activities, and the preservation of historical monuments and documents. They established and supervised the operation of civil police and fire departments as well as Military Government and German civil courts for trial of appropriate cases and preparation of records for review. These detachments reviewed the financial status and directed the reopening and operation of banks and other financial agencies and established control over German foreign exchange and enemy property. Military Government detachments fostered the production of goods and maintenance of services essential to the military and civilian needs and initiated and assisted in the revival of German agriculture to meet the vital food requirements of displaced persons and German civilians. They formulated and maintained ration scales for food and other civilian supplies, guided the restoration of public utilities and established public health organizations, maintaining close control over sanitation and the prevention and cure of disease among civilians, as well as the collection and utilization of public health records necessary to that control.
The Counterintelligence Corps personnel skillfully performed the arduous task of screening civilians to determine their character, loyalty, and suitability for use or employment on military government projects. These detachments maintained a system for continuous checking of such individuals to insure that their actions were in keeping with Allied forces' policy. They conducted numerous investigations of varying nature and participated in countless searches and raids. Interpreters were supplied by this group, and the staff of linguists in the Corps' 216th Counterintelligence Corps Detachment was augmented by
At left, a German civilian who participated in the beating of slave laborers is questioned by an enlisted man of the Counterintelligence Corps. At right, a prisoner-of-war interrogation officer examines a German female soldier picked up on the streets of Kempen, Germany, in civilian clothes. On the desk are her papers bearing her name and military status.
the addition of military intelligence interpreters, prisoner-of-war interrogators, and photo-interpretation personnel. The services of this group in this connection were particularly valuable in interrogation work at concentration camps and in the later demobilization of prisoners of war.
This task of military government was not entirely new, since the Corps had been concerned with these problems during its entire period of combat, and XVI Corps troops had already achieved recognition for strict control and able administration of territory under their temporary jurisdiction. The Corps and its Military Government agencies assumed their first occupation and administrative responsibilities when Corps Military Government detachments replaced British XII Corps detachments on 6 February 1945, the date the XVI Corps became operational under the Ninth Army.
6–23 February 1945. Civil Affairs teams were deployed in Sittard, Susterscel, Echt, and Brunssum in South Limburg Province, Holland, and one Military Government detachment was deployed to administer portions of the Corps' area in Germany. The Corps spearhead detachment supervised the transfer of the Sittard refugee and displaced persons center from British to Dutch authorities and cooperated in operation of the center. A plan was effected to facilitate civil administration in a German "colony" in the five towns of Millen, Tuddern, Schallbrück, Havert, and Isenbouch, and the assignment of German refugees from forward areas to that colony.
In Holland, city officials cleared by the British Field Security were approved by the Corps Counterintelligence Corps Detachment and were authorized to begin the rehabilitation of their communities. Impetus was given to the restoration of educational programs and was evidenced by the opening of elementary and high schools in Brunssum. Curfew hours in Holland were established from 2200 hours to 0630 hours.
In the German area, acting civilian officials were appointed for the "colony" towns after proper screening and clearance, and they were empowered to enforce military restrictions, supervise rationing, and carry out administrative functions. Circulation of civilians in the German area was restricted to 0700 hours to 0800 hours and 1700 hours to 1800 hours for essential civilian workers and to 1100 to 1200 hours and 1500 hours to 1600 hours for women procuring food and fuel. Greater restrictions were placed on civilian travel; border crossings were prohibited; and horses seized by Dutch border guards were returned to their owners in Stein, Germany. Policemen, unarmed, were selected from older and more responsible men of the areas and were appointed after being checked by Counterintelligence Corps personnel. A military government court was opened at Susterscel, Germany, to emphasize strict enforcement of military enactments. At the first trials, attended by Bürgermeisters of the nearby German communities, eight persons were convicted of border and curfew violations, fined from 200 to 250 reichsmarks, and sentenced to sixty to ninety days in the Military Government jail in Aachen, Germany.
Two Corps projects were initiated to salvage food and cattle fodder from evacuated areas, and the importation of civilian supplies into Germany to feed German civilians was suspended. These projects resulted in the recovery of enough food to support the civilian population for several weeks, and operating reserves were established. Forty tons of food and 4,340 liters of milk were collected by German civilian work parties in a few days and were rationed by acting Bürgermeisters on the basis of 1350 calories per person per day. Many tons of cow beets were salvaged from evacuated German farms by Dutch civilian work parties and were rationed through the Sittard distribution center for the feeding of 3,000 cattle. A grain mill at Susterscel was put into operation to handle wheat and oats stocks as they were removed from mined fields.
Restoration of public utilities was begun, with teams clearing mines from water, gas, and electric power rights-of-way. Medical clinics and hospitals were opened for civilians, displaced persons, and refugees in Tuddern, Millen, Gangelt, and Sittard. A survey of clothing needs was made and distribution of American Red Cross clothing to needy refugees was begun. During February, 890 Dutch refugees and 275 displaced persons were processed at the Sittard center. One hundred and fifty-seven Dutch refugees were sent to their homes, and 254 Germans were transferred to the "colony."
23 February–23 March 1945. With the Corps' crossing of the Roer River and its subsequent advance to the Rhine River, boundaries defining areas of responsibility were changed, and three additional Military Government detachments were attached to the Corps to replace those left behind. Such detachAt left, a part of the German propaganda plan in occupied countries was the painting of signs on various buildings in conspicuous places. This sign, painted on one of the main streets of Echt, Holland, reads, "Germans—Think of your home! Think of Aachen!" Military government agencies took appropriate steps to have such signs obliterated. At right, these Dutch civilians are moving back to the center of the newly liberated town of Venlo, Holland. They stop for a moment to chat with friends. It was the task of Allied Military Government to administer and supply the basic needs of such people as these.
ments were established at Kaldenkirchen and Stralen, Germany, and Roermond, Tegelen, and Venlo, Holland. Owing to their limited number, it was necessary that each detachment supervise many additional towns, and military government was established in three or four additional communities each day.
Proclamations were posted, and Bürgermeisters and auxiliary police were screened by Counterintelligence Corps personnel and appointed before these teams moved on to the next town. Military Government officers then checked their areas daily to insure that proclamations were being observed. Prior to the fall of Roermond and Venlo, food and medical supplies were assembled to be rushed to these cities. Dutch administrative personnel, auxiliary police, bomb disposal squads, and a fire brigade moved into these cities to begin their tasks as soon as the areas were liberated.
Division spearhead military government detachments carried with them special undated editions of Die Mitteilungen (Sharing the News), a weekly newspaper printed in German by the 12th Army Group, for distribution to civilians as quickly as German towns were overrun. This paper was also distributed to displaced persons, and they, as well as the German civilians, showed an outstanding eagerness for news.
One of the greatest military government problems involved in the Roer River crossing operation was the handling of displaced persons. Transit centers were established at Roermond, Venlo, Kal-
In this town in Holland (left), these Dutch civilians, hired by Military Government, are working on a road used by American forces. One of the jobs given to the civilians was to repair their own railroads (right). Military Government agencies continually stressed the prompt restoration of lines of communication vital to both military operations and essential civilian needs.
At left, an infantryman of the 75th Division notices the sign on the door of a house in Moers, Germany, which reads, "Here are only civil persons." At right, a white flag of surrender appears above a civilian air-raid shelter in Lintfort, Germany, while an inscription on the outside of the shelter informs the soldier: "No soldiers. Here are living women and children." Such notices were found as Military Government officials conducted a thorough search for former members of the German armed forces hiding out throughout the area to escape capture and internment.
denkirchen, and Stralen, and these were turned over to Ninth Army as the Corps moved forward to establish new centers in Germany at Neukirk, Kempen, and Lintfort. A survey conducted on 18 March 1945, revealed the presence of 3,170 displaced persons in the Corps' area.
Threshing was begun in the "colony" area to establish a surplus supply of flour for the section, and summer wheat was threshed for seed. A class of German civilian volunteers was instructed by Corps engineers in the detection and removal of mines to clear the land for civilian use. Restoration of utilities was continued in Holland, with Dutch mine-disposal squads clearing rights of way. Electric power was restored in Echt, and work was pushed to provide water and power in Roermond and cities to its north. Civilian welfare organizations were formed at Susteren, Echt, Montfort, Sittard, and Stevensweert to assure an equitable distribution of American Red Cross clothing to refugees. A forty-bed civilian hospital was opened at Echt. The Bürgermeisters of Issenbruch and Havert were removed on Counterintelligence Corps findings of Nazi affiliations.
At left, civilians hastily move out of Lintfort, Germany, making use of horse and buggy to transport their belongings. At right, infantrymen of the 75th Division ride herd with a jeep on cattle near Rheinberg, Germany, in an effort to evacuate them to safer areas in the rear. A total of 13,300 persons and 2,500 milk cows were evacuated in thirty-six hours from the 75th Division forward area along the west bank of the Rhine River, prior to the Corps' inland amphibious assault across the river. Two hospitals and 90 patients were also moved to rear areas from Rheinberg and Orsoy on the west bank of the Rhine.
At left, a Military Government bulletin is read by a German civilian of Rheinberg. At right, a mobile radio broadcast unit enters the town of Hunxe, Germany, to inform its citizens of the rules and regulations of Military Government in that area. Military Government made use of several such mediums through which they told German civilians what was expected of them.
Moving ahead in its sweeping drive to the Rhine River, the Corps deployed Military Government detachments at Neukirk, Sevelen, Kempen, Lintfort, Rheinberg, and Moers. Bürgermeisters at Neukirk, Aldekirk, and Breyul, and several other civic officials appointed by military government officers during the combat phase, were dismissed after Counterintelligence Corps screening revealed former Nazi Party activities. Civil administration was expedited by lengthening hours of circulation from 1000 to 1300 hours daily for general civilians, with an extra hour each morning and evening for essential workers to travel to and from their jobs. Circulation hours of 0600 to 1800 hours were established for farmers on their own land.
Violations of laws were largely curfew violations. A Military Government jail was established at Wachtendonk, and additional auxiliary police were appointed in Moers and Lintfort to handle increased population resulting from the evacuation of forward areas prior to the Rhine River crossing. Military Government summary court officers were named at Lintfort, Moers, and Wachtendonk. Two civilians convicted of looting were fined 400 Reichsmarks each and sentenced to sixty days in prison, while nine curfew violators were fined 20 to 1000 Reichsmarks and sentenced to up to thirty days in prison.
The reopening of banks in various communities continued, and coal mines were opened in several towns. Civilians continued work on the huge task of restoring utilities throughout the area. Street names relating to Nazi personages or the Party were renamed, and the former Bürgermeister and other Nazi sympathizers at Hinsbeck were put to work painting out Nazi propaganda on buildings. The Hitler-Jugend center at Lintfort was converted to house displaced persons.
24 March–18 April 1945. With its assault across the Rhine River and drive through the heavily industrialized and densely populated Ruhr valley, the XVI Corps met and successfully solved a tremendous problem in the collection, segregation, and control of displaced persons, Hitler’s former slave workers. Many thousands were liberated each day the Corps moved forward and on 16 April 1945, 207,981 displaced persons had been placed in camps in the Corps’ area.
Three thousand displaced persons were found in a gymnasium in Sterkrade, one of the suburbs of metropolitan Duisburg. Two thousand were found in Gladbeck, and 20,000 were liberated in Essen from camps adjacent to the Krupp coal mines. Seven thousand were freed in Neheim, 19,000 in Dortmund, and 5,000 in Duisburg. In the confusion of combat, these displaced persons broke out of their camps and began to migrate throughout the area. Looting and food riots were prevalent. Troops quickly brought these riots under control and swiftly rounded up 5,000 to 6,000 displaced persons who broke out of twelve camps in the Mulheim area beAn acute water shortage existed in many of the cities of the Ruhr industrial area. Here, citizens of Witten, Germany, scoop water out of the street adjacent to a broken water main. Appropriate notices were posted to warn these people of the dangers arising from such practices, and action was taken to restore water service as soon as possible.
fore the arrival of American forces. Disorders were brought under control and civilian rioting and looting were halted.
In addition to rounding up and segregating displaced slave laborers, Corps forces supervised the care of 7,000 German civilians who took refuge in a mine near Wehafen and a like number of persons found living in bunkers in Bottrop. Food and medical supplies were provided for these individuals, and they were removed to homes and other shelters. Large cities had been battered and smashed by shells and bombs. Thousands of homes had been destroyed, and large areas of many cities were reduced to rubble. The great dislocation of German urban population provided serious problems which Corps officers successfully solved despite the critical food and housing situations involved. Warehouses of food discovered in the area were guarded for allocation under Corps direction, and a food warehouse for displaced persons was established at Recklinghausen. To alleviate an increasingly critical situation, one million rations were drawn from the Ninth Army civilian supply depot. A ten-day survey of the XVI Corps conducted by military agricultural specialists revealed a serious shortage of planting seed, particularly feed beets, and plans were made to alleviate that situation.
Action was taken to smash terror bands consisting of former Waffen-SS troops from Holland and France who were reported to be engaged in sabotage and espionage in Recklinghausen and Gladbeck. In a round-up of 25 civilians in Erkenschwick who were
Many cities had been destroyed and homes reduced to rubble during combat. Civilians, working under military government supervision, cleared roads and streets of cities and later began to dispose of the debris in order to restore proper conditions of sanitation to their communities.
United States military personnel removed all street signs bearing names related to the Nazi State or its leaders. Military Government adopted this policy in all communities to impress the local population with the thoroughness of de-Nazification.
At left, a German policeman, wearing his distinguishing armband, chats with a law-abiding citizen in the window of his home in Jüchen, Germany. These civilian police were sworn into office by Military Government authorities to assist in enforcing curfew and other restrictions. At right, a combat soldier of the 29th Infantry Division halts a civilian to check his credentials. These troops assisted Military Government authorities by establishing roadblocks and checking all passing personnel to detect roving displaced persons, former members of the German armed forces, and other individuals moving about without proper authority.
reported to have attended a Nazi sabotage school, hidden stores of munitions were uncovered and turned over to Ordnance. Records of Nazi anti-Semitic and anti-religious activities were located in the possession of the Dinslaken Bürgermeister and were taken into custody by Military Government detachments for safe keeping pending investigation by representatives of the War Crimes Commission. A new police chief was designated for Essen, and six hundred special police were appointed following their Counterintelligence Corps screening. Temporary Bürgermeisters were named in Essen and Mulheim, and the Duisburg police chief was removed and the police force replaced. The former Bürgermeister had fled, and the acting Bürgermeister was retained temporarily until a suitable replacement could be found, despite his former Nazi affiliations. It was learned that the police president of Dortmund had committed suicide on 12-13 April 1945.
Essen, it was discovered, had been without water since October 1944, and owing to bomb and shell damage, it had no sewer system in operation. Notices were posted on sewage disposal and latrines, and civilians in Dortmund and Essen were warned to boil all water from canals and wells. Partial resumption of electric power was effected in Dortmund within a week after its capture, and it was expected that power would be restored in Essen within two weeks, and water service in three to five weeks. Arrangements were made for hospital facilities in Essen and Dortmund after learning that ten hospitals in Essen had been damaged and all hospitals in Dortmund had been partially destroyed in the great barrages and air raids that battered the cities.
18 April–9 May 1945. With full assignment to an occupation and military government role, the XVI Corps assumed responsibility for an area 155 miles long and from 30 to 60 miles wide, extending between the Rhine and Weser Rivers from north of the Lippe River to a point south of the Ruhr River, including the industrial heart and most densely populated section in Germany. Adjustments during the next several days transferred a sector immediately east of the Rhine, including Essen, Mulheim, and Duisburg to the control of the U. S. Fifteenth Army, and extended XVI Corps control to include a vast area south of the Ruhr River extending to the
southern tip of the province of Westphalia, some distance below Siegen. Still later, adjustments in Corps boundaries were made in conformity with territorial borders of Westphalia to facilitate coordinated government activities at higher levels.
Corps troops began the difficult task of locating and seizing thousands of former German soldiers, high army officers, and Nazi Party members and officials who were hiding or seeking refuge in the area in an effort to avoid internment and possible punishment. They maintained heavy guards over all prisoner-of-war and displaced-persons camps, and provided necessary security for bridges and key points on lines of communications, as well as hospitals housing Allied and enemy prisoners of war. To accomplish this mission efficiently, the entire Corps area was divided into five sectors, with each of the Corps' major units charged with security and military government responsibilities in its assigned area. These units, on 18 April 1945, included the 17th Airborne Division, the 75th Infantry Division, the 79th Infantry Division with the 18th Antiaircraft Artillery Group attached, the 95th Infantry Division with the 20th Tank Destroyer Group attached, and the XVI Corps Artillery, with the 15th Cavalry Group attached.
The 17th Airborne Division passed to the control of XXII Corps on 25 April 1945 as that headquarters assumed responsibility for a portion of the XVI Corps zone. The 55th Antiaircraft Artillery Brigade was attached to XVI Corps on 22 April 1945, and units were regrouped to provide this brigade with an area of responsibility to allow the Corps to assume responsibility for that portion of Westphalia south of the Ruhr River and west of the Lenne River from the 8th Infantry Division (XVIII Airborne Corps). The 5th Infantry Division was attached to XVI Corps on 22 April 1945, but was released from attachment on 25 April 1945, when the 75th Infantry Division relieved it of responsibility for control of a sector south of the Ruhr River. The 29th Infantry Division was attached to the Corps for a special mission on 5 May 1945.
With the initiation of a phase which approximated post-hostility conditions, 19 American and 19 British military government units were placed under Corps control, but many of these were later transferred to meet greater needs in other sections of the Reich. The loss of all but four of the American detachments concurrently with an increase in an area of responsibility and the complexity of military government problems arising from a post-hostility phase created an operational problem of great magnitude, but it was successfully solved by the ingenuity of the Corps' units.
Located at Recklinghausen during the first stage of this mission, the XVI Corps command post opened at Beckum, Germany on 28 April 1945, in a more centralized locality with respect to its area of responsibility. Corps troops seized 30,748 German officers and soldiers seeking to escape internment in the twenty-one days between 18 April and 9 May.
At left, the crown jewels of Charlemagne are shown as they appear on exhibition at XVI Corps headquarters after their discovery at a castle in the Corps' area. These jewels are exact replicas of the originals and were made for Kaiser Wilhelm II in 1912-13. They are valued at approximately one million gold marks. Stones in the various pieces came from religious vestments of the Greek Church and are cut exactly like the originals. The original jewels, which belonged to Emperor Franz Josef of Austria, were made about the twelfth century and were used only for the coronation of emperors of the Holy Roman Empire. At right is shown the castle of Count Wilderich von Spee, near Brilon, Germany, storage site for many German treasures of art, found by the 75th Infantry Division.
1945. First positive steps toward resumption of civil government at a provincial level were taken during the latter part of April with the installation of a British Provincial Detachment in Münster to begin a coordinated administration throughout Westphalia. Tactical deployment of troops was studied and readjusted when it was found that artificial military boundaries tended to impede resumption of a coordinated government at higher levels. Civil administration at *Stadtkreis* and *Landkreis* levels continued to show increased improvement as screened officials became more and more aware of their functions and powers under military government, and the general public appeared to be gaining confidence in their new administration.
Bitterness and hatred for the Nazi régime was manifested in various areas, although it was too early for an accurate analysis of German political thought. Many were bewildered and confused politically and looked to Military Government as an agency to protect them from the wrath of displaced persons, while they apparently felt no subjective guilt for the presence of these slave laborers. Public officials and citizens alike cooperated with the military government, and some former Nazis turned informants, seeking leniency at the hands of the conquerors.
Extensive investigations continued; countless arrests were made; and all subversive activities were promptly checked. Several caches of ammunition and explosives were discovered and seized. Treasures, including furniture, paintings, jewelry, and other historic masterpieces that had been looted by the Germans from nations they had previously occupied were seized by Allied occupation forces and placed under guard for safe keeping, to be returned to their rightful owners later.
Agricultural enterprises were encouraged, and many coal mines within the area were reopened. Repairs to factories were pushed whenever possible for the production of essential goods to meet occupa-
This group of former German slave laborers was liberated in Essen. They lived together in the shabby buildings enclosed by a barbed-wire fence shown in the background. To convince these displaced persons to remain in place so that they could be efficiently housed, fed, clothed, and given adequate medical attention until they could be returned to their homelands was a major concern of military government agencies.
In celebration of the Allied victory in Europe, the XVI Corps staged appropriate ceremonies in Beckum, Germany. At left, Maj. Gen. John B. Anderson, Corps commander, and his staff salute as the National Anthem is played. At right, a Corps chaplain leads the assembled military and civilian personnel in prayer.
tion and civilian needs. Work on the clearing of streets and highways and the repair of water, gas and electric-power systems continued, and some railroad lines were placed in operation. Bridges that had been knocked out during combat were replaced by civilian labor. To correct a serious condition arising from food shortages, arrangements were made to establish a control food commission. Collection of food stocks stored in mines throughout the area was begun, and surplus food stocks existing in one locality were transferred to areas where shortages existed. Rationing offices, including the provincial rationing department, were reopened, and price-control systems were placed in effect.
Showing a steady incline daily since the Rhine crossing, the number of displaced persons collected in the Corps area reached 350,000 on 26 April 1945. Under efficient administration, initial problems of collection and provision of bare necessities were successfully solved and a program of registration and discipline followed. The number of these displaced persons, by nationality, collected in camps within the Corps area on 18 April and on 8 May 1945, is depicted in the following table:
| Nationality | 18 April | 8 May |
|-------------|----------|-------|
| French | 15,433 | 11,056|
| Belgian | 7,320 | 5,588 |
| Dutch | 6,074 | 4,351 |
| Russian | 91,113 | 185,895|
| Polish | 21,660 | 55,205|
| Italian | | 19,588|
| Others | 69,362 | 37,015|
| Undetermined| 4,120 | 7,105 |
Total: 215,082
Improvement in the organization of displaced-persons camps and the posting of heavier guards resulted in a reduction in the number of cases of these persons breaking away to loot and assault Germans. Evacuation and repatriation of Western Europeans were put on a daily basis, averaging about 1,500 French, Belgian, and Dutch daily. A total of 28,377 had been evacuated by 30 April 1945.
VE-Day. Shattered and disillusioned, their power and glory only a memory of the past, German armies in the meantime had been driven steadily backward. It was at 0241 hours (ETO time) on 7 May 1945, that Grand Admiral Karl Dönitz, then head of the Reich, surrendered all German forces unconditionally to the United Nations. The instrument of surrender was officially signed by Colonel General Gustav Jodl, German Chief of Staff and head of the German delegation, at the headquarters of General of the Army Dwight D. Eisenhower, Supreme Commander of Allied Forces in the European Theater, in a red-brick industrial college in Reims, France. At 0001 hours on 9 May 1945, the cease-fire order became effective throughout Europe, stilling the crash of guns, the whistling of bombs, and the cries of the dying which Hitler had invoked six years earlier, on 1 September 1939, when he sent his conquering German armies across the Polish frontier.
Appropriate ceremonies marking the unconditional surrender were conducted by the XVI Corps in Beckum, Germany, to celebrate the great Allied victory and to acquaint the citizens with official news of the Reich's complete defeat under the crushing weight of Allied might. The 1st Battalion, 175th Infantry Regiment, 29th Division, veterans of many
Occupation area of XVI Corps
At left, a soldier of the 75th Infantry Division discovers and takes into custody a German soldier found in civilian clothes in the Ruhr industrial area. At right, Nazi political prisoners and criminals are shown in a prison at Werl, Germany. Prisoners and guards are waiting in the open yard for first count by military police.
battles and heroic deeds, paraded through Beckum streets. Hundreds of townsfolk lined the streets to witness the parade and then proceeded to the Wilhelmsplatz to see and hear the victory ceremonies. The Corps staff proceeded from the Corps headquarters by vehicles to the Wilhelmsplatz to view the ceremonies. Enlisted personnel of the Corps Headquarters and Headquarters Company who could be spared from pressing duties marched to the scene in a body. Maj. Gen. John B. Anderson, XVI Corps commander, rode in the parade in his official car. At the Wilhelmsplatz, proclamations were read in English and German, and the band played the American National Anthem, together with the national anthems of Great Britain, France, and Soviet Russia, while hundreds of assembled Germans stood solemnly by. General Anderson spoke briefly to the troops and civilians, and the Corps chaplains offered prayers.
On 10 May 1945, Lieut. Gen. William H. Simpson, commander of the U. S. Ninth Army, issued a victory proclamation to all officers and men, praising them for their great advance through Germany which, he declared, would rank among the greatest military achievements of all time, "Significant milestones in that advance," he said, "were the operations in the western Rhineland, the crossing of the Roer River, the crossing of the Rhine, the reduction of the northern half of the Ruhr pocket, and the dash across Germany to the Elbe." All operations, with the exception of the last, were operations in which the XVI Corps had played an instrumental part.
9 May-12 June 1945. New pages were added to its record of accomplishments as the XVI Corps continued its occupation and military government mission and at the same time initiated and conducted a readjustment and redeployment program vital to American victory in the Pacific. The Corps' area of responsibility for security and governmental control covered approximately 6,300 square miles and contained about 4,950,000 people. It included the provinces of Länder-Lippe, Schaumberg-Lippe, and the greater portion of Westphalia.
Corps units, continuing their search for fugitive Nazis and all dangerous elements in the occupied area, jailed some 2,000 Germans for known or suspected subversive activities. Those individuals included Nazi Party leaders as well as officers and members of military organizations, the Gestapo, and the Hitler-Jugend.
The processing and administration of displaced persons in the area continued to be a major problem. Displaced persons administrative staffs were augmented to include four Russian liaison officers, eight Polish liaison officers, five Polish displaced-persons teams, four French teams, and two UNRRA (United Nations Rehabilitation and Relief Administration) teams. Only constant alertness of Corps units in rounding up displaced persons and in maintaining close control over them prevented the occurrence of many cases of violence by slave workers in which the embers of hatred had smouldered for years during their long and cruel subjection to the "Master Race." Living conditions and facilities for these
people were continually improved. On 17 May 1945, a plan previously arranged between the Ninth Army, the XVI Corps, and the VII Corps, was put into effect, providing for the repatriation of large numbers of Russian displaced persons from the XVI Corps area. The plan provided for the hauling of 3,000 Russians daily from the XVI Corps area to camps at Mulhausen and Nordhausen in the VII Corps area. In exchange, a like number of Western Europeans were brought back to the Ninth Army railhead at Mecklenbeck, southwest of Münster. These Western Europeans were turned over to a Ninth Army team at the railhead for feeding, delousing, and entraining for shipment to Liège, Belgium. Utilizing rail and motor transportation, this exchange program operated for a period of ten days from 17-27 May 1945, during which time 26,900 Russians were evacuated from the XVI Corps area. The Corps also continued its evacuation of Western Europeans through channels already established, and the following table reflects the extent of these activities during this period:
| Nationality | Evacuated during period 9 May-6 June | Remaining in Area on 1 June |
|-------------|-------------------------------------|-----------------------------|
| French | 18,346 | 62 |
| Belgian | 8,669 | 114 |
| Dutch | 8,161 | 746 |
| Russian | 26,900 | 139,852 |
| Polish | | 51,057 |
| Italian | | 45,959 |
| Others | 1,787 | 8,758 |
| Total | 63,863 | 246,548 |
Thus, during its entire period of occupation and military government, the XVI Corps collected and segregated approximately 400,000 displaced persons, and repatriated 101,090 of them.
Prior to 6 June 1945, the Corps liberated approximately 300,000 Allied prisoners of war, and at the time it was relieved from duty in the area, it had repatriated over 100,000 of these unfortunate Allied soldiers. At the time of their liberation these Allied prisoners of war were scattered throughout the entire area in small groups, and the retreating Germans left them without food, shelter, or medical attention. Immediate measures were taken to collect these individuals, segregate them by nationality, and concentrate them in as few camps as possible consistent with available facilities in order that they could be efficiently fed, clothed, housed, administered, and given necessary medical attention prior to return to their own countries. Those tasks were accomplished so well by the XVI Corps that governments concerned have publicly expressed their appreciation of the work done by the Corps in conjunction with Allied prisoners of war.
On 15 May 1945, the Corps was given the responsibility for processing and discharging many German prisoners of war. These discharges were to be effected to overcome a great shortage of civilian labor and to provide the early release of men most vitally needed for certain types of skilled trades. Coordination was effected with the Ninth and Fifteenth Armies and other corps on the type and number of men to be discharged, and discharge areas to be established. All prisoners of war in the area were moved to the XVI Corps inclosure at Eselheide, Germany (B6464), and prisoner personnel were utilized to assist the processing staff in the mission. The first
prisoners, 1,198 of them, were released on 21 May 1945, for employment in agriculture, mining, and transport. Another 1,800 were released later in the week. Altogether, the Corps staff screened 14,279 German prisoners and processed 6,759 for discharge.
It disapproved for discharge and transferred to internment camps a total of 970 others. Discharged prisoners were transported to the capitals of the Landkreis in which they lived, and there they were required to report at once to the labor office, the food office, and to the police for registration.
During this phase, the 75th and 79th Infantry Divisions continued to occupy the Regierungsbezirk of Arnsberg; the 55th Antiaircraft Artillery Brigade and XVI Corps Artillery occupied the Regierungsbezirk of Minden, and the 95th Infantry Division (later the 35th Infantry Division) occupied the Regierungsbezirk of Münster. These area commanders remained responsible for the care, control, and repatriation of displaced persons and the preservation of military order. Close liaison was established between tactical units and Military Government detachments to insure maximum efficiency in the performance of their respective missions. The laborious task of reorganizing provincial and Regierungsbezirk departments was begun. Difficulties previously encountered in finding experienced non-Nazi personnel to fill key positions in Stadtkreis and Landkreis administrations were multiplied at higher levels of government where Nazi Party members had held a monopoly on official positions. Local government showed satisfactory progress, and Bürgermeisters appeared to be developing initiative in dealing with local problems of food, transport, utilities, and labor.
Banks and post offices were reopened, and rapid progress was made on their resumption of normal business. Permission was granted many churches to reoccupy property confiscated by the German State. Additional coal mines were reopened, and several factories as well as small shops were permitted to resume operations for essential needs in accordance with directive priorities. Rapid progress was made on the restoration of all types of public utilities, and routes of communication were restored to a satisfactory condition for use. Military courts were functioning smoothly, and law and order was established throughout the area.
Under War Department plans to shift American military might to the Pacific Theater as efficiently as possible, the XVI Corps was assigned the responsibility of extensive personnel readjustment in all its units and of the preparation for redeployment of certain units that had been alerted for movement out of the theater. Large numbers of individuals were transferred between units, and those organizations that were alerted were given special attention with
At left, a soldier of the 95th Infantry Division stands guard at a U-boat yard in Bremen harbor. After its capture by the British I Corps, XVI Corps supervised the occupation of the Bremen Enclave area by the 95th Infantry Division and later by the 29th Infantry Division. At right, in connection with its occupation duties, the 53rd Antiaircraft Artillery Brigade discovered a factory in its area which manufactured this self-propelled radio-controlled rocket. The inventor of this new flying bomb was captured, and the manufacturing facilities were seized.
respect to the various requirements they had to meet prior to departure from the Corps area.
The XVI Corps also directed the relief of British troops and the establishment of American forces in the Bremen enclave area. Under plans which provided for occupation of this zone by the 95th Infantry Division, the Corps directed the movement of the division's 378th Infantry Regiment to Bremen, where it passed to the control of the British 21st Army Group and was attached to the British Second Army and further attached to the British XXX Corps for operations. These original plans, however, were subsequently changed, and the 29th Infantry Division was finally selected for the task. As a result, the 29th Infantry Division, with its semi-organically attached units, was attached to XVI Corps and moved into an assembly area near Münster. The 29th Division's 115th Infantry Regiment moved into the Bremen area on 6 May 1945, relieving the 378th Regiment so it could rejoin the 95th Division. The Corps then moved remaining units of the 29th Division into the enclave area, completing relief of all British elements by 24 May 1945. The movement of Communications Zone, naval and air force units into the Enclave Military District was coordinated by the Corps, and on completion, control of the area was transferred to the Ninth Army.
Procedures were established with the British I Corps during the latter part of May for the early transfer of the XVI Corps area to British control. On 30 May 1945, the British I Corps relieved the XVI Corps of all responsibility for military government in the entire XVI Corps zone, and on 2 June 1945 it assumed responsibility for the occupation and security of the western half of the Corps area. On 6 June 1945, the British I Corps assumed responsibility for the remainder of the Corps area. All units attached to the Corps were relieved on various dates ranging from 25 May to 10 June 1945. The Corps maintained close liaison with its subordinate units during this busy time, alerting them, issuing movement orders, and assisting them in all essential activities prior to movement from the area. This done, the XVI Corps was ready for its next mission, another important part in America's war program.
Millions of American troops, tested combat veterans, were marking time in thousands of cities and villages throughout Western Europe, their great conflict with Hitler's legions successfully ended, their new task, the crushing of Japanese military might, waiting to be done. Service forces within the theater were not sufficient to execute their redeployment with the speed desired without assistance from the field forces. General of the Army Dwight D. Eisenhower, Supreme Commander of Allied Forces in the European Theater, selected three combat units, the 66th, 75th, and 89th Infantry Divisions, for this important task. On the basis of the efficiency with which the XVI Corps had conducted its processing and its redeployment missions in addition to its greatly successful combat missions, General Eisenhower selected the XVI Corps to assume the control and direction of the administration, discipline, welfare, and morale of these divisions designated for redeployment work. Fully aware of the importance of this mission, the Corps moved to begin its new assignment. Effective 12 June 1945, the XVI Corps was relieved from assignment to the Ninth Army, was assigned to the Theater headquarters, and was designated as a major command within the theater. At the same time it opened a new command post in Chantilly, France.
Lieut. Gen. William H. Simpson praised the XVI Corps and the divisions which had served under it in a letter which the Commanding General of the Ninth Army transmitted to his command prior to his departure from the European Theater of Operations:
I have nothing but praise for the work of the XVI Corps, from your initial mission of processing and moving troops from the beaches to the Army's zone, through your rapid integration into the Rhineland operations, your brilliantly executed crossing of the Rhine as the Army spearhead, and your subsequent reduction of the Ruhr Pocket.
Of the divisions and other units that had served under the XVI Corps, General Simpson said:
From a command which has included so many outstanding divisions, it would be difficult indeed for me to select any one unit for special commendation above the others. However, certain of the divisions have been more or less continuously associated with Ninth Army during the past nine months. Hence it is that I wish at this time to make special mention of my appreciation of the work done by the 29th, 30th, . . . Infantry Divisions during this continued period. Ever ready and waiting for new missions, you never failed in your objectives, but in each successive operation further distinguished yourselves and added to your long records of outstanding accomplishments.
No less impressive is the work that has been done for this command by the . . . 35th, 75th, 79th and 95th Infantry Divisions and the . . . 8th Armored Division during the periods of your assignment to the Ninth Army.
General Simpson also added:
I wish also at this time to make record of my appreciation of the support afforded both the Army Headquarters and the command as a whole by the many units of the arms and services carried as Army troops, and I regret that time and space make it impracticable to mention each of you by name. However, the outstanding records established in their respective fields of operations by the 34th Field Artillery Brigade and the 55th Antiaircraft Artillery Brigade prompt me to make special mention of your superior performance in all assigned missions.
VI: SUPPORTING SERVICES AND ACTIVITIES
Realizing that success in battle results only from the coordinated efforts of a great many arms and services, the XVI Corps utilized the services of several units and directed countless activities which contributed greatly to its success in combat. The complex and specialized scheme under which our armed forces are organized provides a mission for these services and activities which is no less important than the role of the combat soldier.
G-1 Activities
Awards and Decorations. The Corps was ever mindful of the heroic deeds and meritorious service being performed by individuals throughout the command, and in recognition of these achievements, a great many medals and decorations were awarded. The Corps processed a total of 1,485 recommendations for awards, many of which, including 5 recommendations for the Medal of Honor, were forwarded to higher command echelons for final approval. The XVI Corps approved and authorized for presentation to individuals under its command the following awards earned during the period 6 February to 9 May 1945:
| Award | Number |
|--------------------------------------------|--------|
| Distinguished Service Cross | 13 |
| Silver Star Medal | 31 |
| Soldier's Medal | 20 |
| Bronze Star Medal | 486 |
| Oak Leaf Cluster to Bronze Star Medal | 33 |
| Air Medal | 43 |
| Oak Leaf Cluster to Air Medal | 45 |
| Purple Heart Medal | 6 |
| Oak Leaf Cluster to Purple Heart Medal | 1 |
| Certificate of Merit | 95 |
| **Total** | **773**|
Governments other than our own also recognized the battle deeds of XVI Corps troops, and twenty medals were authorized for presentation by the French government, while six British medals were awarded.
Leaves and Furloughs. Realizing that a break in his combat routine contributed greatly to the efficiency and well-being of the soldier, the Corps and its subordinate commands utilized every opportunity to lift the strain and burden of combat duty from their troops to permit them to enjoy the finer style of life available in rest and leave centers throughout the theater. Three-day passes to Paris, France, and Brussels, Belgium, for the combat soldier were frequently provided. Thousands of XVI Corps soldiers were given the opportunity of enjoying a week of luxurious living in the United States Riviera Recreational Area, the famous playground of Europe, while an equal number were sent to the United Kingdom on furlough or leave.
Mail. Perhaps one of the greatest single factors contributing to the high morale of XVI Corps troops was their mail. Even during the height of combat, every effort was made to keep mail delivery to combat troops continuous. Mail for divisions was processed by their own postal sections. For XVI Corps and its assigned and attached non-divisional troops, the 266th Army Postal Unit operated a command army post office. When, during the Rhine River crossing, the Corps strength included over 120,000 troops, an additional army postal unit was employed to assist in handling mail, and the Corps' own postal unit serviced 125 per cent more troops than it was normally designed to service. The 266th Army Postal Unit performed for the Corps in the field all the functions of a local post office. Each member of the armed services wrote an average of 6.4 letters per week, and the Corps postal unit, during the period 4 October 1944 to 30 June 1945, sent 9,869,400 soldiers' letters to their destination, while it received and delivered to Corps troops 15,839,600 letters from friends and families at home. At the same time, these soldiers purchased stamps valued at $89,886.00 and invested their earnings in 29,468 postal money orders valued at $1,381,177. Parcels as well as letters were eagerly received by all soldiers overseas, and during this same period, the Corps postal unit delivered 440,500 parcels to troops which it serviced, while it received from its patrons for dispatch a total of 175,000 packages of all sorts.
Special Services. During periods when its troops were out of the line in rest or assembly areas, the Corps provided special services of a wide variety for the benefit of these men. The greatest medium of entertainment was the motion-picture service. Projection teams from special service companies, equipped with 16 mm. sound-projection equipment, were dispatched throughout the Corps to provide
At upper left, combat men of the 8th Armored Division receive communion from a division chaplain in a little church in Greifath, Germany. An Army chaplain (upper right) administers communion to one of the former inmates of a slave labor camp at Ickern, Germany, in the 75th Infantry Division's area. A search was later made for clergymen and seminarians among these displaced persons. Several were found and provided with the necessary supplies and equipment with which to carry on this ministry. Below, men of the 35th Infantry Division attend Protestant services in a shell-damaged church in Obspringen, Germany. In addition to the conduct of services such as these, chaplains in the Corps worked continuously at medical collecting company sites and battalion aid stations to provide spiritual aid to wounded men when it was needed most. During the crossing of the Rhine River, chaplains of the assault divisions crossed with their medical detachments in order that wounded men of these assault elements might not lack the services of their unit chaplain.
movies on a wide scale and under varying conditions. In Germany, civilian theaters with 35 mm. sound-projection equipment were taken over for military use exclusively.
The American Red Cross clubmobiles dispensing coffee and doughnuts were extremely popular and a welcome sight to any soldier in the European Theater. The XVI Corps employed two sections, consisting of 35 Red Cross girls manning these clubmobiles and doughnut dugouts. These clubmobiles made daily trips to front-line units under the Corps, and each served as many as 1,000 men per day.
Live shows contributed greatly to the Corps entertainment program for its troops. A large number of USO Camp Shows and similar types of programs appeared before audiences of Corps troops during its operations. These included the Lightner-Grand-Marco Show, the Fred Stritt Show, the Don Rice Show, and the Dretser Show, as well as the major league baseball players—Frankie Frisch, Mel Ott,
Private Mickey Rooney enjoys a joke while having chow with medical men of the 35th Infantry Division at Braunarath, Germany. Rooney was entertaining front-line troops with his Jeep Show (left). Jascha Heifetz (right), celebrated violinist, signs his autograph for XVI Corps troops after giving a USO Camp Show concert in Beckum, Germany. Most of the soldier audience asked for the musician's autograph on captured German reichsmarks. Units under the XVI Corps during combat enjoyed many shows which featured such outstanding entertainers as these.
Dutch Leonard, and Bucky Walters. Such headliners as Katherine Cornell, Brian Aherne, Marlene Dietrich, Mickey Rooney, Bobby Breen, Jascha Heifetz, Andre Kostelanetz, and Lily Pons contributed their talents for the entertainment of combat troops.
Through the medium of post exchanges, athletics, libraries, dance bands and orchestras, and countless other facilities made available through special services, the life of the soldier overseas was enhanced and his morale maintained at a high level.
**Intelligence Activities**
*Enemy Order of Battle.* When the Corps became operational on 6 February 1945, relieving the British XII Corps on the south Holland front, the enemy order of battle opposing it from west to east, consisted of the 8th Parachute Division and 176th and 183d Volksgrenadier Divisions. While the two infantry divisions had been in the line for some time, the 8th Parachute Division had only recently been created by interchanging its staff with that of the 606th zBV (*zu Besonderer Verwendung*, a special purpose division) and taking over the troops under command of that division. This seemed logical as these troops were actually parachute units. Thus Regiments Müller and Hübner became the 22d and 23d Parachute Regiments. Regiment Hermann, the third regiment of the 606th, for some obscure reason never received a number and continued fighting independently. The attack of the British XXX Corps on 17 February drew elements of 8th Parachute Division to the scene of more imminent danger. Its former position was taken over for a few days by three Parachute *Lehr Gruppen* which in turn were relieved by 406th zBV Division.
The most likely enemy reserves believed to be in supporting distance of our front at this time were the 2d and 116th Panzer Divisions, 2d and 15th Panzergrenadier Divisions and one unidentified infantry division persistently reported in the vicinity.
Although the vigorous and successful initiation of Operation Grenade caused the movement of major elements of both 176th and 183d Volksgrenadier Divisions to the south to oppose early advances of the XIII Corps, the remainder of these divisions continued to oppose our advance toward Venlo and Geldern but by 3 March they had been “mowed down” under the steamroller.
Before contact was gained with the Canadians at Walbeck on 3 March, the 406th zBV Division, falling back from their position on the Maas River was encountered and pushed aside at Melick on 1 March. As our attack moved on, the enemy order of battle began to show signs of disintegration with the usual phenomenon of miscellaneous units coming more and more into the spotlight. As our drive continued eastward, the 180th and 190th Volksgrenadier Divisions were contacted by 3 March and contact with elements of the 2d, 6th and 7th Parachute Divisions and a formidable *Kampf Gruppe* (Battle Group) of the 116th Panzer Division soon followed as our forces rapidly approached the Rhine where the enemy was making a frantic effort to prolong his Wesel bridgehead which finally resulted in its collapse on 11 March with our capture of Fort Blücher and the elimination of all German resistance west of the Rhine.
During the lull until 24 March when Operation Flashpoint was launched, the enemy identifications east of the Rhine were becoming more firmly established. The 180th Volksgrenadier Division was holding the sector north of Dinslaken with the mysterious Regiment Hamburg eventually identified as its third regiment. Elements of 2d Parachute Division had replaced a miscellaneous Parachute *Lehr Kampf Gruppe* and was holding the southern part of our sector.
As our attack progressed the major opposition on the front of the 79th Division was from miscellaneous battle groups and the 2d Parachute Division which fought a delaying action into the Ruhr, where its well trained units were to be used to bolster the dePRISONERS OF WAR
TAKEN BY XVI CORPS
The action was by now (5 April) contracted into the Ruhr pocket and here the 4th AA or Flak Division made its debut and played its futile and final role. Of the 317,000 prisoners of war taken in the pocket there were represented hundreds of units, a motley horde of parts and pieces swept into the gigantic eddy-flotsam on the sea of battle.
The 116th Panzer Division, a worthy opponent by any standard, made a strong effort to get out of the circle and at one time (5 April) was actually "half out and half in" but its momentum was blunted on the sharp drive of Task Force Twaddle (U. S. 95th Division) and it returned to the fold for its last stand.
The only familiar faces in this "Last Roundup" were 116th Panzer Division; 2d Parachute Division; 180th Volksgrenadier Division and 190th Volksgrenadier Division, since 4th AA Division was considered a recent and uninvited guest. The rest of the
units encountered here ran the gamut of the Wehrmacht from A to Z, and made G-2's hair turn grey overnight.
Of the 317,000 prisoners of war taken out of the Ruhr pocket, Corps units accounted for approximately 65,000, the rest being taken by elements of U. S. First Army pushing relentlessly toward the north. The chart shows the weekly prisoner-of-war totals. They represented every imaginable type of unit but a large percentage was AA and Volkssturm.
As the structure of the Nazi war machine fell apart, here was the final showdown, here were "the ashes of the empire!"
Counterintelligence. The counterintelligence activities of Corps began in Normandy. The security of the Corps CP, the ever-present threat of raiding parties and enemy agents from the nearby Channel Islands (where the 319th Infantry Division retired in June after the breakthrough at Avranches) and the large numbers of German prisoners of war in the peninsula, all combined to pose a problem of no small proportions. This was to be the proving ground for maneuver and textbook training received in the States. Results were obvious when the Corps entered operations in February, and the take-over from the British XII Corps was effected without any knowledge being obtained of it by the enemy. In fact, it was not until the Corps reached the Rhine River that the German GHQ listed XVI Corps in its Order of Battle. And the oversight was not intentional.
The movement of troops up to the river for the assault required much preparation to insure that the enemy was kept in doubt as to our intentions. Movement of the assault troops, massing of the artillery, and assembling of river-crossing equipment were shrouded in secrecy. One group of enemy agents, put across the river to secure information, was apprehended intact, and other lone agents were also rounded up. As future events were to prove, the enemy had little inkling of our plans. He anticipated a crossing attempt but expected it north of Wesel where the Canadians crossed.
Events moved so rapidly after the river crossing was forced, that counterintelligence measures were always in a state of flux. With the disintegration of the Nazi war machine under way, the rounding up
Americans Across the Weser
PARIS — The decisive offensive of the Allies is rolling with lightning speed into the heart of Germany and is threatening to split Germany into two parts. On the northern sector of the front the Allies have already crossed the Elbe River and are now advancing across the river south of Hameln. Allied units are already within 45 km of Bremen, and the city is under heavy shelling. The bridges in the Ruhr area are being further hemmed in; Siegen and Recklinghausen were captured by the Americans and fighting is taking place on the approaches to Dortmund and Osnabruck. Western Germany is within 60 km range, and Berlin is within 120 km. Canadians have entered Arnhem. They advanced to within 50 km of the Zuider Sea and are threatening to cut off the German forces in the Netherlands.
During the Allied advance into Central-Germany the cities of Detmold, Herford, Minden, and Paderborn were captured. Gelsenkirchen and Suhl were cleared of German troops. Other American troop units are advancing in the Neckar valley and are within 50 km of Nuremberg.
The Corps' first leaflets were unloaded during February 1945, into the German islands south of Roermond (top right). Paratroop units were seconded to the task of distributing the leaflets. The heading "Living Bull's-eye" refers to their plight. The leaflet at the top left was employed in the Ruhr Pocket and illustrates the situation of the German troops. The heading reads: "Ruhr District Encircled." At the lower left is shown a copy of a leaflet dropped over the Ruhr Pocket. It was aimed at the German troops, shot at them in artillery shells. In most instances, it was the only way to reach them. The text was in German, but the people are in English. Theirs, of course, was in German. The enemy used leaflets against us, too! At lower right is one we got while sitting on the west bank of the Rhine. It was intended to launch the attack across the river. Surprisingly enough and despite our heavy air and artillery, our losses in the crossing operation were extremely light.
At upper left, a 97th Signal Battalion sign painter gets an OK from his first sergeant on signs marking the location of communications cable across the Rhine River from Borth, Germany. At upper right, a Signal Battalion cableman identifies pairs on a German underground cable used to carry telephone conversations on the XVII Corps front near Borth, Germany. At lower left, men roll a reel of submarine cable ashore on the east bank of the Rhine River after the cable had been laid across the river by means of the amphibious vehicle in the background. At lower right, staff of a local cable company inspects the cable at Xanten, Germany, to make sure it is properly installed and maintained. The continuous, painstaking efforts of the Corps signal battalion in providing efficient and uninterrupted communications service throughout the Corps contributed immeasurably to its success.
of automatic arrestees (i.e., those on a previously prepared black list), war criminals and enemy troops masquerading as civilians, required the full attention of all our facilities. The infamous Nazi diplomat, Franz von Papen, was taken as well as Alfred Krupp von Bohlen, head of the Krupp works. At one time the Corps was the unwilling host to twenty-four generals of the Wehrmacht and eventually the concentration camp at Recklinghausen contained almost 10,000 thugs and hoodlums of high and low degree.
Other Intelligence Activities. Psychological warfare made its debut in World War II, and while it is impossible to calculate the accomplishments of this new weapon, there were many instances where the prompt employment of Publicity and Psychological Warfare, or P&PW as it was called, saved Allied lives and induced enemy pockets to surrender. Leaflets were fired into enemy lines, and newspapers giving latest news on their then deplorable situation were furnished the German troops by courtesy of our artillery. The enemy also retaliated in kind with their leaflets via plane and shell. Psychological warfare equipment and facilities were invaluable to Military Government as the quickest means of issuing instructions to the civilian population, and the sound trucks were very much in demand.
Photo interpretation continued all during operations. Photos were being taken continuously and master maps were kept up to date hour by hour. Enemy installations as identified were published in G-2 periodic reports daily and as required overlays and overprinted maps were furnished to the frontline troops. Patrols received photographs to supplement maps of areas they were to cover.
Information obtained by IPW (Interrogation of Prisoners of War) and MII (Military Intelligence Interpreters) was published to all troops daily and telephoned if the urgency of the situation warranted it. On one occasion our MII teams obtained valuable data on a minefield outside End in late February which enabled our troops to by-pass the danger area. A surprisingly accurate amount of enemy information was secured through these agencies.
Little can be told of the more secret activities of G-2 but agents were active through enemy lines, and deception forces, as well as Underground assistance for escapers and evaders (PW&Ex we called it) performed their appointed tasks cheerfully and at great risk. No public recognition can be made for their work but only those permitted an insight into this phase of operations can ever appreciate what they did. As Lord Tennyson said, and with apologies for the paraphrasing, "theirs but to do—or die."
Signal Communications
Signal communications within the Corps command post and to its lower and adjacent units was provided by its organic 97th Signal Battalion. This battalion installed and maintained wire, radio, and several other types of communications for the Corps during its entire operations, and these services were an outstanding contribution to the success of every mission. A tribute to the 97th Signal Battalion is the fact that at no time during combat was the Corps out of telephone communication with any of its divisions for more than two hours, and radio communication was continuous.
During the Corps' crossing of the Roer River, an elaborate system of spiral-four wire cable lines was installed and maintained under unfavorable conditions. Maintenance of cable interrupted by enemy shell fire was difficult owing to conditions of heavy road traffic and wet weather. Cablemen continued their outstanding work in locating and repairing existing commercial underground cables to supply alternate routes for wire communication within the Corps. During this operation, as well as those following, particular difficulties were experienced in establishing communications with British units on the Corps left flank. The non-interchangeability of American and British signal equipment made it necessary for the signal battalion to place its own equipment and operating personnel with these British units. At one time the Corps spearhead division, the 35th, had displaced forty miles in advance of the Corps command post, yet efficient communications were effectively maintained over these extended distances.
The period just prior to and during the Rhine River crossing brought a peak load for all means of communications. From 1 to 31 March 1945, the signal battalion processed a total of 91,000 messages. All electrical messages sent in Germany of necessity were cryptographed, and the battalion's code personnel performed an outstanding service in their prompt and efficient servicing of these operational messages. The Corps forward echelon switchboard serviced as many as 850 telephone calls per hour. The performance of motor messengers during this phase was particularly outstanding. Frequent changes in attachment of units and in their location made their
mission an extremely difficult one, yet they never failed to deliver their messages with the least possible delay.
A novel feature of Corps communications was the use of a combat information radio net operated by signal battalion personnel for the Corps liaison section. Liaison officers were provided with a Signal Corps Radio 193 and the necessary operating personnel. Equipment and personnel were transported in a weapons carrier and accompanied Corps liaison officers to front-line regiments where information of the current situation was radioed back to the Corps headquarters. Five of these teams operated on the Corps front during operations, providing the Corps commander with timely information concerning progress made or difficulties encountered by frontline units.
Communications problems of a somewhat different nature were successfully solved during the Corps engagement in an occupation and military government mission. The work of the signal battalion changed from rapid installation of spiral-four wire cable to the rehabilitation of German commercial cable to tie in the various Corps units which were dispersed throughout an area approximately the size of New Jersey. Telephone carrier systems were used to the extent of their availability, and extensive use was made of German repeater equipment already in place in the various towns and cities of the area. Difficult technical problems not ordinarily encountered by a Corps signal battalion were met and solved to the end that a heavily loaded telephone system was available to meet the military needs of the Corps. As an indication of the volume of traffic encountered, 110,000 messages were processed by the 97th Signal Battalion during the month of May.
G-4 ACTIVITIES
Though a Corps is a tactical organization concerned primarily with combat operations, the XVI Corps directed many activities related to supply and evacuation for its non-divisional Corps troops. The rapid movement of supplies in quantities required for satisfactory performance by combat troops was an essential phase of every operation, and the successful performance of these functions contributed in great measure to the victories won by the Corps.
Quartermaster. A concerted effort was continually made to provide all troops with the best possible meals under existing circumstances. Approximately eight out of every ten rations issued to Corps troops during the period from February to May 1945 were the A type, the remaining being of the emergency type. Special rations were supplied for holiday meals for the troops' celebration of these special occasions. To combat impairment of the troops' efficiency by winter weather, the Corps issued winterized clothing including sleeping bags, arctic overshoes and mittens, fur-lined and sheeplined jackets, mufflers, ponchos, and cotton field trousers for the comfort of its soldiers. The Corps operated a salvage team which, during its operational period, recovered a tremendous quantity of ammunition and supplies. A fumigation and bath unit functioned continually to provide showers to troops where bathing facilities were not available. Both in Holland and Germany this unit operated showers in local coal mines to give maximum service to troops, and a total of 302,890 showers were given during the Corps' operational period. A clean uniform, as well as a bath, contributed almost as much to a soldier's morale as his mail and hot
Left, the small-arms repair section of an Ordnance medium maintenance company repairs a mortar tripod and a carbine. Right, the interior of a typical Ordnance medium automotive maintenance company's shop truck is pictured. Ordnance units of XVI Corps during combat worked ceaselessly and diligently to keep our troops' superior materiel in perfect mechanical condition. Below is graphically depicted the small-arms and artillery ammunition expended by XVI Corps in its three principal operations.
**ROER RIVER CROSSING**
23 Feb - 11 March 1945
**SMALL ARMS AMMUNITION**
1,855,600 Rounds
**RHINE RIVER CROSSING**
24 March - 2 April 1945
3,355,154 Rounds
**ARTILLERY AMMUNITION**
55,700 Rounds
**ELIMINATION OF RUHR POCKET**
3 - 14 April 1945
3,619,800 Rounds
417,300 Rounds
237,300 Rounds
For the crossing of the Rhine River, the engineer supply problem was a major one. Hundreds of tons of bridge equipment, materials, and supplies had to be assembled, distributed, and subsequently stored in the final assembly dump. Captured enemy stocks provided a source of most of this material, and neighboring Corps engineers rendered all possible assistance with men, supplies, and equipment. Over 10,000 feet of steel cable, 200 anchors, 500,000 linear feet of lumber, 1,000 logs, and tons of steel were located, collected, and used. Lintfort was selected as the site of the engineer dump, where all these materials were collected and stored. Smaller dumps and bridge trains were located in the vicinity.
Not only was this material collected, but much of it was assembled in the dump prior to use. Eight thousand feet of prefabricated road material was made by fastening 2-inch lumber to Sommerfeld track. Two hundred anchors were made from Bailey bridge panels. Bows were manufactured for double assault boats. One of the more difficult tasks was that of assembling the Sea Mules, and one engineer combat battalion worked on a 24-hour schedule to complete this job. Another major task was the moving of the amphibious equipment to be used in the operation to its final assembly points, which, due to security reasons, had to be accomplished during hours of darkness. Using tank transporters, Corps engineers moved 185 huge amphibious craft and equipment a distance of one hundred miles to the final assembly areas in eight days.
In addition to all these preliminary operations, engineer troops of the Corps performed a very remarkable service in their support of assault troops, in actual bridging operations and in engineer maintenance during these operations and thus contributing immeasurably to their overwhelming success.
Miscellaneous. The scope of this history does not permit detailed descriptions of the activities of all the special staff sections. All deserve commendation for the efficient manner in which they performed their functions. All contributed to the success of the operations of the Corps.
Worthy of special mention and commendation are the Medical and Provost Marshal Sections. Their operations were always marked by careful and thorough planning, and by effective and efficient execution. The highlights of their performances occurred
at the crossing of the Rhine. In this operation, the planning, the foresight, and the careful consideration of every detail, no matter how minor, produced outstanding results. Traffic control, under extremely difficult conditions of roadnet and congested bottlenecks, worked perfectly and no serious traffic problems arose. The rapid build-up of troops east of the Rhine, and the prompt delivery of supplies of all kinds, were directly attributable to the thorough understanding by the Provost Marshal Section of their duties and functions. Equally successful was the Medical Section's planning and execution. At all times, and in spite of the Rhine River barrier, casualties were promptly evacuated, and received medical attention and care within a minimum of time.
APPENDIX
UNITS UNDER COMMAND OF XVI CORPS
IN OPERATIONS
ORGANIC CORPS TROOPS
Headquarters & Headquarters Company, XVI Corps
Headquarters & Headquarters Battery, XVI Corps Artillery
97th Signal Battalion
291st Field Artillery Observation Battalion
667th Engineer Topographic Company (Corps)
DIVISIONS
5th Infantry Division
5th Armored Division (US)
7th Armored Division (British)
8th Armored Division (US)
17th Airborne Division
29th Infantry Division
30th Infantry Division
35th Infantry Division
73rd Infantry Division
79th Infantry Division
93rd Infantry Division
ADJUTANT GENERAL'S DEPARTMENT
54th Machine Records Unit
266th Army Postal Unit
AIR CORPS
Flight C, 125th Liaison Squadron
ANTI-AIRCRAFT ARTILLERY
2d Anti-aircraft Artillery Group, Headquarters & Headquarters Battery
18th Anti-aircraft Artillery Group, Headquarters & Headquarters Battery
26th Anti-aircraft Artillery Group, Headquarters & Headquarters Battery
38th Anti-aircraft Artillery Group, Headquarters & Headquarters Battery
55th Anti-aircraft Artillery Brigade, Headquarters & Headquarters Battery
124th Anti-aircraft Artillery Gun Battalion
127th Anti-aircraft Artillery Gun Battalion
131st Anti-aircraft Artillery Gun Battalion
132d Anti-aircraft Artillery Gun Battalion
141st Anti-aircraft Artillery Gun Battalion
3d Platoon, Battery A, 226th Anti-aircraft Artillery Searchlight Battalion
Battery B, 357th Anti-aircraft Artillery Searchlight Battalion
379th Anti-aircraft Artillery Automatic Weapons Battalion
440th Anti-aircraft Artillery Automatic Weapons Battalion
446th Anti-aircraft Artillery Automatic Weapons Battalion
448th Anti-aircraft Artillery Automatic Weapons Battalion
459th Anti-aircraft Artillery Automatic Weapons Battalion
463d Anti-aircraft Artillery Automatic Weapons Battalion
473d Anti-aircraft Artillery Automatic Weapons Battalion
531st Anti-aircraft Artillery Automatic Weapons Battalion
547th Anti-aircraft Artillery Automatic Weapons Battalion
553d Anti-aircraft Artillery Automatic Weapons Battalion
554th Anti-aircraft Artillery Automatic Weapons Battalion
556th Anti-aircraft Artillery Automatic Weapons Battalion
562d Anti-aircraft Artillery Automatic Weapons Battalion
571st Anti-aircraft Artillery Automatic Weapons Battalion
597th Anti-aircraft Artillery Automatic Weapons Battalion
749th Anti-aircraft Artillery Gun Battalion
ARMORED
10th Armored Group, Headquarters & Headquarters Company
CAVALRY
15th Cavalry Group, Headquarters & Headquarters Troop
15th Cavalry Reconnaissance Squadron
17th Cavalry Reconnaissance Squadron
CHEMICAL
27th Chemical Smoke Generating Battalion, Headquarters & Headquarters Detachment
74th Chemical Smoke Generating Company
83d Chemical Smoke Generating Company
89th Chemical Mortar Battalion
92d Chemical Mortar Battalion
ENGINEER
17th Engineer Treadway Bridge Company
70th Engineer Light Ponton Company
73d Engineer Light Ponton Company
2d & 3d Platoons, Company C, 84th Engineer Camouflage Battalion
149th Engineer Combat Battalion
171st Engineer Combat Battalion
180th Engineer Heavy Ponton Battalion
187th Engineer Combat Battalion
202d Engineer Combat Battalion
208th Engineer Combat Battalion
234th Engineer Combat Battalion
250th Engineer Combat Battalion
252d Engineer Combat Battalion
258th Engineer Combat Battalion
280th Engineer Combat Battalion
292d Engineer Combat Battalion
Company A, 551st Engineer Heavy Ponton Battalion
554th Engineer Heavy Ponton Battalion
562d Engineer Dump Truck Company
1st & 4th Platoons, Company D, 604th Engineer Camouflage Battalion
625th Engineer Light Equipment Company
633d Engineer Light Equipment Company
989th Engineer Treadway Bridge Company
999th Engineer Treadway Bridge Company
1103d Engineer Combat Group, Headquarters & Headquarters Company
1146th Engineer Combat Group, Headquarters & Headquarters Company
1148th Engineer Combat Group, Headquarters & Headquarters Company
1153d Engineer Combat Group, Headquarters & Headquarters Company
1254th Engineer Combat Battalion
1276th Engineer Combat Battalion
1355th Engineer Dump Truck Company
1468th Engineer Maintenance Company
2d Platoon, 1503d Engineer Water Supply Company
2950th Engineer Technical Intelligence Team
FIELD ARTILLERY
14th Field Artillery Observation Battalion
25th Field Artillery Battalion
34th Field Artillery Brigade, Headquarters & Headquarters Battery
40th Field Artillery Group, Headquarters & Headquarters Battery
65th Armored Field Artillery Battalion
70th Field Artillery Battalion
119th Field Artillery Group, Headquarters & Headquarters Battery
203d Field Artillery Battalion
210th Field Artillery Group, Headquarters & Headquarters Battery
211th Field Artillery Battalion
215th Field Artillery Battalion
219th Field Artillery Group, Headquarters & Headquarters Battery
228th Field Artillery Group, Headquarters & Headquarters Battery
228th Field Artillery Battalion
252d Field Artillery Group, Headquarters & Headquarters Battery
256th Field Artillery Battalion
258th Field Artillery Group, Headquarters & Headquarters Battery
258th Field Artillery Battalion
265th Field Artillery Battalion
269th Field Artillery Battalion
272d Field Artillery Battalion
275th Armored Field Artillery Battalion
280th Field Artillery Battalion
349th Field Artillery Group, Headquarters & Headquarters Battery
351st Field Artillery Battalion
404th Field Artillery Group, Headquarters & Headquarters Battery
407th Field Artillery Group, Headquarters & Headquarters Battery
422d Field Artillery Group, Headquarters & Headquarters Battery
516th Field Artillery Battalion
547th Field Artillery Battalion
548th Field Artillery Battalion
549th Field Artillery Battalion
666th Field Artillery Battalion
691st Field Artillery Battalion
692d Field Artillery Battalion
695th Armored Field Artillery Battalion
696th Armored Field Artillery Battalion
739th Field Artillery Battalion
743d Field Artillery Battalion
745th Field Artillery Battalion
748th Field Artillery Battalion
751st Field Artillery Battalion
754th Field Artillery Battalion
758th Field Artillery Battalion
777th Field Artillery Battalion
788th Field Artillery Battalion
793d Field Artillery Battalion
959th Field Artillery Battalion
963d Field Artillery Battalion
967th Field Artillery Battalion
978th Field Artillery Battalion
979th Field Artillery Battalion
FINANCE
54th Finance Disbursing Section
167th Finance Disbursing Section
MEDICAL
1st Medical Group, Headquarters & Headquarters Detachment
48th Field Hospital
183d Medical Battalion, Headquarters & Headquarters Detachment
185th Medical Battalion, Headquarters & Headquarters Detachment
415th Medical Collecting Company
430th Medical Battalion, Headquarters & Headquarters Detachment
442d Medical Collecting Company
444th Medical Collecting Company
462d Medical Collecting Company
481st Medical Collecting Company
488th Medical Ambulance Company
500th Medical Collecting Company
566th Medical Ambulance Company
626th Medical Clearing Company
627th Medical Clearing Company
666th Medical Clearing Company
MILITARY POLICE
795th Military Police Battalion
823d Military Police Company (Corps)
NAVY
Naval Unit 122.5.3
ORDNANCE
39th Ordnance Bomb Disposal Squad
51st Ordnance Bomb Disposal Squad
QUARTERMASTER
4th Platoon, 23d Quartermaster Car Company
7th Quartermaster Battalion, Headquarters & Headquarters Detachment
398th Quartermaster Truck Company
463d Quartermaster Laundry Company
559th Quartermaster Battalion, Headquarters & Headquarters Detachment
664th Quartermaster Truck Company
872d Quartermaster Fumigation & Bath Company
3420th Quartermaster Truck Company
3454th Quartermaster Truck Company
3658th Quartermaster Truck Company
3694th Quartermaster Truck Company
3864th Quartermaster Truck Company
4404th Quartermaster Service Company
SIGNAL
3d Platoon, 278th Signal Pigeon Company
3257th Signal Service Company
TANK
701st Tank Battalion
709th Tank Battalion
717th Tank Battalion
Company C, 736th Tank Battalion
Company A, 739th Tank Battalion
Company B, 739th Tank Battalion
Company C, 739th Tank Battalion
743d Tank Battalion
744th Tank Battalion
747th Tank Battalion
761st Tank Battalion
784th Tank Battalion
B Squadron, 1st Lothians & Border Yeomanry (British)
B Squadron, 1st Fife & Forfar Yeomanry (British)
TANK DESTROYER
12th Tank Destroyer Group, Headquarters & Headquarters Company
20th Tank Destroyer Group, Headquarters & Headquarters Company
605th Tank Destroyer Battalion
654th Tank Destroyer Battalion
772d Tank Destroyer Battalion
802d Tank Destroyer Battalion
807th Tank Destroyer Battalion
809th Tank Destroyer Battalion
813th Tank Destroyer Battalion
821st Tank Destroyer Battalion
823d Tank Destroyer Battalion
TRANSPORTATION CORPS
Detachment C, 329th Harbor Craft Company
458th Amphibious Truck Company
459th Amphibious Truck Company
461st Amphibious Truck Company
469th Amphibious Truck Company
ALPHABETICAL ROSTER
20 September 1944 to 1 June 1945
of
Headquarters and Headquarters Company XVI Corps;
Headquarters and Headquarters Battery XVI Corps
Artillery; Medical Detachment; Military Police
Platoon; 216th CIC Detachment
Roster of
Headquarters and Headquarters Company XVI Corps:
Medical Detachment, Military Police Platoon,
216th CIC Detachment
Officers
| Name and Rank | Branch | ASN |
|-------------------------------|--------|-------|
| *Abelow, Saxton Z., Colonel | AGD | 0187897 |
| *Anderson, John B., Maj Gen | USA | 03686 |
| Bagley, Lee B., Lt Col | FA | 0384166 |
| *Barker, George R., Colonel | GSC | 09366 |
| Belcher, John R., Major | FA | 0116897 |
| *Benchley, Walter K., Jr., Major | INF | 0373639 |
| *Bohn, Gordon A., Major | MAC | 0450714 |
| *Booth, Harold R., Colonel | IGD | 0114180 |
| Brice, Arthur T., Colonel | CWS | 0162787 |
| *Broom, Thad A., Colonel | QMC | 0182482 |
| Cahill, Edward G., 1st Lt | CAV | 01032005 |
| *Carlson, Carsten D., 1st Lt | INF | 01306812 |
| *Carty, William J., Lt Col | CH C | 0300340 |
| Case, Lawrence C., Colonel | JAGD | 0335454 |
| *Castelman, Harry W., Major | FA | 0315134 |
| *Chamberlain, Robert W., Major | INF | 0357800 |
| Childs, Royce, Captain | ORD | 0346016 |
| *Ciminelli, Dante J., Captain | SIG C | 0373621 |
| Clapp, Lester L., Major | QMC | 0217678 |
| *Comfort, Frederic del., Colonel | GSC | 0147414 |
| Coney, John B., Lt Col | INF | 0297801 |
| *Conley, Joseph G., Lt Col | GSC | 0286588 |
| *Corbett, Walter, Captain | INF | 0399199 |
| Cunningham, John K., Colonel | GSC | 0277284 |
| Davenport, William A., Jr., 1st Lt | CMP | 01325665 |
| *Davis, Frank G., Colonel | GSC | 012380 |
| Davis, Vernard O., Lt Col | ORD | 0310143 |
| *Davis, William C., Jr., Captain | QMC | 090809 |
| *Devey, David J., Major | SFC C | 0275605 |
| *Dickie, James H., Colonel | FD | 0129816 |
| Dougherty, John L., 2d Lt | AUS | 02012100 |
| Dwan, Robert D., 1st Lt | CAV | 026052 |
| Edwards, Charles W., Jr., 1st Lt | INF | 0403463 |
| Eicher, Edward E., 1st Lt | TC | 01945349 |
| Emerson, John D., Captain | FA | 0229925 |
| Evans, Richard B., Colonel | CAV | 015217 |
| *Eveland, Wilbur C., Jr., Captain | MI | 01590440 |
| *Feild, Gordon S., Jr., Captain | SIG C | 0376305 |
| *Felchlin, Howard L., Major | INF | 024041 |
| Ferrall, Samuel B., Captain | QMC | 01577153 |
| Field, Winston L., Lt Col | AC | 0266922 |
*Departed from United States with XVI Corps on 20 September 1944 for overseas service.
| Name and Rank | Branch | ASN |
|-------------------------------|--------|-------|
| *Filip, Jerold J., Major | MAC | 0416519 |
| Fitzgibbons, James J., Lt Col | INF | 0117752 |
| Ford, Harold R., Major | INF | 0375120 |
| *Fors, Osman G., 2d Lt | CE | 0555378 |
| *Freder, James J., Major | INF | 01285032 |
| *Frederick, William M., Major | CAV | 0262226 |
| Furlong, Harold A., Colonel | MC | 0184805 |
| *Givens, Raymond, Lt Col | ORC | 0272830 |
| Greenberg, Jerome, 1st Lt | FA | 0520744 |
| *Greenberg, Marvin, WOJG | USA | W2127997 |
| *Hall, Dennis W., Major | ORD | 0283574 |
| Hall, Reuben A., Captain | INF | 01293247 |
| Hanson, Donald G., 1st Lt | CE | 01113238 |
| Harrington, John J., 1st Lt | FA | 01184062 |
| *Harris, Earnest N., Captain | AGD | 01003250 |
| *Hill, William E., Captain | CAC | 0451792 |
| Hobbs, Daniel J., Major | INF | 0363710 |
| *Hollingsworth, David L., Captain | CAV | 019578 |
| *Hoover, Robert M., Major | FA | 0316422 |
| Howell, Dillard W., 2d Lt | AUS | 02010299 |
| Hundley, Bevily T., Captain | QMC | 01573227 |
| *Hunnell, Charles H., Major | CE | 0345867 |
| *Hunter, Robert C., Jr., Lt Col | MC | 023680 |
| *Jacobus, Philip F., 1st Lt | CAC | 01061435 |
| James, Harold R., Lt Col | AGD | 0347506 |
| Jones, Roy L., Colonel | ORD | 0336206 |
| Kalman, Jack H., 1st Lt | INF | 01312942 |
| *Kellogg, Hamilton H., Colonel | CH C | 0257163 |
| Kelly, Walter L., Major | INF | 0331042 |
| King, Norman D., Lt Col | GSC | 0203021 |
| *Knox, Harry, Colonel | GSC | 010104 |
| Lamb, John W., 1st Lt | INF | 01175777 |
| Lechner, William W., 1st Lt | FA | 01182413 |
| *Lewis, James A., Lt Col | INF | 010892 |
| Lueddle, Henry W., Major | CAC | 0321238 |
| *Lueth, Paul F., Major | CAC | 0378570 |
| Lundy, Richard P., Captain | ORD | 01551052 |
| McAuliffe, John F., 1st Lt | SIG C | 01635095 |
| McAuliffe, Vincent J., Captain | MC | 0348026 |
| *McDaniel, Otto L., Colonel | GSC | 011846 |
| *McFall, Guy R., Captain | INF (ADC) | 0442158 |
### Name and Rank
| Name and Rank | Branch | ASN |
|---------------|--------|-------|
| McGonagle, Joseph C., 1st Lt | INF | 01314810 |
| *Melcher, Richard, 1st Lt | CMP | 0402276 |
| *Miller, Richard S., Lt Col | QMC | 0244345 |
| *Mize, Henry H., Major | JAGD | 0302121 |
| Morris, James M., 2d Lt | INF | 0546994 |
| Mowry, Ross E., Captain | INF | 0373019 |
| Nixon, Eugene L., Colonel | CH C | 0280998 |
| Oliver, John P., Lt Col | JAGD | 0724223 |
| O'Neil, William A., 1st Lt | CE | 01587513 |
| *Oreskovic, Ray, Captain | CE | 0456373 |
| *Owendoff, Robert A., Major | CWS | 0382324 |
| Peirano, Joseph M., Captain | CMP | 01797344 |
| *Phillips, Noel F., Captain, | CMP | 0262075 |
| *Pieper, William R., Captain | CE | 0319446 |
| *Potter, John D., CWO | USA | W2125676 |
| Pratt, Laurence A., Captain | ORD | 0592220 |
| *Ragsdale, Gerald H., Major | INF | 022217 |
| *Rees, Richard D., Major | FA | 0357159 |
| *Richardson, William H., Captain | DC | 0473912 |
| *Roberts, Gordon E., Lt Col | GSC | 0235801 |
| *Roberts, Harold, Captain | CAV | 0450155 |
| *Robbins, Calvin L., WOJG | USA | W2124483 |
| *Roselli, George F., CWO | USA | W2126576 |
| *Rushton, George A., Major | AGD | 0393787 |
| *Sanders, Ernest C., Lt Col | IGD | 0267867 |
| *Schmieder, Ralph J., WOJG | USA | W2128090 |
### Branch
| Branch | ASN |
|--------|-------|
| CE | 0485028 |
| CH C | 0537696 |
| MC | 025166 |
| FA | 0346580 |
| FA | 0516664 |
| JAGD | 0414553 |
| GSC | 0211663 |
| IGD | 0319495 |
| ORD | 0924056 |
| USA | W2127977 |
| SIG C | 015956 |
| USA | W2127973 |
| FA (ADC) | 0373416 |
| CMP | 01798658 |
| CE | 0105248 |
| CE | 0211467 |
| OSC | 015880 |
| CE | 0554584 |
| CE | 0118291 |
| AUS | 0562336 |
| CMP | 0299074 |
| INF | 0363555 |
| AC | 0182566 |
| FD | 0395895 |
| FA | 0394948 |
| ORD | 0359054 |
| QMC | 01585123 |
### American Red Cross
*Miller, Grady W., Civilian
### Field Director
### Enlisted Men
| Name | Rank | ASN |
|------|------|-------|
| Abbott, Paul L. | Pfc | 39199521 |
| Ablauf, Francis M. | Pfc | 33268869 |
| *Adcock, George | M Sgt | 6316094 |
| *Albaugh, Elmo G. | Tec 5 | 39210470 |
| Aldridge, Virgil M., Jr. | Pvt | 44057004 |
| *Ames, Daniel V. | Tec 5 | 36877808 |
| *Anderson, Clarence R. | Cpl | 37659887 |
| *Anderson, Harry W. | S Sgt | 34202152 |
| *Anderson, Wilbur C. | Pvt | 32582364 |
| Anthony, Edward J. | Pvt | 33598497 |
| *Antonatos, Johnny | S Sgt | 39222764 |
| Arnold, Sheldon E. | Pfc | 20725965 |
| *Arnone, George H. | Tec 4 | 33108034 |
| *Aronovich, Louis M. | M Sgt | 59608881 |
| Arslanian, John R. | Pvt | 31518192 |
| Ashley, Henry J. | Pvt | 44037923 |
| *Ashworth, Robert | Tec 5 | 36566906 |
| Austin, James R. | Cpl | 37194799 |
| *Badewitz, John | Tec 5 | 32436945 |
| *Bailey, Lee O. | Pfc | 34612912 |
| *Bailon, John A. | Tec 4 | 35913125 |
| Bak, Martin W. | Pfc | 36679577 |
| Banner, William S. | Pvt | 42177362 |
| *Bardwell, Paul E. | Tec 5 | 14172029 |
| *Barnes, James M. | Tec 3 | 34804831 |
### Field Director
| Name | Rank | ASN |
|------|------|-------|
| Bassett, William D. | Pfc | 32130573 |
| *Beach, Orin G. | Tcc 3 | 36459447 |
| *Beecl, Edward J., Jr. | Tcc 5 | 35791847 |
| Beecunas, George M., Sr. | Pvt | 33460963 |
| *Belkof, Samuel | Pfc | 39278611 |
| Yealous, Glenn, Major | Pfc | 37134283 |
| *Yerkus, Paul E., Captain | Tcc 4 | 32623036 |
| Bell, Kenneth D. | Tcc 4 | 33344986 |
| *Bell, Walter | Tcc 5 | 36368896 |
| *Benner, Richard N. | Tcc 4 | 32130573 |
| Benton, Roland S. | Tcc 5 | 13018267 |
| Berezin, Frederic C. | Cpl | 15332896 |
| Berry, Jim | Pfc | 38111416 |
| *Berry, Johnny J. | Pvt | 35247168 |
| *Berry, Robert L. | Pfc | 38564795 |
| Blanchard, Jack A. | Pvt | 3836393 |
| Blansfield, Harry C., Jr. | Pvt | 32757692 |
| Bloom, John S. | Pfc | 21241484 |
| *Bockel, Alan | Pfc | 15132154 |
| *Bolch, Leonard E. | S Sgt | 6401737 |
| Bonner, Franklin L. | Pvt | 14011046 |
| *Bonter, Willard A. | Pfc | 36877779 |
| Box, Floyd A., Sr. | Pvt | 44047872 |
| *Boze, Harold E. | Pfc | 15104760 |
| Breeding, James B. | Pvt | 38682265 |
| *Brennan, John J. | Pfc | 12182814 |
*Departed from United States with XVI Corps on 20 September 1944 for overseas service.
| Name | Rank | ASN |
|-----------------------------|-------|--------------|
| Britanak, George F. | S Sgt | 32157198 |
| Brockelbank, Donald L. | Pvt | 36877184 |
| Brown, George B. | Pfc | 33699320 |
| Brown, William S. | Pvt | 38734106 |
| Bryan, Judson H. | Tec 4 | 20756613 |
| Bryant, John M. | Pfc | 34912935 |
| Bucaro, Lorenzo C. | T Sgt | 36007410 |
| Buchanan, John F., Jr. | Tec 5 | 35874765 |
| Buck, Lee B. | Pfc | 35345414 |
| Bulmer, John H. | Pfc | 36241953 |
| Burke, John J. | Cpl | 31224531 |
| Cain, George L. | T Sgt | 6965947 |
| Calavano, Anthony | Pvt | 32275786 |
| Call, Booker N. | Pvt | 37649406 |
| Callahan, Alvan G. | Tec 4 | 35808075 |
| Calahan, Harold | Pfc | 34682798 |
| Callaway, George F. | Cpl | 33158232 |
| Calvert, Athel | Pfc | 34198206 |
| Camden, Robert L. | Pvt | 33348554 |
| Campbell, John W. | Tec 5 | 36060969 |
| Cannady, Ernie L. | Pvt | 35817698 |
| Carmel, Bert R. | Pvt | 37376262 |
| Carroll, Joseph P. | Cpl | 33320947 |
| Carter, David L. | Pvt | 35890693 |
| Cassinelli, Jack P. | Tec 4 | 39123675 |
| Cates, Thomas M. | Cpl | 34008971 |
| Catlett, Forrest L. | Tec 5 | 37372264 |
| *Cavanah, John M., Jr. | M Sgt | 34687252 |
| Centenore, Sebastian P. | Sgt | 36110512 |
| Chandler, Noah K. | Pvt | 31437387 |
| *Charnesky, Walter J. | Tec 4 | 38733475 |
| Chavez, Epifanio | Pvt | 36548979 |
| Chiles, Charley E. | Pfc | 38014549 |
| *Chorba, John M. | Pfc | 37649356 |
| Ciullo, Anthony J. | Pfc | 33355144 |
| Clare, Otto J. | Pfc | 33465855 |
| Clark, Michael W. | S Sgt | 36686501 |
| *Clark, Wilber E., Jr. | Pfc | 19058241 |
| Clatterbuck, Edward F. | Pfc | 39139319 |
| Clevenger, John E. | Pfc | 34146592 |
| Clifford, Charles W. | Tec 5 | 35227855 |
| *Coates, Lawrence S. | Tec 4 | 37456142 |
| Coates, Waymon L. | Cpl | 38324042 |
| Colbath, James A. | Tec 4 | 11079255 |
| Collins, John W. | Pfc | 36883533 |
| Combs, Richard C. | Tec 4 | 39152204 |
| Condit, Leslie E. | Pfc | 37220263 |
| Conner, Leonard | Tec 4 | 11070725 |
| Conrad, Sheldon O. | T Sgt | 39339059 |
| Corio, Anthony F. | Pfc | 32646400 |
| Cortese, Louis P. | Pfc | 32607434 |
| Cory, John J. | Pvt | 36883548 |
| *Coughenour, Walter C. | Pfc | 33254127 |
| Covington, Woodrow O. | Pvt | 20539613 |
| *Croft, Walter H. | T Sgt | 32264893 |
| Crosby, William O. | S Sgt | 6347209 |
| Cross, Eric M. | Sgt | 39139844 |
| Name | Rank | ASN |
|-----------------------------|-------|--------------|
| Cunningham, John A. | S Sgt | 33033807 |
| Curia, Guy J. | Pfc | 36362857 |
| *Curtin, Raymond F. | S Sgt | 42005672 |
| *Cuzman, Nicholas J. | M Sgt | 36002306 |
| D'Agostino, Domenic G. | Pvt | 31449233 |
| *Danker, Robert C. | S Sgt | 35454094 |
| Dales, Oliver J. | Cpl | 6930862 |
| Damron, Youngy B. | Pfc | 35784482 |
| *Davis, Fred E. | Tec 3 | 35374538 |
| Davis, Paul E. | Tec 3 | 33145166 |
| *Davis, Victor E. | Tec 4 | 39917853 |
| Davison, Lamar | Pvt | 44021545 |
| Dean, Wilson T. | Tec 4 | 6971491 |
| *Decker, Philip S. | S Sgt | 32371542 |
| *Dedrick, Ira J. | Pfc | 37514677 |
| Dees, Leroy N. | Pvt | 36776728 |
| Deibaugh, Charles W. | Pvt | 37755578 |
| Dennis, Clifford R. | Pvt | 37755763 |
| *Derbes, Maxime J., Jr. | Tec 5 | 38499578 |
| *Derning, Don R. | Pvt | 16175406 |
| DiBenedetto, Anthony J. | Cpl | 32148171 |
| DiBiase, Theodore | Pvt | 31173674 |
| *Diekow, Edwin A. | Tec 4 | 36286814 |
| Dietz, Harry N. | S Sgt | 42012677 |
| DiMassa, Francesco M. | Pfc | 31387406 |
| DiSandro, Antonio | Pvt | 33394536 |
| Diznoff, Robert | S Sgt | 33150872 |
| Dodson, Thomas B. | Pfc | 35807175 |
| Dompier, Dwight L. | Pvt | 36873187 |
| Donaldson, John H., Jr. | Tec 5 | 34835406 |
| *Doolittle, James L. | Pvt | 12239391 |
| Dowd, Willie T. | Pfc | 34574924 |
| *Downing, Travers E. | Tec 4 | 34446501 |
| Downing, Clifford L. | Pfc | 39136734 |
| Dumas, Glin C. | Tec 5 | 38447268 |
| *Eager, Leonard E. | Pfc | 37564136 |
| Ehle, Henry S. | Cpl | 36901958 |
| Ellis, John J. | Tec 4 | 35152506 |
| *Ellis, Patrick J. | Tec 3 | 35157183 |
| Engel, Elwood P. | Tec 4 | 36167387 |
| Enyert, Robert D. | Pfc | 35898118 |
| *Epton, Abner J. | T Sgt | 36320175 |
| Esch, Francis I. | Pfc | 36925187 |
| Fallaw, Fletcher L. | Tec 5 | 34842278 |
| Farmer, Milton J. | Pvt | 44014788 |
| *Fawcett, John T. | Pfc | 31074725 |
| Fenwell, Orville G. | Pfc | 20277299 |
| *Ferguson, Daniel M. | T Sgt | 31087323 |
| Fernandez, Antonio | Pfc | 38442191 |
| Finch, Robert M. | Pfc | 39171432 |
| Finley, Glen T. | Pvt | 35785715 |
| Fischer, Wilfred A. | Pvt | 37180066 |
| *Fisher, Louis S. | S Sgt | 6557800 |
| *Fitzsimmons, Henry J. | Tec 4 | 32614379 |
| Fix, Raymond | Pvt | 37649428 |
| Flanagan, David T. | S Sgt | 37410383 |
| Fluegge, Elmer W. | Tec 5 | 37398427 |
| *Foss, David A. | Pvt | 36833271 |
*Departed from United States with XVI Corps on 20 September 1944 for overseas service.
| Name | Rank | ASN | Name | Rank | ASN |
|-----------------------|-------|---------|-----------------------|-------|---------|
| Franklin, Thomas J., Jr. | Pvt | 38637746 | Hewson, Glenn E. | Cpl | 37070625 |
| Frechette, Marcel R. | Pfc | 31263474 | Hileman, Robert R. | Pvt | 37683980 |
| Fresch, Henry J. | Pfc | 35853256 | Hixson, Leroy E. | Tec 5 | 39419580 |
| *Fritch, Kenneth G. | Tec 3 | 37375066 | Hoffer, Buell A. | Tec 5 | 35253632 |
| Frye, Gale C. | Sgt | 37002757 | *Holland, John J. | Tec 5 | 31370398 |
| *Gaines, McPherson W. | Tec 4 | 33543116 | Horne, Carl S. | Pfc | 34317461 |
| *Gaida, Mitchell | Tec 5 | 36710720 | House, Arthur L. | Tec 5 | 32022071 |
| Garner, Harold W. | Pfc | 33744661 | Howard, Paul C. | S Sgt | 37723313 |
| Garr, Victor F. | Pfc | 33747448 | Howell, Richmond | Pvt | 37939187 |
| *Garrett, Lytle C. | S Sgt | 37507502 | *Howe, Clarence E. | Tec 3 | 32959016 |
| Gehlen, Carl W. | Pvt | 33203158 | Humphrey, John T., Jr.| Pfc | 12240010 |
| Gelfman, Meyer | Pfc | 32901961 | Hunt, Woodrow W. | Pfc | 35496491 |
| *Germond, Paul M. | Tec 4 | 32706386 | *Hurlbut, Vernon W. | Sgt | 37452270 |
| *Gibbs, Carol D. | Tec 4 | 34776611 | *Hurry, Gordon W. | Pfc | 36877946 |
| Gibson, Ernest G. | Pvt | 38669716 | Hurt, Robert E. | Pfc | 35458926 |
| Gierke, Herbert W. | Sgt | 32973848 | *Husted, Linwood H. | Sgt | 33226052 |
| *Gillen, James J. | Tec 5 | 36887560 | Hutchens, Jack D. | Pvt | 44016413 |
| Gillette, Wayne L. | Pfc | 20815978 | Hux, Henry C. | Pvt | 44014778 |
| Gilmon, Cleo | Pvt | 35782583 | *Ivey, James W. | Tec 3 | 14139516 |
| Goetz, Peter W. | Pfc | 18061678 | Jackson, Charlie L. L.| Pvt | 44011645 |
| *Goggin, Robert E. | Pfc | 31269931 | *James, Robert C. | Pfc | 35914758 |
| *Goodsell, Raymond A. | Sgt | 36222492 | *Jameson, Miles W. | Pvt | 38464118 |
| Goransson, Oscar F., Jr. | Tec 5 | 31213626 | *Johnson, Hubert | Tec 4 | 39139112 |
| Graham, John M. | Pfc | 34504563 | Jones, Daniel D. | Tec 5 | 37583544 |
| Graham, Ross F. | Pvt | 34939871 | Jones, Henry J. | Pfc | 12003061 |
| *Granich, George S. | Cpl | 36008961 | Jordan, Lloyd L. | Pvt | 35385374 |
| *Gray, Donald S. | Tec 5 | 31365431 | Jurgenson, Herbert F. | Tec 3 | 37018799 |
| *Graziani, Nello P., Jr. | Tec 5 | 31380348 | *Karasewicz, Roman P. | M Sgt | 36219865 |
| Greene, James T. | Tec 4 | 34689324 | Keay, Stuart H. | Tec 5 | 31819999 |
| *Gress, Charles V. | Tec 5 | 34745047 | Kelly, Patrick | Pfc | 37937154 |
| *Griffith, Clarence M.| Sgt | 35203326 | Kerr, Alexander | T Sgt | 33161513 |
| Griffith, Clinton W. | Tec 5 | 13067512 | King, Derrell | Pvt | 38733091 |
| Grindstaff, Lydia T. | Pvt | 44016737 | King, John T. | Pfc | 39142790 |
| Green, James F. | Pfc | 34684716 | Kirby, Joseph E. | T Sgt | 31354860 |
| Gullett, Harry | Pvt | 35782333 | Kittrell, Willie F. | Pvt | 40043795 |
| Gum, Jacob | Pvt | 35906965 | Klaus, Stanley E. | Tec 5 | 37637887 |
| Gunter, Leonard | Pvt | 44039157 | Kline, Walter G. | Tec 4 | 33230350 |
| *Hadden, Russell H. | Tec 5 | 37560639 | *Kner, Clifford T. | Cpl | 32387692 |
| *Hagle, Elliott D. | M Sgt | 16068628 | Knight, Otho D. | Pfc | 37677975 |
| *Halpin, Richard M. | Tec 4 | 11016196 | Knoll, Robert W. | Tec 5 | 6932293 |
| *Hamilton, Alexander C.| M Sgt | 38009542 | *Knudson, Conrad W. | Pvt | 36776194 |
| *Hammond, Raymond E. | Tec 4 | 31048282 | Kors, Lawrence W. | Pfc | 36692438 |
| *Hammer, Clarence F. | Tec 4 | 19048789 | *Kosse, Benjamin E. | Tec 5 | 37278887 |
| *Hanson, Kenneth I. | Cpl | 39339315 | Kramer, William | Tec 4 | 37032521 |
| Harden, Clayton H. | Pvt | 35492798 | *Kreykes, Eugene J. | Tec 5 | 39563473 |
| *Hardin, Larry J. | Pfc | 37065797 | Krill, Albert | Tec 5 | 35919844 |
| Harges, Marvin E. | Sgt | 36647451 | *Kromer, Robert R. | T Sgt | 35540886 |
| Hassan, Schander G. | Pvt | 13034520 | Kronengold, Melvin | Cpl | 4214240 |
| *Havens, Richard M. | Tec 4 | 33698907 | *Lach, John L. | Tec 5 | 16177237 |
| *Hayes, George W. | M Sgt | 38185122 | Laumann, Leo J. | Tec 4 | 6115644 |
| Haynes, General G. | Pfc | 34935209 | *Lamb, Otho E. | Pfc | 35204434 |
| Hazard, Rowland K. | T Sgt | 32885999 | Lambert, Curtis R. | Sgt | 36229169 |
| Heffernan, Thomas R. | Pfc | 42034456 | Lane, William P. | Pvt | 33664189 |
| Heibel, Victor F. | Pfc | 33295315 | *Lange, James H. | Tec 5 | 35557260 |
| *Heinrich, George R. | Tec 5 | 12225455 | *Lange, Richard F. | Tec 5 | 37664935 |
| Herr, Walter J. | T Sgt | 35412583 | Langston, Jesse L. | Pvt | 38211835 |
| *Herrndobler, William F.| Tec 5 | 36347606 | *Lauridsen, Linwood L.| T Sgt | 39002141 |
| *Hewitt, John C. | Pfc | 31382576 | Leach, Dale E., Sr. | Pfc | 33608628 |
*Departed from United States with XVI Corps on 20 September 1944 for overseas service.
| Name | Rank | ASN | Name | Rank | ASN |
|-----------------------|-------|--------------|-----------------------|-------|--------------|
| Leach, James O. | Pfc | 34989863 | Nceda, Joseph H. | Pvt | 12004469 |
| Leary, James C. | T Sgt | 32311499 | Neiman, Joseph | Tec 5 | 32646568 |
| Leeper, Ray M. | Pfc | 36575312 | *Neiman, Lawrence | T Sgt | 32345789 |
| Leonard, Edward H. | Pfc | 35775425 | Nelson, Albert E. | Pfc | 36981780 |
| Leonard, Harry E. | Tec 5 | 3511653 | Newhart, John J. | Pfc | 36681625 |
| *Lewis, Ernie M. | Cpl | 33203473 | *Nichols, William H., Jr. | Pfc | 35331059 |
| Lillard, William C. | Tec 5 | 39013169 | Nordstrom, Louis T. | Tec 4 | 32009390 |
| *Lillie, Charles J. | Tec 4 | 35062930 | Norman, Robert L. | Tec 5 | 39216729 |
| Lincoln, Harold C. | Pfc | 36612366 | *Ohrenberger, Charlie W. | Tec 5 | 36877785 |
| *Little, Howard N. | T Sgt | 35459063 | *Oliver, William P., Jr. | Pfc | 16175319 |
| *Little, Willis D. | Tec 4 | 14138781 | Owen, Wayne L. | Pfc | 35710340 |
| *Littrell, Clark, Jr. | Tec 5 | 39701765 | *Palen, Charles W. | Pfc | 36591949 |
| Locklear, Edward | Fvt | 44011438 | Palladino, Dominick | Tec 4 | 32893416 |
| Locklear, John D. | Pvt | 44011353 | *Parker, Arthur G. | Sgt | 20429155 |
| *Lopez, Matias | Pvt | 38459177 | *Parker, William L. | Tec 3 | 36118615 |
| Lowery, Hethrow | Pvt | 44011615 | *Parke, Winston E. | S Sgt | 34760062 |
| Lynn, Ted B. | Tec 4 | 33910567 | *Pascoe, Neil G. | S Sgt | 42007021 |
| *Maggiori, John F. | Tec 3 | 36484567 | *Patt, Albert T. | Tec 4 | 16123741 |
| *Maguire, Charles A. | S Sgt | 39002159 | Patterson, Donald E. | T Sgt | 35421895 |
| *Maimone, Dominic | Tec 4 | 33741979 | Patterson, Francis M. | Tec 4 | 35169575 |
| *Maloney, Edward J. | S Sgt | 36040033 | *Patton, Johnie C. | Pvt | 38529186 |
| *Manheim, Theodore | Tec 4 | 36857468 | Peffer, Richard H. | Pfc | 32367100 |
| *Manis, James D. | Pfc | 34498696 | Pelletier, Joseph A. | Pfc | 31264458 |
| Manley, Elmer A. | Pfc | 36874196 | *Penno, Benjamin E. | Pfc | 31291863 |
| Marshall, Clark Y. | Tec 5 | 16010551 | *Percha, George A. | Cpl | 36116060 |
| Martel, Ben S. | Pvt | 38081265 | Peterson, Marvin J. | Pfc | 37575832 |
| Martin, Thomas B. | Pvt | 44021530 | Petrick, Paul | Pvt | 32936517 |
| *Masters, Clyde G. | Sgt | 39380576 | Phipps, Frank | Tec 5 | 38529222 |
| Mattingly, Arthur W. | Pfc | 35802044 | Pierce, Floyd A. | Pfc | 20726227 |
| Maxwell, Robert B. | Pvt | 6252956 | *Pierce, Addieus | Tec 5 | 35283852 |
| *McAleer, Robert M. | Tec 5 | 16175569 | Plaster, Raymond | Pfc | 38691894 |
| McCabe, Walter J. | Pfc | 32997489 | *Poirier, Albert J. | Tec 5 | 20133651 |
| McCarrell, John M. | Pvt | 36925023 | *Polaski, Charles W. | Pfc | 36255242 |
| *McDears, J. C. | Tec 4 | 34353832 | *Ponton, Peter R., Jr.| Pfc | 33535478 |
| McDermott, Bernard J. | S Sgt | 37039291 | *Poradzisz, Valentine W. | Pvt | 36710838 |
| McGlynn, Edward M. | Tec 5 | 31453454 | Praxmarer, Edward L. | Pfc | 36641646 |
| *McGranahan, James J. | Pfc | 32142508 | *Pyles, Samuel P. | Pfc | 38341621 |
| McGrath, Lloyd E. | Pfc | 31638456 | *Radu, Aurel W. | Tec 4 | 39860411 |
| McGregor, Fred | Pfc | 38097614 | Rafaeli, Alexander | Sgt | 33750563 |
| Milewski, Chester C. | Pfc | 35560807 | *Rannou, Charles R. L.| Sgt | 32792468 |
| Miller, Dupreville | Pfc | 38617017 | Raw, Patrick J. | Cpl | 37502392 |
| *Miller, Jack E. | Pfc | 38430365 | Rayl, Richard W. | Pvt | 35347645 |
| Miller, Boyd L. | Pvt | 39273674 | *Razinski, Alexander R.| Tec 5 | 33134142 |
| *Milne, John G. | S Sgt | 11066829 | *Reed, Edith | Pfc | 38498837 |
| Minter, Clinton E. | Pvt | 34799362 | *Reiner, Albert I. | Tec 4 | 32785682 |
| Misenko, Charles S. | Pfc | 33174577 | Reiss, Israel L. | Tec 5 | 32796761 |
| *Mitchell, Eugene D. | Pfc | 35584669 | *Renfro, John W. | M Sgt | 19028424 |
| Mitchell, James J. | Pvt | 42171576 | Rich, Norman | Pfc | 32640508 |
| *Mooney, Daniel J. | Tec 4 | 39573008 | Richardson, Gerald M. | Tec 5 | 31174983 |
| Moore, Frank J. | S Sgt | 20245438 | Riechman, Gerald C. | Pfc | 36769136 |
| Moore, Paul S. | Pvt | 31188080 | Rifle, Heber H. | Pfc | 35660310 |
| Moore, Thomas P. | S Sgt | 37545018 | *Rittersporn, Bernard A., Jr. | Tec 5 | 17141463 |
| *Morgan, Charles E. | Tec 5 | 42006780 | Roberts, Russell L. | Cpl | 35405208 |
| Moriarty, James F. | Cpl | 32148524 | *Robertson, Thomas B. | Pfc | 34128777 |
| *Morris, Alfred C. L. | Tec 3 | 39010780 | Rogers, Glen D. | Pvt | 36784914 |
| Morrison, Melvin L. | Pfc | 36456573 | *Roosa, Arthur T. | Tec 4 | 32099760 |
| *Murphy, John D. | Cpl | 37621399 | *Rosen, Bertram | Tec 3 | 12110786 |
| *Nail, Charles E. | Tec 5 | 34689842 | *Roth, Martin M. | T Sgt | 33053779 |
*Departed from United States with XVI Corps on 20 September 1944 for overseas service.*
| Name | Rank | ASN | Name | Rank | ASN |
|-----------------------------|-------|---------|-----------------------------|-------|---------|
| *Rowell, William E. | Tec 3 | 12077631| Symanski, Henry A. | Pfc | 35917893|
| Ruben, Jack | Pvt | 39567611| *Taisey, Vernon J. | S Sgt | 19096683|
| Rudolph, Raymond J. | Pfc | 15313109| Terranova, Salvatore W., Jr.| Pfc | 36761543|
| Ryan, Joseph T. | Pfc | 35298208| Thacker, Harry J. | Pfc | 35226578|
| *Salyers, Homer P. | Pfc | 35437223| *Thiebaut, Frank J. | S Sgt | 19012000|
| Schenkel, Simon | T Sgt | 32884265| Thomas, Charles W., Jr. | Pfc | 39228087|
| *Schneider, John | Pvt | 32653461| *Tietjen, Marvin H. | Cpl | 37244329|
| *Schneider, John I. | M Sgt | 35408622| *Tobin, Daniel, Jr. | Tec 5 | 18231764|
| *Schreiner, William J. | S Sgt | 33323334| Tomlin, Carlos C. | Pfc | 35773215|
| *Schuler, Vincent J. | Pfc | 12190068| Treen, Keith C. E. | Pvt | 35217902|
| Schumacher, Harold O. | Tec 5 | 37699245| Trent, Samuel W., Jr. | Cpl | 35350192|
| Schumacher, William G. | M Sgt | 39152263| Trevano, Julius | Pfc | 38558339|
| Schuster, Lawrence L. | Pfc | 35704747| Trulock, Phantacey U. | Pvt | 35121279|
| *Scott, Charles B. F. | Pfc | 38564494| *Truitt, Don V. | M Sgt | 36055720|
| Shally, John P. | Tec 5 | 39146750| *Ulery, Carl L. | Srt | 39076789|
| *Sharp, Charles E. | M Sgt | 39227660| Ullman, William J. | Pfc | 37580785|
| *Shaw, John W. | Pfc | 33794903| *Uttendorf, Leonard J. | Sgt | 39418315|
| *Shearer, Charles B. | Tec 3 | 33170694| *Valentine, Julian A. | Pfc | 37537266|
| Shelton, Homer B. | Tec 5 | 37710119| Vallelunga, Salvatore J. | S Sgt | 39325203|
| *Shreiner, Charles F. | Tec 4 | 33587601| *Van Every, Leo B. | T Sgt | 19119668|
| Shunway, Richard W. | Pfc | 31010470| Volpe, Michael L. | Pfc | 42088705|
| Simms, Arthur H. | S Sgt | 32870281| Ward, James V. | Pfc | 34974865|
| Simpson, Gregg | Tec 4 | 38537979| *Ward, Walter R. | T Sgt | 33176282|
| Sinko, Alex | Pfc | 37589974| Warner, Maxwell | Pfc | 42051643|
| Sireno, James L. | Pfc | 33347106| Waters, Lloyd H. | Pvt | 34670663|
| *Sjostrand, George W. | S Sgt | 19090684| Watkins, Walter | Tec 4 | 34088767|
| Skippon, Joseph W., Jr. | Pfc | 32716268| *Waugh, Thomas F., Jr. | S Sgt | 39858669|
| *Smith, Julian G. | Tec 4 | 36689581| Webb, George C. | Tec 5 | 33721428|
| *Smith, Robert J. | M Sgt | 19050509| Weirbrauch, Joseph H. | Sgt | 36059826|
| *Smith, William D. | T Sgt | 34689738| *Welsh, Robert N. | Tec 4 | 33450502|
| *Smoter, Edmond J. | Pfc | 33336968| *West, Reginald | Pfc | 38488306|
| *Snyder, James R. | Pfc | 35588179| *Whay, Vernon A. | Tec 4 | 33548416|
| Sobczak, Frank J. | Pfc | 36719245| *White, Gene O. | Pfc | 37671442|
| Sprouse, Melvin F. | Tec 5 | 32718805| *Whitney, Arlis | Pvt | 34989997|
| Sprague, Charles A. | Pfc | 35222956| Whittington, William E. | Tec 5 | 33713533|
| *Squires, James R. | T Sgt | 35539881| *Whittaker, Gilbert S. | Cpl | 38498435|
| *Stanley, David J. | Tec 5 | 39339250| Wicks, James E. | Pfc | 38033499|
| *Stellman, Glenn J. | M Sgt | 6575088 | *Williams, Fred L. | Pfc | 35871295|
| *Stewart, William H. | Tec 4 | 35541994| *Willis, Eric B. | Pfc | 38465755|
| *Stolzenberg, Louis P. | Sgt | 6939904 | Wilson, Charles F. | S Sgt | 34081096|
| Stone, Duane G. | M Sgt | 36058519| *Wilson, Howard S. | S Sgt | 35618787|
| Summers, Grady L. | Pvt | 38626379| Wines, Melvin G. | Pfc | 33846773|
| Summer, Samuel S. | S Sgt | 14005097| *Wood, William W. | Tec 4 | 32903330|
| *Sunderland, Harry R. | Tec 4 | 35207293| Woody, Clyde | Pvt | 34375814|
| *Swain, Rodney E. | Pfc | 6623407 | *Wright, Lee A. | Tec 4 | 37094637|
| Swanson, Reinold L. | Pvt | 15063502| *Wright, Raymond J., Jr. | Pfc | 15336049|
| *Sweeney, John H. | Pfc | 32281845| *Young, George V. | 1st Sgt | 6633772 |
**Roster of Headquarters and Headquarters Battery XVI Corps Artillery**
| Name and Rank | Branch | ASN | Name | Branch | ASN |
|-----------------------------|--------|---------|-----------------------------|--------|---------|
| *Askenase, David L., 1st Lt| FA | 01182756| *Frangos, James L., Captain | FA | 0374229 |
| *Brechheimer, Robert A., 2d Lt| FA | 0584436 | Gelvin, Philip D., 1st Lt | FA | 0466794 |
| *Bridges, Samuel T., WOJG | USA | W2128111| *Grove, William R., Jr., Colonel | FA | 015185 |
| *Brown, Charles C., Brig Gen| USA | 08042 | *Hallstein, David W., Major | FA | 0393007 |
| *Buttery, Edwin B., Captain | FA | 023966 | Harris, Eldred, Captain | FA | 01168272|
| Chase, Robert B., Captain | FA | 0418364 | Hart, James P., Jr., Lt Col | FA | 0257422 |
| *Cooley, Gordon S., Captain | FA | 01172814| *Isted, Raymond E., Captain | FA | 0417314 |
*Departed from United States with XVI Corps on 20 September 1944 for overseas service.
## ALPHABETICAL ROSTER
| Name | Branch | ASN | Name | Branch | ASN |
|-----------------------|--------|---------|-----------------------|--------|---------|
| Jacobson, John, Jr., Colonel | FA | 0102526 | Rodeheffer, Allen W., Captain | FA | 024602 |
| Jillson, Stuart F., Major | FA | 0341959 | Smith, Edward W., Major | FA | 0353889 |
| Johns, Russell T., Captain | FA | 01175473| Stephens, William T., 1st Lt | FA | 01182011|
| Lillis, Henry J., 1st Lt | FA | 01118201| Thurman, William A., Major | FA | 0331141 |
| Marshall, Albert E., Major | FA | 0341172 | Walter, Thomas R., 1st Lt | FA | 01172713|
| Obasck, Leroy E., Lt Col | FA | 034657 | Williams, Claude H., Captain | FA | 01168523|
| O'Steen, James E., Lt Col | FA | 0283066 | Williamson, James G., 1st Lt | FA | 01184969|
### ENLISTED MEN
| Rank | Name | Branch | ASN |
|--------|-----------------------|--------|---------|
| Pfc | Abramowitz, Jack | | 32704569|
| Pfc | Allen, George E. | | 39241414|
| Tec 5 | Allen, George W., Jr. | | 34241856|
| S/Sgt | Allin, Tilden C. | | 20139698|
| S/Sgt | Anderson, Clifford R. | | 37664589|
| Tec 4 | Ash, George A. | | 39404136|
| Tec 5 | Bair, Charlie N. | | 34241766|
| Tec 3 | Baker, Glenwood E. | | 31012681|
| Tec 5 | Baldor, Miguel | | 31012872|
| Cpl | Barthlow, George | | 34241888|
| Pfc | Battista, Eugene A. | | 39409679|
| Tec 5 | Bauknight, John H. | | 34241466|
| Pfc | Bean, Thomas J. | | 39175575|
| Pfc | Berman, Roy | | 32978765|
| S/Sgt | Brown, Edward, Jr. | | 20139703|
| Sgt | Bruns, Bernard A. | | 35618386|
| Pfc | Carpenter, Hubert W. | | 35631316|
| Tec 4 | Clark, William J. | | 32206824|
| Tec 5 | Cook, James | | 34177126|
| Tec 5 | Cohen, Frederick L. | | 42049710|
| Tec 5 | Daneault, Edward | | 20139691|
| Pfc | De Stefano, Joseph G. | | 33358429|
| Pfc | Farmer, Quinton B. | | 39039305|
| Tec 5 | Ford, Michael A. | | 31339014|
| Tec 4 | Gagnon, Aime A. | | 20139716|
| Tec 4 | Gallagher, Arthur J. | | 20139717|
| Sgt | Gaudreault, Aime C. | | 20139718|
| Cpl | Gaudreault, Francis L.| | 20139753|
| Tec 4 | Gazda, Stanley J. | | 20139719|
| M/Sgt | Gott, William E. | | 20136886|
| M/Sgt | Greco, William E. | | 12124623|
| Pfc | Harlan, Clayton H. | | 35499798|
| S/Sgt | Harrison, George K. | | 20428725|
| Pvt | Hask, Roy | | 38001413|
| Pfc | Hefty, Ernest F. | | 39409648|
| Pfc | Hensley, Glen R. | | 37230304|
| Tec 4 | Hladik, Douglas A. | | 36361332|
| M/Sgt | Hokanson, Carl H. | | 20140106|
| Pfc | Howell, Briggs D. | | 39410085|
| Pfc | Huff, Herbert M. | | 35035142|
| IFC | Humphrey, Fred | | 35121557|
| Tec 5 | Johnston, Edward J. | | 36779674|
| Pfc | Jordan, Lloyd L. | | 35285374|
| Tec 5 | King, Leroy J., Jr. | | 32987163|
| S/Sgt | Kuehn, Robert E. | | 36225284|
| Tec 4 | Laliberte, Robert E. | | 31013049|
| Tec 4 | Lanouette, Roland | | 31013077|
| Pfc | Larson, Herbert O. | | 37262011|
| Pfc | Levoy, Claud | | 34241859|
| Pfc | Lewit, Theodore L. | | 32808869|
| Pfc | Linn, Harold E. | | 37533066|
| Cpl | Loranger, Leo A. | | 20140227|
| Tec 5 | Malais, Maurice F. | | 20139747|
| T/Sgt | Martin, Carl G. | | 33111844|
| Sgt | Mayes, Thomas C. | | 20725911|
| Pvt | McArthur, Arthur J. | | 20139737|
| Tec 4 | McKinnon, Howard C. | | 20139738|
| Pvt | Michaud, Charles L. | | 62889889|
| Cpl | Moneta, Martin J. | | 39409686|
| Tec 4 | Morin, Albert J. A. | | 31012774|
| Pfc | Morissette, Normand K.| | 20140411|
| Tec 5 | Oakes, Elmer C. | | 34190599|
| Cpl | Pay, Othel L. | | 39919024|
| Pvt | Perez, Rodolfo Z. | | 39560302|
| Tec 4 | Piatak, Edward | | 20140630|
| Tec 5 | Pierce, James L., Jr.| | 20448376|
| Tec 3 | Pilch, Frank P. | | 36355608|
| Pfc | Plinar, George A. | | 20139743|
| S/Sgt | Pope, Ralph A., Jr. | | 34179184|
| Pfc | Powers, Donald C. | | 36411825|
| Tec 4 | Reap, John E. | | 32118759|
| Pfc | Reich, Wilbert P. | | 37560113|
| Tec 5 | Richardson, Edward R. | | 31239233|
| M/Sgt | Rochette, Robert J. | | 20140031|
| Pvt | Rush, Elbert R. | | 35706887|
| Tec 4 | Santy, Gerald B. | | 31012802|
| T/Sgt | Sargent, Howard M. | | 20140451|
| Pvt | Sayre, Vernon L. | | 39410059|
| Pvt | Sharrard, Douglas I. | | 36587637|
| Tec 5 | Shearer, Charles B. | | 33170694|
| Pfc | Sheedy, Francis T. | | 31011287|
| Pvt | Silva, Ernest G. | | 39039318|
| Tec 5 | Smolov, Boris T. | | 39123521|
| T/Sgt | Snider, Paul F. | | 20140452|
| Tec 5 | Sortman, Everett W. | | 35218231|
| S/Sgt | St. Hilaire, Rosarie J.| | 31012883|
| 1st Sgt | Swanson, John W. | | 20140188|
| Pfc | Tamaroff, Nathan M. | | 12141339|
| S/Sgt | Tenney, Keith A. | | 20140619|
| Tec 5 | Truesdell, Clarence D.| | 39123605|
| Tec 5 | Turk, Keith J. | | 39409616|
| Tec 4 | Waijd, Frank J. | | 20140623|
| Pvt | Whilden, Leslie | | 32479831|
| Cpl | White, Richard T. | | 20140624|
| Tec 5 | Whitmore, George V.I. | | 39693411|
| Pvt | Wilson, Donald D. | | 20140626|
| Pfc | Wolff, William | | 39123489|
| T/Sgt | Zander, Robert E. | | 36110784|
| Pvt | Zarecki, John | | 35148348|
*Departed from United States with XVI Corps on 20 September 1944 for overseas service.*
U.S. Army, 10th corps
1. CORPS HEADQUARTERS AT BARNEVILLE, FRANCE
28 Sept.–28 Nov. 1944
2. CORPS HEADQUARTERS AT TONGRES, BELGIUM
30 Nov.–22 Dec., 1944
3. CORPS HEADQUARTERS AT HEERLE, HOLLAND,
22 Dec. 1944 – 2 Feb. 1945
ENGLISH CHANNEL
FRANCE
PARIS
BELGIUM
6. CORPS HEADQUARTERS AT NIEUJKIRK, GERMANY,
8 Mar.–19 Mar., 1945
7. CORPS HEADQUARTERS AT LINTFORT, GERMANY,
19 Mar.–28 Mar., 1945
8. CORPS HEADQUARTERS AT LETKAMPSHOF, GERMANY,
28 Mar.–1 April, 1945
CORPS HEADQUARTERS AT HEERLEN, HOLLAND,
22 Dec., 1944. – 2 Feb., 1945
CORPS HEADQUARTERS AT SITTARD, HOLLAND,
2 Feb.–3 Mar., 1945
CORPS HEADQUARTERS AT KALDENKIRCHEN, GERMANY,
3 Mar.–8 Mar., 1945
CORPS HEADQUARTERS AT RECKLINGHAUSEN, GERMANY,
7 April–28 April, 1945
CORPS HEADQUARTERS AT BECKUM, GERMANY,
28 April–June 5, 1945 |
Immunohistochemical Level of Unsulfated Chondroitin Disaccharides in the Cancer Stroma Is an Independent Predictor of Prostate Cancer Relapse
Andrew J. Sakko,1,2 Miriam S. Butler,2 Sharon Byers,3,4 Betty J. Reinboth,5 Jürgen Stahl,6 James G. Kench,7,8 Lisa G. Horvath,7,9 Robert L. Sutherland,9 Phillip D. Stricker,7,10 Susan M. Henshall,7 Villis R. Marshall,11 Wayne D. Tilley,2 David J. Horsfall,2 and Carmela Ricciardelli1,2
1Discipline of Obstetrics and Gynecology, Research Centre for Reproductive Health, University of Adelaide; 2Dame Roma Mitchell Cancer Research Laboratories, Hanson Institute, University of Adelaide; 3Matrix Biology Unit, Department of Genetic Medicine, Children, Youth and Women’s Health Service; 4Paediatrics Department, University of Adelaide; 5Department of Pathology, University of Adelaide; 6Adelaide Pathology Partners, Mile End, South Australia, Australia; 7Cancer Research Program, Garvan Institute of Medical Research, Sydney, New South Wales, Australia; 8Department of Tissue Pathology, Institute of Clinical Pathology and Medical Research, Westmead Hospital, Westmead, New South Wales, Australia; 9Sydney Cancer Centre, Royal Prince Alfred Hospital, Camperdown, New South Wales, Australia; 10Department of Urology, St Vincent’s Hospital, Darlinghurst, New South Wales, Australia; and 11Surgical and Specialty Services, Royal Adelaide Hospital, Adelaide, South Australia, Australia
Abstract
The glycosaminoglycan chondroitin sulfate is significantly increased in the peritumoral stroma of prostate tumors compared with normal stroma and is an independent predictor of prostate-specific antigen (PSA) relapse following radical prostatectomy. In this study, we determined whether specific alterations in the sulfation pattern of glycosaminoglycan chains in clinically organ-confined prostate cancer are associated with PSA relapse. Immunoreactivity to distinct glycosaminoglycan disaccharide epitopes was assessed by manually scoring the staining intensity in prostate tissues from patients with benign prostatic hyperplasia \((n = 19)\), early-stage cancer (cohort 1, \(n = 55\) and cohort 2, \(n = 275\)), and advanced-stage cancer \((n = 20)\). Alterations to glycosaminoglycans in benign and malignant prostate tissues were determined by cellulose acetate chromatography and high-pressure liquid chromatography. Glycosaminoglycan disaccharide epitopes were localized to the peritumoral stroma of clinically localized prostate cancer. The level of immunostaining for unsulfated disaccharides (C0S) in the peritumoral stroma, but not for 4-sulfated (C4S) or 6-sulfated disaccharides (C6S), was significantly associated with the rate of PSA relapse following radical prostatectomy. High levels of C0S immunostaining were determined to be an independent predictor of PSA relapse (1.6-fold, \(P = 0.020\)). Advanced-stage prostate cancer tissues exhibited reduced electrophoretic mobility for chondroitin sulfate and increased unsulfated disaccharides when compared with benign prostatic hyperplasia tissues, whereas the sulfated disaccharide levels were unaffected. The level of C0S immunostaining in the peritumoral stroma is an independent determinant of PSA failure in clinically localized prostate cancer. Specific alterations to chondroitin sulfate side chains occurring during tumor development may be a crucial step for disease progression in prostate cancer.
(Cancer Epidemiol Biomarkers Prev 2008;17(9):2488–97)
Introduction
Prostate cancer is the most frequently diagnosed invasive solid cancer in men in the Western world. With the advent of better diagnostic tools [e.g., serum prostate specific antigen (PSA) measurement and transrectal ultrasound guided core biopsy], the majority of men are now diagnosed with early-stage disease, which is potentially curable by surgery or radiotherapy (1). However, up to 20% to 30% of men with presumed organ-confined prostate cancer who undergo curative treatments ultimately relapse with disseminated disease (2). Furthermore, the mortality rate for prostate cancer has only shown a slight decline during this period (3). Despite recent advances with chemotherapy treatment, the main treatment option for men with metastatic prostate cancer remains androgen ablation therapy (4). Clinical outlook following androgen ablation therapy is poor, with reemergence of tumor after an initial stabilization of disease in a form that is no longer responsive to this treatment (5). Given the poor treatment outcomes for both early and advanced prostate cancer, it is critical that new approaches to understanding prostate cancer progression and metastasis be developed.
Proteoglycans are structural components of cell membranes and extracellular matrix and are important modifiers of cellular proliferation and differentiation, playing leading roles in tissue growth and development. Proteoglycans are involved in both normal and neoplastic growth by participating in cell-cell and cell-matrix adhesion and cell migration and proliferation (6). Many
of the functions of proteoglycans are associated with their attached glycosaminoglycan side chains. Glycosaminoglycans are unbranched polysaccharide chains composed of repeating disaccharide units that are linked to the proteoglycan protein core, and are highly negatively charged due to the presence of sulfate and/or carboxyl groups. The composition of these disaccharide units and their sulfation patterns determines distinct glycosaminoglycan types. Chondroitin sulfate is a glycosaminoglycan side chain component of several distinct proteoglycans (e.g., versican) and has a linear polymer structure that possesses repetitive, sulfated disaccharide units containing glucuronic acid and N-acetylgalactosamine (GalNAc) joined by β(1-4) and α(1-3) linkages with sulfate residues at either the C-4 or C-6 position of the disaccharide moiety.
The concentration of chondroitin sulfate is greatly increased over normal tissue levels in several different malignancies (7-10), including prostate cancer (11-13). Our previous studies illustrated that patients treated by radical prostatectomy for early stage (cT₁-cT₂) cancer who showed high chondroitin sulfate concentration in the peritumoral stroma of the prostate had a significantly higher incidence of PSA failure than patients with low chondroitin sulfate concentration (14). Chondroitin sulfate levels in advanced (cT₄) prostate cancer tissues are very similar to the levels present in those early-stage prostate tumors that ultimately progressed, suggesting that metastasis could be associated with increased chondroitin sulfate levels. Although chondroitin sulfate proteoglycans are widely distributed both on the surfaces of most cells and in the extracellular matrix, the structure and function of chondroitin sulfate side chains in malignant tissues have not been thoroughly investigated. Immunologic studies using monoclonal antibodies indicated that the sulfation profile of chondroitin sulfate chains varies according to specific spatiotemporal patterns in embryonic tissues, suggesting that chondroitin sulfate isoforms differing in sulfation position and degree perform distinct functions in embryologic development (15). Variance in chondroitin sulfate structure is largely determined by the specificities of the glycosyltransferases and sulfotransferases involved in chondroitin sulfate synthesis (16). Studies by Kitagawa et al. (17) showed that the ratio of C4S to C6S chondroitin sulfate chains in the embryonic chick brain changes with development and that the levels of specific sulfotransferase activities are closely coordinated with changing levels of individual sulfated disaccharides. Alterations in chondroitin sulfate structure have been observed in many different cancer types (7-10, 18, 19). Importantly, Dietrich et al. (8) showed an increased amount of unsulfated disaccharides in the urine of patients with different malignancies, including prostate cancer.
The aim of this study was to investigate the sulfation pattern of glycosaminoglycan side chains in clinically localized and advanced prostate cancer and to determine whether specific alterations in disaccharide epitopes are associated with PSA relapse.
Materials and Methods
Patient Cohorts. Samples of prostate tissue were collected from patients undergoing retropubic radical prostatectomy for clinically organ confined prostate cancer (Early Stage Pilot Cohort 1, n = 55 and Early Stage Cohort 2, n = 275) and from men undergoing transurethral resection of the prostate for voiding dysfunction [n = 39; 19 from men with advanced metastatic disease, i.e., cT₄NₓM₁ and 20 from men with benign prostatic hyperplasia (BPH)]. All tissue samples were surplus to diagnostic requirements and were obtained either through the Repatriation General Hospital Tissue Bank or the Garvan Institute of Medical Research with approval from the Flinders Medical Centre, Repatriation General Hospital, University of Adelaide, and the St. Vincent’s Hospital (Sydney) Human Ethics Committees. Tumors were staged using the International Union against Cancer system (20). The presence of micrometastatic disease at the time of surgery for patients was determined by a PSA failure, that is, a return to measurable serum PSA levels on two sequential measurements subsequent to a postoperative level below the sensitivity threshold of the assay (<0.2 ng/mL). Early Stage Cohort 1 (Repatriation General Hospital cohort), Advanced Cancer Cohort, and BPH Cohort consisted of whole sections of tissues mounted on microscope slides, whereas Early Stage Cohort 2 (St. Vincent’s Hospital Campus Prostate Cancer Group tissue microarray cohort) consisted of sections of arrayed prostate tissue cores mounted on microscope slides. In statistical analyses, the Early Stage Pilot Cohort 1 was used as a training set and the Early Stage Cohort 2 was used as a validation set. The cohort profiles are detailed in Table 1.
Immunodetection of Glycosaminoglycan Epitopes. Sections of paraffin-embedded prostate tissue (4 μm) from the Early Stage Cohort 1 (pilot cohort) were immunostained with a panel of commercially available monoclonal antibodies to the specific glycosaminoglycan disaccharide epitopes that remain after digestion with chondroitinase enzymes (21), that is, 2B6 monoclonal antibody detects 4-sulfated disaccharide (C4S, 1/1000, Seikagaku Corporation), 3B3 monoclonal antibody detects 6-sulfated disaccharide (C6S 1/200, Seikagaku Corporation), and 1B5 monoclonal antibody detects unsulfated disaccharide (C0S, 1/400, Seikagaku Corporation) in chondroitin sulfate and dermatan sulfate glycosaminoglycan side chains. Positive C0S immunoreactivity in cancer and nonmalignant prostate tissues was detected following digestion with chondroitinase ABC [0.1 unit/mL in 100 mmol/L Tris acetate buffer (pH 7.5) containing 0.1% bovine serum albumin, 1 h at 37°C, Sigma Chemical Co.] and with chondroitinase AC [0.1 units/mL in 50 mmol/L sodium acetate buffer (pH 6.0) containing 0.1% bovine serum albumin, 1 h at 37°C, Sigma Chemical]. No immunoreactivity for C0S was detected using chondroitinase B [0.1 unit/mL in 100 mmol/L Tris acetate buffer (pH 8.0) containing 0.1% bovine serum albumin, 1 h at 37°C, Sigma Chemical]. These findings indicate that the C0S disaccharides are...
Table 1. Summary of clinical and pathology data for the four cohorts used in this study
| Early Stage Pilot Cohort 1* | |
|-----------------------------|---|
| Patients (n) | 55 |
| Median age at diagnosis (y) | 64 (range 51-73) |
| Median preoperative serum PSA (ng/mL) | 9.0 (range 0.3-47.7, n = 50) |
| Median follow-up (mo) | 79.0 (range 36.0-154.0) |
| Gleason score (n)† | |
| 2-4 | 14 |
| 5-6 | 29 |
| ≥7 | 12 |
| PSA failure rate (n)‡ | 22/55 (40%) |
| Early Stage Cohort 2§ | |
|-----------------------------|---|
| Patients (n) | 275 |
| Median age at diagnosis (y) | 63 (range 44-76) |
| Median preoperative serum PSA (ng/mL) | 9.2 (range 0.2-191.0, n = 260) |
| Median follow-up (mo) | 108.5 (range 5.6-260.4) |
| Gleason score (n) | |
| 2-4 | 23 |
| 5-6 | 134 |
| ≥7 | 115 |
| Unknown | 3 |
| PSA failure rate (n) | 124/275 (45%) |
| Advanced Cancer Cohort | |
|-----------------------------|---|
| Patients (n) | 20 |
| Median age at diagnosis (y) | 73 (range 60-92) |
| Stage | cT4N1M1 |
| Gleason score (n) | |
| 2-4 | 5 |
| 5-6 | 7 |
| ≥7 | 8 |
| BPH Cohort | |
|-----------------------------|---|
| Patients (n) | 19 |
| Median age at diagnosis (y) | 70 (range 54-87) |
*Repatriation General Hospital cohort.
†Gleason score determined by a pathologist (JS or JK).
‡The presence of micrometastatic disease at the time of surgery for patients was determined by a PSA-failure, i.e. a return to measurable serum PSA levels on two sequential measurements subsequent to a postoperative level below the sensitivity threshold of the assay (<0.2 ng/ml).
§St. Vincent’s Hospital Campus Prostate Cancer Group (SVCPG) TMA cohort.
present in chondroitin sulfate but not in dermatan sulfate chains. In addition, the predominance of 2B6 staining in tissues treated with chondroitinase B indicated that dermatan sulfate regions in prostate tissues are mostly 4-sulfated (data not shown). The levels of COS disaccharides were also assessed in tissue sections from an independent cohort of patients treated by radical prostatectomy (Early Stage validation Cohort 2), following digestion with chondroitinase ABC. Visualization of the glycosaminoglycan disaccharide epitopes for both cohorts 1 and 2 was achieved with a standard streptavidin immunoperoxidase reaction using biotinylated secondary antibody (Dako Corp.) and diaminobenzidine tetrahydrochloride (Sigma Chemical) to yield an insoluble brown deposit. Negative controls included no pretreatment with chondroitinase enzyme or replacement of the primary antibody with PBS. The immunostaining of each disaccharide epitope was scored manually by two independent observers blinded to clinical outcome in areas identified by urologic pathologists (J.S. and J.K.). The immunostaining intensity in the stroma was scored as strong (3+), moderate (2+), weak (1+), or negative.
**Glycosaminoglycan Isolation and Cellulose Acetate Electrophoresis.** The limited amount of malignant tissue that is surplus to diagnostic requirements at radical prostatectomy and available for research studies prevented extraction of glycosaminoglycan from early-stage prostate cancer tissues. Glycosaminoglycan was therefore isolated only from archived frozen tissue obtained from men undergoing transurethral prostatic resection for voiding dysfunction (20 from men with advanced cT4N1M1 disease and 19 from men with BPH). Confirmation of tissue pathology for each patient was determined (J.S.) in the adjacent tissue of a portion of resected tissue fragments, which were divided longitudinally following thawing and then formalin fixed and paraffin embedded. For glycosaminoglycan isolation, resected prostate tissues (100-500 mg) were thawed and digested in 20 volumes of 1 mg/mL papain in 0.5 mol/L sodium acetate buffer (pH 5.8) containing 25 mmol/L EDTA and 10 mmol/L cysteine hydrochloride at 60°C for 48 h. Cold (4°C) trichloroacetic acid was then added to a final concentration of 10% and after 1 h the precipitated protein was removed by centrifugation (2,000 × g, 4°C, 15 min). The supernatant was dialyzed against several changes of water for 48 h. The retentate was concentrated by lyophilization and reconstituted in 50 μL water. Glycosaminoglycans were isolated by precipitation with 4 volumes of cold (4°C) ethanol containing 1% potassium acetate. After 24 h, the glycosaminoglycans were retrieved by centrifugation (2,000 × g, 4°C, 15 min) and reconstituted in water.
Glycosaminoglycans were electrophoretically separated on cellulose acetate membrane (Sepraphore II, Pall Corp.) in 0.2 mol/L calcium acetate buffer (pH 7.2) at a constant voltage of 80 V for 105 min. Individual glycosaminoglycans were visualized by staining with Alcian blue [0.2% in 25 mmol/L sodium acetate buffer (pH 5.8), containing 50 mmol/L magnesium chloride and 50% ethanol] for 30 min (22). The separated bands were quantified by laser densitometry. Glycosaminoglycans extracted from prostate tissue were identified by comparison of band migration distances with standard glycosaminoglycans (22). Further identification of individual glycosaminoglycans was facilitated by enzymatic digestion with chondroitinase ABC or hyaluronidase and by nitrous acid hydrolysis.
**Characterization of Sulfation Pattern of Glycosaminoglycan Chains.** The total glycosaminoglycan extract was batch absorbed to Q-Sepharose and eluted with 2.5 mol/L NaCl to concentrate the glycosaminoglycan preparation. The inherent disaccharide patterns of the chondroitin sulfate and dermatan sulfate components were determined by digestion of 10 to 20 μg glycosaminoglycan with chondroitinase ABC (0.02 units) in buffer containing 50 mmol/L Tris-HCl (pH 8.0) overnight at 37°C (23). Following digestion, four volumes of absolute ethanol was added, and the mixture was placed at −20°C for 4 h before centrifugation at 15,000 × g. The disaccharides remaining in the supernatant (40 μL) were
separated by high-pressure liquid chromatography on a Partisil-5PAC (5 μm, 25 cm × 4.6 mm id) column, and eluted at a flow rate of 1.0 ml/min, in a mobile phase of 52% acetonitrile, 12% methanol, and 36% aqueous buffer [0.5 mol/L Tris HCL, 0.1 mol/L boric acid (pH 8.0); ref. 24]. This system allows the separation and quantification of disaccharides from chondroitin sulfate and dermatan sulfate. Standard disaccharide preparations of ΔDi-4S, ΔDi-6S, ΔDi-0S, ΔDi-4,6S, ΔDi-HA, and N-acetylgalactosamine, N-acetylgalactosamine-4-sulfate, and N-acetylgalactosamine-6-sulfate were used as controls to characterize the elution profile.
**Statistical Analysis.** Statistical Package for the Social Sciences version 13.0 (SPSS) was used. The Spearman’s correlation and χ² tests were used to determine correlation between chondroitin sulfate epitope expression and clinicopathologic features. The χ² test was used to determine association between the presence of the modified chondroitin sulfate and malignant disease. The Mann-Whitney U test was used to assess differences between the proportion of disaccharides in nonmalignant and cancer tissues. Relapse-free survival was used as the end point in Cox regression and Kaplan-Meier analyses to determine whether the levels of glycosaminoglycan disaccharide epitopes were related to risk and rate of relapse, respectively, in Early Stage Cohort 2. Relapse-free survival was calculated from the date of diagnosis to the date of progression or the date of last follow-up if progression-free. Four patients who died from other causes were censored on the date of death. Statistical significance was set at P < 0.05.
**Results**
**Glycosaminoglycan Epitopes in Prostatic Tissues.** C4S, C6S, and COS disaccharide moieties were localized to the peritumoral stroma of clinically organ confined prostate cancer tissues (Fig. 1A). Strong immunostaining for C4S disaccharide was present in 50.9% (28 of 55) of tumors whereas strong staining for C6S disaccharide was present in 20.0% (11 of 55) of the cancer tissues. Strong immunostaining for COS disaccharide was present in 32.7% (18 of 55) of the tumors. C4S disaccharide was observed throughout the stroma adjacent to nonmalignant tissue, whereas C6S disaccharide and unsulfated disaccharide were localized to the periglandular stroma of nonmalignant glands (Fig. 1A). Strong immunostaining for COS disaccharide was observed in 80% (8 of 10) of advanced cancers, whereas 78% (7 of 9) of the BPH tissues examined exhibited weak or moderate staining levels for COS (Fig. 1B).
**Association of Unsulfated Chondroitin Sulfate Level with PSA Relapse.** Kaplan-Meier analyses of the rate of PSA relapse with respect to immunostaining in prostate tissue sections of glycosaminoglycan disaccharide epitope for patients in the Early Stage Cohort 1 are shown in Fig. 2. The levels of C4S disaccharide (Fig. 2A; log-rank statistic = 0.69, P = 0.709) and C6S disaccharide (Fig. 2B; log-rank statistic = 2.11, P = 0.349) were not associated with the rate of PSA relapse. In contrast, the level of COS disaccharide was associated with the rate of PSA relapse (log-rank statistic = 11.12, P = 0.004; Fig. 2C). Patients with moderate or high levels of COS disaccharide had a significantly higher rate of relapse compared with patients with low levels of COS disaccharide. The level of COS disaccharide was also significantly associated with the rate of PSA relapse in the independent Early Stage Cohort 2 (log-rank statistic = 6.617, P = 0.037; Fig. 3A). Because there were only 13 patients with low levels of COS disaccharide in this cohort, these patients were grouped with patients with moderate COS disaccharide levels. Patients with high levels of COS disaccharide (45.7%, 58 of 129) again experienced significantly more relapses than patients with low or moderate levels of COS disaccharide (33.6%, 48 of 146, log-rank statistic = 6.25, P = 0.012; Fig. 3B).
High levels of COS were significantly associated with clinical stage cT₂ (P = 0.021), pathologic stage pT₃ (P = 0.006), the presence of seminal vesicle invasion (P = 0.007), and extracapsular extension (P = 0.011) by χ² analysis, whereas no significant relationship was observed between COS levels and Gleason score (P = 0.393), presence of positive margins (P = 0.399), nor preoperative PSA levels (P = 0.802). High levels of COS disaccharide were significantly associated with a 1.60-fold increased risk of relapse following radical prostatectomy (Cox univariate analysis; Table 2A). Comparison with the other statistically significant clinical and pathologic variables by multivariate analysis indicated that the level of unsulfated disaccharide predicted PSA relapse (1.59-fold increased risk) independent of pathologic stage, Gleason score, preoperative serum PSA, surgical margins, seminal vesicle involvement, and extracapsular extension (Cox multivariate analysis; Table 2B).
**Chondroitin Sulfate Exhibits Altered Mobility in Advanced Prostate Cancer.** Cellulose acetate chromatography indicated that a physicochemical modification to the structure of chondroitin sulfate is present in the majority of advanced prostate cancer tissues compared with the form isolated from BPH tissues (16 of 20 advanced cancers compared with 5 of 19 BPH tissues, P = 0.0001, χ² test; Fig. 4A). The relative mobility coefficient of chondroitin sulfate for advanced-stage cancers was 0.58 compared with 0.69 for BPH tissues. The relative mobility coefficient of dermatan sulfate was unaltered in BPH and cancer tissues (range, 0.48-0.52).
**Characterization of Glycosaminoglycan Sulfation Pattern in Advanced Prostate Cancer.** The lower migration rate on cellulose acetate chromatography of chondroitin sulfate from advanced prostate cancer tissues suggested a differential sulfation pattern compared with nonmalignant prostate tissues. To investigate this further, isolated glycosaminoglycan chains were digested with chondroitinase ABC and analyzed by high-pressure liquid chromatography (Fig. 4B). The level of ΔDi-0S disaccharides was significantly increased (P = 0.016) in prostate cancer tissues (mean, 7.5%; range, 4.3-16.7%) compared with BPH tissues (mean, 3.7%; range, 3.4-4.2%; Fig. 4C). The proportion of ΔDi-4S disaccharides was reduced in prostate cancer tissue compared with BPH tissues; however, this difference was not statistically significant. The ΔDi-6S disaccharide levels were not altered in prostate cancer compared with BPH tissues (Fig. 4C). Interestingly, an additional unknown peak, which eluted earlier than the ΔDi-0S disaccharide, was observed in all prostate...
cancer tissues examined (Fig. 4B), but was absent in BPH. The identity of this peak is unknown as it did not correspond to the elution profile of any of the following additional glycosaminoglycan structures examined, ΔDi-4,6S, ΔDi-HA, GalNAc-4-S, GalNAc-6-S, and GalNAc (data not shown).
**Discussion**
The mechanisms underlying the progression of prostate cancer from organ confined to locally invasive and ultimately metastatic disease are poorly understood. Previous studies from this laboratory have shown increased levels of chondroitin sulfate and the chondroitin sulfate proteoglycan versican in the peritumoral stromal matrix of prostate cancer patients who relapse after surgical treatment for presumed organ-confined disease (13, 14, 25). Those studies showed that measurement of chondroitin sulfate level may assist in predicting patient outcome following surgery, especially when combined with other clinical and pathologic features such as preoperative serum PSA levels. The present study investigated distinct glycosaminoglycan epitopes and showed that C0S disaccharide levels, but not C4S or C6S disaccharide levels, in the peritumoral stroma are significantly associated with rate of PSA failure in...
clinically localized prostate cancer. The level of immunostaining for COS disaccharide was found to be a predictor of PSA relapse, independent of the standard clinical and pathologic predictors. In addition, we showed that chondroitin sulfate but not dermatan sulfate glycosaminoglycan chains had a reduced electrophoretic mobility in advanced-stage prostate cancer tissues, probably due to a reduced charge density. These findings suggest that specific alterations to chondroitin sulfate side chains, in particular a decrease in overall sulfation attributed to an increased proportion of unsulfated chondroitin side chains, may be a crucial step for promoting disease progression in prostate cancer.
**Figure 2.** Kaplan-Meier product limit plots illustrating the relationship between glycosaminoglycan epitope levels and PSA relapse in clinically localized prostate cancer (Early Stage Cohort 1). **A.** (- - - -) low C4S (0 or 1+ score), $n = 3$; (-----) moderate C4S (2+ score), $n = 26$; or (------) strong C4S disaccharide immunostaining (3+ score), $n = 26$, log-rank statistic = 0.69, $P = 0.709$. **B.** (- - - -) low C6S (0 or 1+ score), $n = 27$; (-----) moderate C6S (2+ score), $n = 15$ or (------) strong C6S disaccharide immunostaining (3+ score), $n = 29$; log-rank statistic = 2.11; $P = 0.349$. **C.** (- - - -) low unsulfated (0 or 1+ score), $n = 19$; (-----) moderate unsulfated (2+ score), $n = 18$; or (------) strong unsulfated disaccharide immunostaining (3+ score), $n = 18$; log-rank statistic = 11.12; $P = 0.004$.
**Figure 3.** Kaplan-Meier product limit plots illustrating the relationship between chondroitin sulfate epitope levels and PSA progression in clinically localized prostate cancer in an independent cohort derived from an independent institution (Early Stage Cohort 2). **A.** (------) low unsulfated (0 or 1+ score), $n = 12$; (-----) moderate unsulfated (2+ score), $n = 129$ or (- - - -) strong unsulfated disaccharide immunostaining (3+ score), $n = 119$; log-rank statistic = 6.617; $P = 0.037$. **B.** (------) Low or moderate unsulfated (0, 1+, or 2+ score), $n = 146$ or (- - - -) strong unsulfated disaccharide immunostaining (3+ score), $n = 129$; log-rank statistic 6.625; $P = 0.012$.
Table 2. Statistical analysis of specific alterations in the sulfation pattern of GAG chains
A. Univariate Cox Regression analysis of relapse-free survival in patients treated by radical prostatectomy (Early Stage Cohort 2)
| Variable | Relative risk | 95% confidence interval | \( P \) |
|-----------------------------------------------|---------------|--------------------------|---------|
| Age at diagnosis (\( n = 275 \)) | 1.00 | 0.98-2.26 | 0.72 |
| Clinical stage\(^a\) (\( n = 274 \)) | 1.49 | 0.97-1.02 | 0.061 |
| Pathologic stage\(^b\) (\( n = 275 \)) | 2.59 | 1.75-3.84 | <0.0001 |
| Preoperative PSA\(^c\) (\( n = 260 \)) | 1.78 | 1.22-2.62 | 0.003 |
| Gleason score\(^d\) (\( n = 272 \)) | 2.58 | 1.76-3.80 | <0.0001 |
| Margins (\( n = 275 \)) | 1.82 | 1.24-2.68 | 0.002 |
| Seminal vesicle involvement (\( n = 272 \)) | 2.24 | 1.52-3.30 | <0.0001 |
| Extracapsular extension (\( n = 275 \)) | 2.30 | 1.56-3.39 | <0.0001 |
| COS\(^e\) (\( n = 275 \)) | 1.62 | 1.10-2.36 | 0.013 |
B. Multivariate Cox regression analysis of relapse-free survival in patients treated by radical prostatectomy (Early Stage Cohort 2). All variables are significant in univariate analysis (\( n = 255 \))
| Variable | Relative risk | 95% confidence interval | \( P \) |
|-----------------------------------------------|---------------|--------------------------|---------|
| Pathologic stage | 4.30 | 1.36-13.56 | 0.013 |
| PSA | 1.46 | 0.97-2.19 | 0.073 |
| Gleason score | 2.03 | 1.26-3.27 | 0.002 |
| Seminal vesicle involvement | 0.46 | 0.17-1.27 | 0.133 |
| Margins | 1.20 | 0.59-3.72 | 0.447 |
| Extracapsular extension | 0.79 | 0.31-1.99 | 0.612 |
| COS | 1.65 | 1.10-2.48 | 0.016 |
C. Stepwise elimination of nonsignificant variables (\( n = 272 \))
| Variable | Relative risk | 95% confidence interval | \( P \) |
|-----------------------------------------------|---------------|--------------------------|---------|
| Pathologic stage | 1.97 | 1.29-3.01 | 0.002 |
| Gleason score | 2.31 | 1.54-3.46 | <0.0001 |
| COS | 1.59 | 1.07-2.36 | 0.020 |
NOTE: \( P \) values highlighted in bold indicate \( P < 0.05 \)
\(^a\) Clinical stage cT1 vs cT2 and 6 cases that were stage cT3.
\(^b\) Pathological stage pT2 vs pT3.
\(^c\) Preoperative serum PSA level (prostate specific antigen, ng/mL) dichotomized by cut point <10.0 versus ≥10.0.
\(^d\) Gleason score <7 vs ≥7.
\(^e\) Immunostaining for unsulfated chondroitin disaccharide (COS) in peritumoral stroma dichotomized by low or moderate levels vs high level.
Increased proportions of ΔDi-0S disaccharides have been observed in laryngeal (26), rectal (19), colon (7), liver (27), pancreatic (10), and head and neck tumor tissues (9) compared with normal tissue. ΔDi-0S disaccharide is the predominant disaccharide found in pancreatic carcinoma (10) and is increased 4-fold in gastric carcinoma compared with normal tissue (28). Furthermore, gastric carcinomas exhibit increased ΔDi-0S and ΔDi-6S disaccharides with a parallel decrease in ΔDi-4S disaccharides. The current study suggests that increased levels of ΔDi-0S disaccharides also occur in prostate cancer. Thus, a common feature of several cancer types seems to be the presence of chondroitin sulfate harboring specific alterations in disaccharide sulfation.
As sulfation is a nonrandom, biosynthetically regulated process, differences between the sulfation pattern of chondroitin sulfate attached to proteoglycans within normal and neoplastic tissues suggest that tumor factors may affect the synthesis and metabolism of chondroitin sulfate by the cells within the peritumoral stroma. Several growth factors that are secreted by prostate cancer cells at increased levels compared with normal prostate epithelial cells, such as transforming growth factor β1 and platelet-derived growth factor, have been shown to induce structural modification to chondroitin sulfate chains, while simultaneously modulating proteoglycan core protein expression in arterial smooth muscle cells (29). These structural modifications include increases in chain length and changes in sulfation resulting in altered charge density. In addition, insulin-like growth factor-1 is known to be increased in prostate cancer cells compared with normal prostate epithelial cells and to stimulate synthesis of undersulfated proteoglycans by the peritubular cells of the testis (30).
Chondroitin chains are synthesized by chondroitin synthase and chondroitin N-acetylgalactosaminyl transferase. Chain elongation requires GalNAc transferase II and D-glucuronic acid transferase II activities, whereas chain initiation requires GalNAc transferase I activity. Although little is known as to whether these enzymes are differentially expressed in cancerous tissues, α1-3 GalNAc transferase has been shown to be activated during induced pancreatic carcinogenesis in the hamster (31). Several mechanisms may thus be used by prostate cancer cells to regulate both the levels and pattern of sulfation of chondroitin sulfate proteoglycans by stromal cells in the prostate and it is unlikely that observed changes are serendipitous. These mechanisms may comprise down-regulation of enzymes involved in chondroitin sulfate sulfation, such as chondroitin 4-O-sulfotransferase, chondroitin 6-O-sulfotransferase, and chondroitin 4-sulfate-eO-sulfotransferase by either cancer cells or peritumoral stromal cells under the direction of cancer cells, and result in increased amounts of GalNAc residues that are unsulfated (16).
The current study shows that physicochemical alterations to the structure of chondroitin sulfate in the
prostatic stroma occur during prostate cancer progression and may aid prostate cancer metastasis. Changes in chondroitin sulfate structure may contribute to the efficiency with which chondroitin sulfate proteoglycans, such as versican, destabilize tumor cell focal adhesion and promote cancer invasion (32). Other studies have shown that a lowering of the sulfation level altered the ability of chondroitin sulfate to modulate embryonic cell migration on extracellular matrix *in vitro* (33). Alterations in sulfation pattern of chondroitin sulfate may well reflect modified biological roles of chondroitin sulfate proteoglycans between normal and neoplastic tissues (34). Although the biological and developmental significance of the different chondroitin sulfate epitopes is not well understood, studies have found that the sulfation profile of chondroitin sulfate chains changes with specific spatiotemporal patterns in various tissues during embryologic development, suggesting that chondroitin sulfate isoforms differing in sulfation position and degree perform distinct functions (35, 36). In particular, the ratio of C4S to C6S varies during normal embryonic development (17) and a change in ratio in favor of C6S seems to be associated with cell proliferation (29). Furthermore, knockdown of the chondroitin synthase gene (by RNA interference) revealed that COS (the only chondroitin synthesized by *Caenorhabditis elegans*) is required for embryonic morphogenesis and cell division (37). Interestingly, differential sulfation of heparin sulfate proteoglycans directs retinal axons through the chiasm during optic innervation (38). In addition, heparan sulfate and chondroitin sulfate have been shown to interact in a sulfation-dependent manner with various axon guidance proteins, including slit2, netrin1, ephrinA1, ephrinA5, and semaphorin5B (39). These studies lend support to the notions that glycosaminoglycans are sulfated in complex and changing
**Figure 4.** Cellulose acetate electrophoresis of papain-digested glycosaminoglycans from human prostate tissue (**A**). Profile produced by BPH and advanced prostate cancer tissue. The leading peak (relative mobility, RM 0.69 in BPH and RM 0.58 in cancer) was composed of chondroitin sulfate, the middle peak (RM 0.48-0.52) was composed of dermatan sulfate, and the trailing peak (RM 0.39-0.41) was composed of heparan sulfate and hyaluronan (**A**). High-pressure liquid chromatography elution profile of disaccharides from human prostate cancer tissue following chondroitinase ABC digestion (**B**). Absorbance was measured at 229 nm. Glycosaminoglycan chains were digested with chondroitinase ABC and analyzed by high-pressure liquid chromatography. Proportion of ΔDi-4S, ΔDi-6S, and ΔDi-0S disaccharides from chondroitin sulfate and dermatan sulfate isolated from nonmalignant, that is, BPH, and malignant (*M*) human prostate tissues (**C**). *, the level of ΔDi-0S disaccharides were significantly increased in prostate cancer tissues compared with BPH tissues (*P* = 0.016, Mann Whitney *U* test).
patterns and that undersulfation of chondroitin sulfate may be involved in fundamental biological processes involving cell migration.
A reduction in the electrophoretic migration of chondroitin sulfate has been observed in the urine of patients with different malignancies, including prostate cancer, compared with patients without cancer (8). The lower electrophoretic migration of chondroitin sulfate from cancer patients was found to be due to an increased amount of ΔDi-0S disaccharide. A study by Dietrich et al. (8) showed a direct correlation between the relative amounts of the ΔDi-0S disaccharide present in chondroitin sulfate and the stage of malignancy of the cancer. The structural change to chondroitin sulfate occurred early in the development of the tumor and, following surgery and chemotherapy, the structure of chondroitin sulfate in the urine of treated patients was found to revert back to a form similar to that secreted by normal subjects. It is therefore possible that measurement of COS disaccharides in biological fluids may be useful in the diagnosis and follow-up of prostate cancer.
In conclusion, this study supports the tenet that specific glycosaminoglycan alterations occur during tumor development and consequent changes in proteoglycan composition may be a critical step for prostate cancer invasion. Although the physiologic significance of the modifications induced by various growth factors for proteoglycan biosynthesis and particularly undersulfation are not understood, we postulate that changes to chondroitin sulfate structure in the peritumoral stroma of prostate cancer may facilitate cancer invasion by destabilizing focal cell adhesions between prostate cancer cells and the surrounding stroma. Further study of the regulation and biological role of chondroitin sulfate sulfation in prostate cancer will improve our knowledge of both the prostate tumor cell microenvironment and epithelial-stromal cell interactions.
Disclosure of Potential Conflicts of Interest
No potential conflicts of interest were disclosed.
Acknowledgments
The costs of publication of this article were defrayed in part by the payment of page charges. This article must therefore be hereby marked advertisement in accordance with 18 U.S.C. Section 1734 solely to indicate this fact.
We thank Keiko Mayne for performing the cellulose acetate electrophoresis and glycosaminoglycan isolation, Marie Pickering for immunohistochemical expertise, Virginia Papangelis for providing tissue sections from the Repatriation General Hospital cohort, and Anne-Maree Haynes and Ruth PeBenito for their assistance with the management of the patient database and tissue bank in relation to the St. Vincent’s Hospital Campus Prostate Cancer Group cohort.
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Immunohistochemical Level of Unsulfated Chondroitin Disaccharides in the Cancer Stroma Is an Independent Predictor of Prostate Cancer Relapse
Andrew J. Sakko, Miriam S. Butler, Sharon Byers, et al.
*Cancer Epidemiol Biomarkers Prev* 2008;17:2488-2497.
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END-TO-END PHOTOPLETHYSMOGRAPHY (PPG) BASED BIOMETRIC AUTHENTICATION BY USING CONVOLUTIONAL NEURAL NETWORKS
Jordi Luque\textsuperscript{1}, Guillem Cortès\textsuperscript{1}, Carlos Segura \textsuperscript{1}, Alexandre Maravilla\textsuperscript{2}, Javier Esteban\textsuperscript{2}, Joan Fabregat\textsuperscript{2}
\textsuperscript{1} Telefónica Research Edificio Telefónica-Diagonal 00, Barcelona, Spain
\textsuperscript{2} Telefónica de España, Spain
ABSTRACT
Whilst research efforts have traditionally focused on Electrocardiographic (ECG) signals and handcrafted features as potential biometric traits, few works have explored systems based on the raw photoplethysmogram (PPG) signal. This work proposes an end-to-end architecture to offer biometric authentication using PPG biosensors through Convolutional Networks. We provide an evaluation of the performance of our approach in two different databases: Troika and PulseID, the latter a publicly available database specifically collected by the authors for such a purpose. Our verification approach through convolutional network based models and using raw PPG signals appears to be viable in current monitoring procedures within e-health and fitness environments showing a remarkable potential as a biometry. The approach tested on a verification fashion, on trials lasting one second, achieved an AUC of 78.2\% and 83.2\%, averaged among target subjects, on PulseID and Troika datasets respectively. Our experimental results on previous small datasets support the usefulness of PPG extracted biomarkers as viable traits for multi-biometric or standalone biometrics. Furthermore, the approach results in a low input throughput and complexity that allows for a continuous authentication in real-world scenarios. Nevertheless, the reported experiments also suggest that further research is necessary to account for and understand sources of variability found in some subjects.
Index Terms— photoplethysmogram signal, ppg, biometric authentication, biometric verification, convolutional neural networks
1. INTRODUCTION
User authentication based on monitoring the heart signal has raised the interest of the research community due to the increasingly popularity of wearable biosensors. Wrist-type photoplethysmographic (PPG) sensors have become a standard in health care and fitness applications owing to their capabilities for low cost and long term screening. Despite the fact that PPG signals can be easily obtained from the finger or by wrist-type wearables and smart-watches, it arises several questions about its potential and viability as a biometric trait, e.g., due to motion artifacts, as well as around the selection of appropriate biomarkers.
The PPG sensor is a non-invasive electro-optical method [1] that provides the PPG signal as illuminance variations measured by a photo-detector. Usually, a source of light is placed on a finger and a photo-detector placed right across the source detects the transmitted light reflected back. Shortly after the systole, the amount of blood in the arteries increase, thus reflecting it on the intensity of received light which increases too. The contrary occurs during the diastole, where the amount of blood in the arteries decreases leading to a decrease in the light observed by the photo-detector. Blood flowing characteristics are unique identifiers specific to different persons while they are similar enough to recognize the same person [2, 3, 4], keeping a strong relationship with person’s anatomy and physiology as with the heart size and its dynamics.
Most of the approaches in the literature for biometric pulse identification rely both on involving Electrocardiography (ECG), based on the electrical activity of the heart, and on a carefully design, segmentation and extraction of expert features from the pulse signal [5, 6]. A decoupled approach which comprises mainly two stages is usually described [2, 7, 8]. Firstly, biomarkers or features are extracted from the pulse ECG or PPG signals, also known as front-end processing. Then, template feature vectors feed a second stage that performs model learning. Nonetheless, such features are designed by hand and strongly depend on a high expertise both on the knowledge of the addressed task and on acquisition nature of the pulse signal itself. For instance, in [2] an experiment on a group of 17 subjects was performed, where the authors studied four time domain characteristics, as time intervals, peaks and slopes from the PPG signals reporting successful accuracy rates of 94\% for human verification. In the work of [7], feature extraction on the PPG, ECG, EEG signals was performed based on eigenvector methods. Spachos et al. [3] studied four feature parameters, peak number, time interval, upward slope and downward slope. The study from [4] is intended for exploring the time domain features acquired from its first and second derivatives, where a group of 40 features were extracted and ranked based on a $k$-nearest neighbor algorithm. The authors in [8] perform a comparison of three methods based and proposed the pulsatile beat-by-beat correlation analysis, the rejection or acceptance of subject is performed based on the maximum similarity. Finally, more recent works [9] make use of Deep Belief Networks and Restricted Boltzman Machines as classifiers. With the advent of Deep Neural Network architectures, such as convolutional based neurons, end-to-end processing pipelines are gaining popularity by building architectures capable of learning features directly from raw data. For instance, in computer vision [10] or speech processing [11, 12] novel feature learning techniques are applied directly on the raw representations of images and audio, avoiding the signal parameterization or any other prior preprocessing.
This paper presents a new human verification approach using photoplethysmogram (PPG) signals and deep neural network modelling. The novelty of this work resides on the use of an end-to-end deep neural network architecture for both automatic extraction of biomarkers and low complexity allowing high continuous authentication rates. The proposed front-end, based on a Convolutional Neural Network, is jointly trained together with a dense neural net. Such architecture allows for a joint optimization of the extracted patterns
while maximizes the verification of the subject’s identity. In addition and for development and evaluation purposes a new database, named as PulseID, is collected within a regular office environment, comprising 43 subject’s IDs and their PPGs signals. Our proposed verification approach through neural network learning and classification appears to be viable as reported by the experiments performed on the Troika [13] and PulseID datasets. The results are encouraging, reaching AUCs around 83.1% by trials lasting just 1 second, both showing the potential of learned PPG biomarkers as a stand alone biometry and allowing for a continuous authentication in real-world scenarios.
2. PPG BASED VERIFICATION METHODOLOGY
2.1. Datasets
Two different datasets are employed in this work to conduct person verification experiments through PPG signals. Firstly, a new corpus was collected aiming to fulfil a need of, to the best of authors’ knowledge, a public domain dataset specifically created for PPG biometric identification. For such a purpose, the authors collected a new PPG dataset, named as PulseID\(^1\), in a quiet office environment. Secondly, aiming to verify the robustness of our approach in more challenging conditions, the Troika [13] dataset is used. In contrast, Troika recordings are acquired for subjects on a treadmill, walking and running at different speeds.
For the PulseID data acquisition, the pulse sensor described in [14] is employed. It is essentially a photoplethysmograph, a well known medical device used for non-invasive heart rate monitoring, consisting of a green LED and a photo-detector. The heart pulse signal that comes out of the pulse sensor is an analog fluctuation in voltage, with associated waveform known as photoplethysmogram or PPG, see figures 1(a) and (b). The pulse sensor responds to relative changes in illuminance. For a sensor placed in the subject’s skin, the reflected light back to the photo-detector changes during each pulse due to blood flowing what is perceived as variations in the voltage signal. A Raspberry Pi 3 board was employed for hardware acquisition together with a popular analog to digital converter (ADC) MCP3008, accounting for 10 bits. The process of data acquisition was provided by 43 volunteers (31 male and 12 female) with ages ranging from 22 to 55. Subjects were seated down in a calmed, relaxed and quiet office environment while the recordings. The PPG sensor was attached to the fingertip of the right index finger by a belt. PPG acquisitions, lasting roughly one minute, were recorded from each subject and repeated 5 times along the same session. PPG analog signal was sampled at 200 Hz rate. For doing so, a python code was developed aiming to perform sampling synchronization while reading from the ADC and ensuring a tolerant averaged sampling rate deviation of \( \mu = 13.32 \, \mu s \) and \( \sigma = 202.58 \, \mu s \) per subject, see plot (c) in the figure 1 for an example. For comparison purposes, an ECG waveform from Troika is depicted in fig. 1(d). It is worth noting that no pre-processing is performed to the raw PPG acquired signals. It can be seen in the higher noise levels present in the acquired PPGs, where various artifacts are expected to be found: like analog circuit noises or medium illuminance changes, respiration or base deviation arising from movement.
In addition to PulseID database, the Troika dataset is employed to verify the robustness of our approach. Biometric identification using PPG should be possible even when the subject is in heavy physical motion. Therefore, Troika introduces a suitable database to benchmark learning models in practical day to day situations, by presenting higher heart signal variability and physical motion artifacts, is in theory a more challenging scenario compared to a relatively quiet office environment. During Troika recordings, subjects walked or ran on a treadmill at different speeds. The data was collected from 20 male subjects with ages ranging from 18 to 35. For each subject, the PPG signals were recorded from wrist by two pulse oximeters but only the first PPG channel is used in this work. The pulse signals were sampled at 125 Hz, see [13] for further details.
2.2. End-to-end biomarker learning
Convolutional Neural Networks (CNN) have become broadly applied reporting great success for instance in image recognition tasks [15, 16]. In the same sense, our deep CNN-based feature learning architecture makes use of local filtering and feature pooling, used at the output of the convolutional layers. The CNN architecture that we used as a basis for all our experiments is depicted in figure 2.
The end-to-end is validated and tested using 31 target and 12 impostor subjects with total of 43 subjects for the PulseID database. For the case of Troika, 15 target and 5 impostors accounting for a total of 20 subjects were used. The total number of enrolled subjects is 35 and 15, respectively. In the training phase, the waveform is homogeneously segmented in chunks of duration 1 second for each
---
\(^1\)The PulseID dataset is available upon request from the authors and agreement of EULA for research purposes.
**Table 1:** Summary stats for both databases, Troika and PulseID. The “duration” column stands for the average duration in seconds of the total acquired samples per subject
| Dataset | Subjects | Gender (m/f) | Duration |
|---------|----------|--------------|----------|
| PulseID | 43 | 31/12 | 240s. |
| Troika | 20 | 20/— | 317s. |
of the subjects. The table 2 reports on the partition set in terms of target and impostor trials for the case of excerpts lasting 1 second. Note that in a 60 bpm (beats per minute) Heart Rate there is one beat each second, there is no data-partition preprocess to ensure that a full peak is taken because every chunk contains a different signal, unless the subject Heart Rate is stable at 60bpm during all the acquisition. A combination of pairs (target,impostor) from the Train and Validation sets are used for network training and validation, performing parameter updating based on cross-entropy loss computed on the Validation set. The Develop set is used for final network testing and threshold selection but note that impostor trials are drawn from the same pool of identities than from previous sets. Finally, the Test set composed of unseen impostor subjects is employed for the fair assessment of the end-to-end proposed approach. Such data partitioning aims to prevent biasing and resembles a real use-case scenario in which cross-validated model is benchmarked against new enrolled users.
Note that the CNN-maxpooling feature learning architecture applies 1-dimensional convolutions and pooling operations performed along the time axis as previous works in [11]. Let’s assume the PPG signal input to the CNN is a vector, $x$, whose elements are raw PPG samples $x = [x_k, x_{k+1} \ldots x_{k+K}]$ where $x_k$ is the PPG sample shifted by a stride. In this work we used a value of 1 for time shifting and the $x_k$ sample with a fixed size from 1 second at 200 samples per second. The activations at the first convolutional layer comprise $N = 6$ filters and we denoted them as $\hat{h}_n = [h_1 \ h_2 \cdots h_N]$. Therefore, the convolutional layer operation can be seen as a convolutional operation of each filter on the input raw PPG,
$$\hat{h}_n = \theta \left( w_n x^T + b_n \right),$$
where $\theta(x)$ is the activation function corresponding to Rectified Linear Units (ReLU), $w$ is the weighting vector and $b_n$ the bias term for filter $\hat{h}_n$. Following the convolutional filters, max-pooling layers perform local temporal max operations over the input sequence, selecting the maximum in a window of $d$ size. More formally, the transformation at starting sample vector $n$, $c^n_k$, corresponding to the filter output sequence of the first convolutional layer and $j$th filter is:
$$\max_{k - \frac{(d-1)}{2} \leq s \leq k + \frac{(d-1)}{2}} c^n_s$$
The pooling operation compacts even more the original signal by computing some stats, commonly such as maximum, mean and variance, from the CNN output. For this work maximum pooling is used by selection of the maximum values from the CNN filter outputs. Next, a flattening operation is performed, see figure 2, that aims at stacking together all the CNNs outputs, creating a feature vector ready to be presented to the network classifier. In overall, the end-to-end architecture comprises a total of 4 layers. In the input, a convolutional layer with different amounts of filters and lengths (see figure 2) followed by a max pooling layer. At the back-end, a fully connected neural net composed of 2 layers with 256 units.
**Table 2:** Partition data for the different sets. Trials are expressed in seconds of signal and averaged per subject Since the trial size of the experiments showed is one second, the number of Target and Impostor data corresponds to number of trials or seconds
| Dataset | Label | Train | Validation | Develop | Test |
|---------|---------|-------|------------|---------|------|
| PulseID | Target | 135 | 45 | 30 | 30 |
| | Impostor| 5,220 | 1,740 | 1,890 | 2,880|
| | #Subjects| | 31 | | 12 |
| Troika | Target | 144 | 80 | 48 | 48 |
| | Impostor| 2,014 | 1,119 | 1,343 | 1,545|
| | #Subjects| | 15 | | 5 |
ReLu units are employed in all layers, including CNNs, except for the output layer of the dense network, where we used a sigmoidal unit. The dense layer is employed as a back-end for the modeling of the salient features computed by previous convolutional steps and a Sigmoid activation function is used in the output layer. It is worth to note that no dropout is used during network training.
The framework [17] has been developed in Keras [18] and using Tensorflow [19] as back-end. We do not perform an exhaustive search of network parameters and we restrict experiments by using few learned biomarkers. For instance, we compute 15 features before the dense layer for the reported 1s. experiments, see vector $f$ in fig. 2. The network is trained using Stochastic Gradient Descent (SGD) attending to binary cross-entropy as a loss function and accuracy as a metric, with mini batches of size 270 composed of 135 target trials and 135 impostor ones. Given a Train set of PPG excerpts from a subject, at each training mini batch, the impostor samples are randomly picked up from the available pool of impostor chunks. Thus, in each training iteration, new impostor data is seen as an intent to maximize variability, see table 2. An early stopping criteria is also defined in order to speed up the training, yielding in most of the cases to few tens of training mini batches before reaching patience steps. The figure 3 shows the ROC curves, per Validation and Develop sets in PulseID and averaged per subjects, solid line, and its standard deviation, shadowed area. For the sake of comparison, the same curves are depicted in figure 4(b) per each dataset and partition.
3. EXPERIMENTAL RESULTS AND DISCUSSION
Although an exhaustive search of the best network architectures or a fully tuning of parameters is not performed, we experiment with different window and filter sizes. For the reported figures, we select 1, 2, 3 second excerpts extracted from original raw PPG, homogeneously segmented and with no overlap for testing trials. The experiments are performed in PulseID data and best values, in terms of number of filters and size, are directly applied in Troika. Homogeneous segmentation of the input PPG likely degrades system performance due to few samples are taken into account for training, see table 2. However, it could be easily bypassed, e.g., by a randomly picking of excerpts thus increasing samples and segmentation variability in train and test. The figure 4(a) and table 3 report on the system performance for different trial sizes, ranging from 1 to 3 seconds. We can observe the generalization of validation results both in Develop and Test sets, showing high AUC values even for 1s. trial condition, AUC=0.78 and 0.83 per each dataset. Note the higher AUC degradation in Troika compared with the PPG data captured in the office condition and the AUC trend observed by increasing the ct time, not observed in Troika likely due to motion artifacts. In overall, the results support the suitability of the end-to-end architecture in both datasets, although as observed in ROC curves fig.3, some subject’s AUC present a not satisfactory behaviour suggesting more experimentation to understand possibles sources of such variability.
Another parameter to determine in authentication systems is the operating point or decision threshold. It controls the trade-off between usability, minimum FNMR, and security, minimum FMR. The fig. 5 reports on the Equal Error Rate (EER) 0.1 (a) and 0.174 (b) for a specific user in both datasets. Related to the algorithm complexity for trial decision, taking into account $L_i$ size of filters, pooling and dense layers operations, and 1s. trial lead to a number of MAC operations [20] around $26K$, that translates into roughly 20ms for a Raspberry in order to perform person authentication every second.
4. CONCLUSIONS
An end-to-end architecture based on CNN is proposed to offer biometric authentication using learned biomarker directly from PPG raw signals. We reported evaluation results of the performance of our approach in two different datasets, Troika and PulseID. Our end-to-end authentication approach and automatic learned biomarkers show a remarkable potential as authentication biometric method. Trial size dependent experiments, reported AUCs ranging [78.2%, 86.4%] and [73.8%, 83.2%], averaged among target subjects on PulseID and Troika datasets, respectively. Furthermore, the proposed system results in a low complexity that permits for continuous authentication in real-world scenarios.
Table 3: Average AUCs for all subjects within the same experiment: $N = 6$ filters for each filter sizes of $L_{1,2,3} = 50, 30, 20$. The ± variation corresponds to the AUC’s standard deviation
| Dataset | Trial size | Validation | Develop | Test |
|---------|------------|------------|---------|------|
| PulseID | 1s. | 0.80±0.16 | 0.77±0.19 | 0.78±0.20 |
| | 2s. | 0.81±0.16 | 0.76±0.22 | 0.84±0.19 |
| | 3s. | 0.84±0.15 | 0.78±0.20 | **0.86±0.17** |
| Troika | 1s. | 0.87±0.09 | 0.70±0.16 | **0.83±0.12** |
| | 2s. | 0.73±0.30 | 0.66±0.21 | 0.74±0.24 |
| | 3s. | 0.85±0.14 | 0.71±0.16 | 0.78±0.18 |
5. REFERENCES
[1] A. V. Challoner and C. A. Ramsay, “A photoelectric plethysmograph for the measurement of cutaneous blood flow,” *Phys Med Biol.*, vol. 19(3), pp. 317–28, 1974 May.
[2] Y. Y. Gu, Y. Zhang, and Y. T. Zhang, “A novel biometric approach in human verification by photoplethysmographic signals,” in *4th International IEEE EMBS Special Topic Conference on Information Technology Applications in Biomedicine*, 2003., April 2003, pp. 13–14.
[3] P. Spachos, J. Gao, and D. Hatzinakos, “Feasibility study of photoplethysmographic signals for biometric identification,” in *2011 17th International Conference on Digital Signal Processing (DSP)*, July 2011, pp. 1–5.
[4] A. R. Kavsaoglu, K. Polat, and M. R. Bozkurt, “A novel feature ranking algorithm for biometric recognition with ppg signals,” *Computers in Biology and Medicine*, vol. 49, no. Supplement C, pp. 1 – 14, 2014.
[5] S. A. Israel et al., “Ecg to identify individuals,” *Pattern Recognition*, vol. 38, no. 1, pp. 133 – 142, 2005.
[6] H. P. da Silva, A. Fred, A. Lourenço, and A. K. Jain, “Finger ecg signal for user authentication: Usability and performance,” in *2013 IEEE Sixth International Conference on Biometrics: Theory, Applications and Systems (BTAS)*, Sept 2013, pp. 1–8.
[7] Elif Derya Übeyli, Dean Cvetkovic, and Irena Cosic, “Analysis of human ppg, ecg and eeg signals by eigenvector methods,” *Digital Signal Processing*, vol. 20, no. 3, pp. 956 – 963, 2010.
[8] T. Choudhary and M. S. Manikandan, “Robust photoplethysmographic (ppg) based biometric authentication for wireless body area networks and m-health applications,” in *2016 Twenty Second National Conference on Communication (NCC)*, March 2016, pp. 1–6.
[9] V. Jindal, J. Birjandtalab, M. B. Pouyan, and M. Nourani, “An adaptive deep learning approach for ppg-based identification,” in *2016 38th Annual International Conference of the IEEE Engineering in Medicine and Biology Society (EMBC)*, Aug 2016, pp. 6401–6404.
[10] Q. V. Le, “Building high-level features using large scale unsupervised learning,” in *Acoustics, Speech and Signal Processing (ICASSP), 2013 IEEE International Conference on*, May 2013, pp. 8595–8598.
[11] C. Segura et al., “Automatic speech feature learning for continuous prediction of customer satisfaction in contact center phone calls,” in *Advances in Speech and Language Technologies for Iberian Languages*. Cham, 2016, pp. 255–265, Springer International Publishing.
[12] Y. Gong and C. Poellabauer, “How do deep convolutional neural networks learn from raw audio waveforms?,” 2018.
[13] Z. Zhang, Z. Pi, and B. Liu, “Troika: A general framework for heart rate monitoring using wrist-type photoplethysmographic signals during intensive physical exercise,” *IEEE Transactions on Biomedical Engineering*, vol. 62, no. 2, pp. 522–531, Feb 2015.
[14] J. Murphy and Y. Gitman, “PulseSensor Open Hardware,” http://pulsesensor.com/, 2017, [Online; accessed 19-October-2017].
[15] Y. LeCun and Y. Bengio, “Convolutional networks for images, speech, and time series,” *The handbook of brain theory and neural networks*, vol. 3361, no. 10, 1995.
[16] A. Krizhevsky, I. Sutskever, and G. E. Hinton, “Imagenet classification with deep convolutional neural networks,” in *Advances in neural information processing systems*, 2012, pp. 1097–1105.
[17] G. Cortès, J. Luque, J. Fabregat, and J. Esteban, “PulseID Keras code for development and testing purposes,” https://email@example.com/guillemcortes/pulseid-eusipco, 2018.
[18] F. Chollet et al., “Keras,” https://github.com/fchollet/keras, 2015.
[19] M. Abadi et al., “TensorFlow: Large-scale machine learning on heterogeneous systems,” 2015, Software available from tensorflow.org.
[20] V. Sze, Y. Chen, T. Yang, and J. S. Emer, “Efficient processing of deep neural networks: A tutorial and survey,” *Proceedings of the IEEE*, vol. 105, no. 12, pp. 2295–2329, 2017. |
I. Mr. Winkler called the remote meeting to order at 6:30 p.m.
II. Present at the meeting: Ms. Ballard, Ms. Gray, Ms. Hess, Mr. Roberts, Ms. Roster, and Mr. Winkler
Members Absent: Mr. Ambrose
Staff Present: Don Millard, Code Enforcement Administrator, Gerry McDonald, Law Director, and Geri Hoskins, Administrative Assistant
III. Approval of the Agenda
Mr. Roberts moved to approve the Agenda, seconded by Ms. Hess.
IV. Swearing of Witnesses
Mr. Winkler administered the sworn oath to all persons wishing to speak or give testimony regarding items on the agenda. All person’s present responded in the affirmative.
V. Pending Business
None.
VI. New Business
A. PMRB Case 21-26
Determination of Violation and Existence of Nuisance
6475 Rip Rap Road, Huber Heights, Ohio
Parcel No: P70-00202-1185, 1186, 0728 and 0729
Violation #20211849
Determination of Abatement if Nuisance Exists
6475 Rip Rap Road, Huber Heights, Ohio
Parcel No: P70-00202-1185, 1186, 0728 and 0729
Violation #20211849
Mr. Millard stated that on or about October 1, 2019, the City investigated a complaint regarding this property. The complaint indicated trespassers were occupying the vacant structure. Upon investigation by the Chief of Police and Code Enforcement it was discovered a fire had occurred and the house was indeed open and an attractive nuisance.
On October 15, 2019, I had a phone conversation with Rebecca Hyden in which she stated she does not nor ever has owned this property. Review of the Montgomery County Auditors records listed and still lists Ms. Hyden as the owner.
The City has been mowing the grass several times per season due to non-compliance and lack of communication from the owner. Letters sent to the owner have not been returned by the post office therefore we are assuming the owner is aware of all issues.
As of this meeting the house remains in the same condition and is having a blighting influence on neighboring properties. Also, due to its location it is visible to passersby on Rip Rap Rd.
Section 1313.04 (h) states: In all properties and structures, the following standards shall be met:(1) General. The exterior of a structure shall be maintained in good repair, structurally sound and sanitary so as not to pose a threat to the public health, safety, or welfare. The owner shall keep the exterior of all premises and every structure thereon, in good repair. All surfaces thereof shall be kept painted or protected by other approved coating or material where necessary for the preservation of the property and avoiding of blighting or influence of adjoining properties. All exterior surfaces shall be maintained free of graffiti, broken glass, loose shingles, crumbling stone or brick, peeling paint or other conditions reflective of deterioration or inadequate maintenance, to the end that the property itself may be preserved safely, fire hazards eliminated, and adjoining properties and neighborhoods protected from blighting influence."
The property meets none of the required standards and is therefore in violation of the Code.
Property taxes ceased being paid in 2007 so the City may incur charges associated with demolition and removal of the structure if the owner fails to pay their City invoice.
Staff Recommendation:
1 - The Board declare the property a nuisance and not habitable.
2 - The Board order staff to have the structure demolished and the lot filled and graded as needed.
Gerry McDonald said we are asking you to authorize somebody’s house to be torn down. The government is going to go on to someone else’s property and tear down their house. We have to make sure we went through all the correct steps. We have to show, and we did, that we did everything correct. Is there anyone in the audience who wishes to speak? Read the definition of nuisance. The fire chief declared it as well. We did a preliminary title search, no change since.
Motion made by Ms. Gray to declare the property a nuisance. Seconded by Ms. Hess. Roll call showed: YEAS: Ms. Ballard, Ms. Gray, Ms. Hess, Ms. Roster, Mr. Roberts, and Mr. Winkler. NAYS: None. Motion to determine the violation and existence of a nuisance carries 6-0.
Motion made by Ms. Ballard to abate the property. Seconded by Ms. Roster. Roll call showed: YEAS: Ms. Ballard, Ms. Gray, Ms. Hess, Ms. Roster, and Mr. Winkler. ABSTAINED: Mr. Roberts NAYS: None. Motion to determine abatement carries 5-0.
Mr. McDonald asked if we assess the property owner for this which decision would come from Council, would it be this board’s recommendation that the property be assessed?
Motion made by Ms. Gray to assess the property. Seconded by Ms. Hess. Roll call showed: YEAS: Ms. Ballard, Ms. Gray, Ms. Hess, Ms. Roster, Mr. Roberts, and Mr. Winkler. NAYS: None. Motion to access the property carries 6-0.
B. PMRB Case 21-20 The property owner, 4465 Procuniar, LLC, is in violation of Section 1313 of The Property Maintenance Code at property located at 4465 Procuniar Drive (21-20)
Mr. Millard stated that the property is compliant.
Motion made by Mr. Roberts to dismiss the case. Seconded by Ms. Ballard. Roll call showed: YEAS: Ms. Ballard, Ms. Gray, Ms. Hess, Ms. Roster, Mr. Roberts, and Mr. Winkler. NAYS: None. Motion to abate carries 6-0.
C. PMRB Case 21-21 The property owner, Lee Alan Colville, is in violation of Section 521.07 of The Property Maintenance Code at property located at 4988 Fishburg Road. (21-21)
Mr. Millard stated that the property is compliant.
Motion made by Ms. Gray to dismiss the case. Seconded by Mr. Roberts. Roll call showed: YEAS: Ms. Ballard, Ms. Gray, Ms. Hess, Ms. Roster, Mr. Roberts, and Mr. Winkler. NAYS: None. Motion to dismiss carries 6-0.
D. PMRB Case 21-22 The property owner, Timothy Mason, is in violation of Section 521.07 of The Property Maintenance Code at property located at 4690 Longfellow Road. (21-22)
Mr. Millard stated that the property has a large bush that overhangs the sidewalk and needs to be trimmed. Section 521.07(A) states: "(a) No person in possession or control of any real property shall allow any plant or tree on such property to overhang any public sidewalk by less than eight feet in height. (b) Whoever violates this section is guilty of maintaining obnoxious plants, a minor misdemeanor."
Inspection verifies the property does not meet the standard set forth in the Code, therefore the property is in violation.
City Zoning letters have not been returned yet the property remains in violation. The property owner has not communicated with the Code Enforcement Officer. The tax record shows all taxes are current and have historically been paid. I believe it is reasonable to assume that any work this board orders will be paid by the property owner or through the assessment process.
**Staff Recommendation:**
1 - The Board declare the property a nuisance.
2 - The Board order staff to have the City contractor trim the bush as required by code.
**Motion** made by Mr. Roberts to declare the property a nuisance and proceed with abatement. Seconded by Ms. Hess.
Roll call showed: YEAS: Ms. Ballard, Ms. Gray, Ms. Hess, Ms. Roster, Mr. Roberts, and Mr. Winkler. NAYS: None. Motion to abate carries 6-0.
E. PMRB Case 21-23 The property owner, Blaine Clark Jr., is in violation of Section 1313 of The Property Maintenance Code at property located at 5479 Naughton Drive. (21-23)
Mr. Millard stated that there is significant overgrowth and discarded items throughout the property as photos illustrate. This is a nuisance property which is vacant and under maintained. Section 1313.04(h)(4) of The City code stipulates: "All land shall be properly maintained with lawns, hedges, bushes, trees, and other vegetation to be trimmed and kept from becoming overgrown and unsightly where exposed to public view or such vegetation may constitute a blighting influence on adjoining property."
Section 1313.04 (h)(6) stipulates: "A. Any items used or stored outside of an enclosed building or structure shall be limited to items manufactured for, intended for, or customarily used in an outdoor environment. No items manufactured for, intended for, or customarily stored or used indoors may be placed or stored outside."
B. All permissible items stored outside must be in good condition and usable as intended by the manufacturer. No such items that are broken, dilapidated, or discarded shall be stored outside."
Inspection verifies the property does not meet the standard set forth in the Code, therefore the property is in violation. All violation letters have been returned as undeliverable by the post office.
The property tax record indicates no property tax payments since February 2019. I believe it is safe to assume the City will incur all costs for an abatement, but that cost lies well within our budget for abatements. As usual, an invoice will be mailed by the finance department and if not paid a property tax assessment will be submitted to the Auditor's office.
**Staff Recommendation:**
1 - The Board declare the property a nuisance.
2 - The Board order staff to have the City contractor abate the property.
**Motion** made by Ms. Hess to declare the property a nuisance and proceed with abatement. Seconded by Ms. Ballard.
Roll call showed: YEAS: Ms. Ballard, Ms. Gray, Ms. Hess, Ms. Roster, Mr. Roberts, and Mr. Winkler. NAYS: None. Motion to abate carries 6-0.
F. **PMRB Case 21-24** The property owner, Mark Bishnow, is in violation of Section 1313 of The Property Maintenance Code at property located at 5519 Toni Court. (21-24)
Mr. Millard stated that the property is compliant.
**Motion** made by Mr. Roberts to dismiss the case. Seconded by Ms. Gray.
Roll call showed: YEAS: Ms. Ballard, Ms. Gray, Ms. Hess, Ms. Roster, Mr. Roberts, and Mr. Winkler. NAYS: None. Motion to dismiss carries 6-0.
G. **PMRB Case 21-25** The property owner, Realty Income Properties 29, is in violation of Section 1313 of The Property Maintenance Code at property located at 5958 Old Troy Pike. (21-25)
Mr. Millard stated that the property is compliant.
**Motion** made by Ms. Gray to dismiss the case. Seconded by Ms. Hess.
Roll call showed: YEAS: Ms. Ballard, Ms. Gray, Ms. Hess, Ms. Roster, Mr. Roberts, and Mr. Winkler. NAYS: None. Motion to dismiss carries 6-0.
VII. **Additional Business**
None
VIII. Approval of Minutes
Without objection, the minutes of the July 22, 2021, and August 26, 2021, PMRB meeting are approved.
IX. Upcoming Meetings
October 28, 2021
November 10, 2021
X. Adjournment
There being no further business to come before the Board, the meeting was adjourned at approximately 7:15 p.m.
Richard Winkler, Chair
Geri Hoskins, Administrative Assistant
Date
3/24/22
Date
2-8-22 |
Notes CoPEC Meeting
February 12, 2015
Lentz Public Health Center
11:00 AM/CST – 3:00 PM/CST
Present:
Non-voting: Sue Cadwell, Paula Denslow, Amber Greeno, Sheri Smith, Purnima Unni, Ben Welch
Voting: Kara Adams, Angie Bowen, Kevin Brinkmann, Michael Carr, Sandra Castro Walls, Christy Cooper, Kate Copeland, Crile Crisler, Beckye Dalton, Yvette DeVaughn, Joel Dishroon, Scott Giles, Deena Kail, Shannon Lankford, Marisa Moyers, Missy Nelson, Anissa Revels, Trisha Ross, Gigi Taylor, Rita Westbrook, Regan Williams, Brandi Willis
State Liaisons: Rose Boyd, Kyonzte Hughes-Toombs, Terrence Love, Ann Reed, Robert Seesholtz
Guests: Ashton Anderson, Karen Good, Sherry Cox, Susan Veale
Absent:
Non-voting: Veronica Elders, Kenneth Holbert, Brittainy Jones, Rudy Kink, Randall Kirby, Laurie Lawrence, Bob Roth
Voting: Tammie Alexander, Lee Blair, Lisa Carter, Chris Clarke, Eric Clauss, Tamarrah Davis, Cristina Estrada, Joann Ettien, Neil Feld, Barry Gilmore, Marvinn Hall, Lis Henley, Tim Lankford, Lisa Nistler, Maureen O’Connor, Leslie Phelps, Chris Siano, Charla Sparks, Alan Wallstedt
State Liaisons: Joe Holley, Robert Newsad, Donna Tidwell, Brandon Ward
(f) A collaborative environment with the Emergency Medical Services and Emergency Medical Services for Children systems to educate pre-hospital personnel, nurses and physicians.
(g) Participation in data collection to assure that the quality indicators established by the regional resource center are monitored, and make data available to the regional resource center or a central data monitoring agency.
(h) Linkage with pre-hospital care and transport.
(i) Public education regarding access to pediatric emergency care, injury prevention, first aid and cardiopulmonary resuscitation.
(j) Incorporation into the hospital existing quality assessment and improvement program, a review of the following pediatric issues and indicators:
1. deaths;
2. incident reports;
- Sue spoke on the importance of QI, we shouldn’t do it because we want to, we must do it per our rules and regulations (see PPT slide above)
- Rhonda gave a recap on the TCAC presentation, Marisa reported out regarding the meeting as well
- TCAC was surprised by our soft funding
- Need more QI measures, can present again on 8/1/2015
- CRPCs are not on a level playing field right now, it’s not an apples to apples comparison and that’s problematic
• Organizational Identity and Context
o SWOT Analysis
o Environmental Scan
o Organizational Analysis
▪ In-depth look at org, where it’s been and where we are going
▪ Can’t keep doing what we’ve been doing and expect new results
Issues related to our environment
Six Topics for group discussion
1) **Industry and market**
• Short range and long range goals
• Bridging the gaps, aligning with other organizations
• Engaging additional stakeholders such as representatives from rural hospitals
o Barriers
▪ Not unified in goals across CoPEC
▪ Funding is limited
▪ Lack of standard metrics
▪ Outcomes HAVE to be data driven
▪ Establishing our value may mean establishing our values with asymmetric partners
**Industry/Market – Group 1**
• CoPEC’s Competitors and Roles
o Each group is applying for the same grants
o Adult EMS groups
o Economic competition
o Adult medicine
o Partnerships, relationships and alliances are needed
o Relationships are competitive
▪ St. Jude
• Trends in Peds Care
o Underserved, underfinanced, access
Goals:
• Align mutual goals
• Decrease costs for insurance
• Decrease costs for prescriptions
• Improve outcomes for patients
**Industry/Market – Group 2**
• Managed care or provision and healthcare advocacy
• Goals
o Align back to strategic goals of our collaborating partners (national partners)
o Focus based outcomes
o Systematic
o Collaboration that involves more commitment, time, and transparency
o Collect specific and useful data for reporting (standards)
o Use of technology
2) Regulatory environment
Regulatory – Group 1
- Changes
- Implementation of the ACA
- Loss of federal funds linked to the ACA
- Critical access hospitals can’t keep up with the new federal regulations because of the loss of federal funds – can’t afford to keep up
- Opportunities
- CoPEC can recommend regulatory changes to the State Board
- Barriers
- Uncertainty of ACA – regulatory scheme could completely change again
Regulatory – Group 2
- Managed care give directions or standards
- Opportunities
- Bridging the gaps
- ID new patterns – TeamHealth, Hospital Corporations
- Align with mutual goals (ex: technology – meaningful use [EHR])
- New funding sources
- Expansion of membership
- Addition of expertise
- Time
- Unified to achieve “group” goals
- Barriers
- Funding, future of smaller hospitals
- Unified in goals
3) Economic environment
- Lack of funding
- Budgetary issues within the state
- EMSC funding from HRSA grant, PEM conference, PEM fundraiser, Star of Life
- ACA, lack of Medicaid expansion and InsureTN
- Injury prevention focus
- Dependent on grants – federal
- Amazing in-kind donations/participation by the state’s CRPCs
- Low number of personal financial commitment by EMSC members
- Healthy initiatives cost more
- Hospital closures impact access in the community
- Barriers
- Data
- Transparency
Economies – Group 1
- Current state
- Lack of funding
- Budgetary issues within the state
- Grant, conference, star of life, fundraiser
• ACA – lack of Medicaid expansion or Insure TN
• Injury prevention focus
• Dependent on grants – federal
• Amazing in-kind donations/participation by the CRPCs
• Low number of personal financial commitment by EMSC members
• Steps to Take
• All hospitals to donate a set amount to CRPCs
• Obtain data to use for grant requests
• Highlight accomplishments/What CRPCs and EMSC are doing to justify increasing funds
• Increase private donations through increased marketing
• EMA money, apply through other avenues as well
• Data again
• Barriers
• Infrastructure
• Data
• Transparency – open sharing among hospitals – manpower needed to run data
• Identify the big ask
Economic – Group 2
• Current state
• Pediatric hospitals receiving a small amount of funds ---competition
• Other hospitals closing – less access
• Healthy things cost more
• Steps to take
• Hospital collaboration/info sharing/transparency
• Public health v. private health
• Better understanding of where money comes from and is spent
• Legislative champion
• Barriers
• Competition
• Lack of trust
4) Social environment
• Prevalence of social media everywhere
• Mistrust between patients and the medical community
• More telemedicine in rural communities
• A lot of demographic differences across the state
• Population is increasing, urban flight, unemployment is up and different social and cultural norms
• Increase in teen pregnancy
• More children on food stamps
• Need more prevention and education (18% of our population is living in poverty across Tennessee)
Social – Group 1
• Changing demographics
• Everyone has a smartphone
Larger population
- Rural areas aren’t as rural anymore
Every child in TN has insurance, but still use ER as a primary source of care
- Social conditions/shifts
- Increased use of technology
- Social media, internet use
- Misinformation spreads quickly, EMSC could provide reliability tools
- Mistrust of the medical profession
- There is a need to regain trust
- Public needs to be educated
- Increase in telehealth could be useful
- Practitioners could have better bedside manner
Social – Group 2
- Demographic realities
- Age, race, rising populations and shifting into subdivisions, increasing unemployment
- Differing social and cultural norms among different populations
- Increase in teen mothers (one of the highest in the nation)
- An increase gap in the disparity levels of socioeconomic status
- Social changes need to adapt to raise quality of service and reduce need for services
- Prevention and education
- Reduce the poverty level
- Anti-vaccination movement, needs education
- Decrease substance abuse, e.g. NAS babies
- Increase use of proper car restraints – grandparent raising kids
- Safe sleep education
- Decrease non-accidental trauma via education (SIDS)
5) Political environment
- 60,000 w/o insurance
- Lack of Medicaid expansion
- No secondary insurance
- Diminished hospital reimbursement
- Assets
- Existence of CoPEC, their longevity and their accomplishments
- Lacking political Savvy
- Need targeted and specific data
- We need to educate the politicians who are making the decisions that impact the work we are doing
Political – Group 1:
• Current
o 60,000 kids without insurance
o No Medicaid expansion, no secondary insurance
o Decrease in hospital reimbursement (children’s get a little)
• Projection
o 2 years max
• Rethink
o Funding streams
• Assets
o Multidisciplinary
o “It’s for the children”
o Strong family advocates
o Our existence
o **lacking political savvy, clinical is hard to explain
• To Be Done:
o Targeted and specific data to give those with money
o Communication
o Bond with legislators
Political – Group 2:
• Current climate
o Failure of InsureTN
o Debate over ACA
• Future Stability
o Status quo for at least two years (next election)
• Forces
o Debate over ACA
o Competing opinions among stakeholders
• Assets
o Link to state board
o Existing collaboration amongst hospitals
o Pretty good representation at the legislature
• Work to be done
o Maintain hospital collaboration
o Stay aware of issues arising in the legislature (state and federal)
o Use advisory position to Board to get helpful regulations approved
6) Technological environment
• Advances and how it impacts patient care – EMS run sheets
• EMR systems that don’t speak to other systems
• Telemedicine
• Technologies that are under-utilized
• Have not fully tapped into the resources we have
o Social media
o Online education
• Under-utilization of Red Cap data mining on the front end
Technology – Group 1
• Available technological advances
o Standardized EMR systems that will upload to hospital system (EMS run sheets)
o Telemedicine
o Medical history of medically fragile children
o EMR systems that do not speak to other systems
• Current technology impeding service delivery
o EMR not specific to pediatrics
o Data collection and management is not standardized
o National quality initiatives from Red Cap
• Current state of CoPEC/EMSC sensitivity to employ and ID technology
o Sensitive to it but economic limits
Technology – Group 2
• Not yet utilized
o Telemedicine
o Standardized dosing app
o Hi-tech simulators
o Red Cap not fully utilized (mine data at the source)
• Impeding
o Too much noise
o Not getting to the public
o Consistent use of data
o Standardized software (EMS run sheets)/EMITS
• CoPEC Tech
o Social media
o Online education
o Sensitive to technology but many intimidated by it
o No mechanism as a body to locate and evaluate it
• Asymmetric Partnerships
o Need these partnerships (with groups that are unlike us), CoPEC is currently symmetric (like minded)
• Competition
o Increased external pressure and competition has led to an increase in internal competition
In the middle of creating the new normal now
Systemic strategic change
- Effort of collaboration that CoPEC has never engaged in
**Legislative Update – Ann Carr**
- “Regular Session” just started on Monday
- Last week was special session, InsureTN was rejected at the first vote
- Bill filing deadline is today at 4 PM
- Helmet bill repeal (caption bill) – exempts drivers and passengers over 18 from wearing a helmet in a funeral procession, etc. Specific and narrow, will probably be amended
- HB395 – Tillman Goins
- SB469 – Mike Bell
- Motor Vehicles - As introduced, exempts driver or passenger who is 18 years of age or older from wearing a helmet while riding a motorcycle in a funeral procession, memorial ride, or body escort detail. - Amends TCA Section 55-9-302.
- HB179/SB177 – Safety belts law (failed the last 2 years)
- Motor Vehicles - As introduced, increases the fines for failure to use safety belts; designates a portion of the revenue from the fines to the division of vocational rehabilitation and a portion to the state general fund. - Amends TCA Section 55-9-603.
- Bills filed with prescription drug focus, opiates, clamping down
- This year is hard to gauge and predict because there has been so much turnover at the legislature
- 19 new House members
- Not as much institutional knowledge and memory at the House and Senate right now, data does tell a compelling story for legislators and their staffs
- Session lasts until Mid-April
- Likelihood InsureTN will appear again? – Low likelihood
- Bill introduced that seems to say that even if the federal lawsuit does not prevail, the state will take people off the program anyways
- Repealing intractable pain act?
- HB31 - Physicians and Surgeons - As introduced, deletes the Intractable Pain Act. - Amends TCA Title 39; Title 53; Title 63 and Title 68.
- State legislature website has been updated to be more user-friendly
- [http://www.capitol.tn.gov/](http://www.capitol.tn.gov/)
- McNally (chairs the finance committee), Watson, Overby need to be talked to in specific |
Image and Reciprocal Image of a Measure. Compatibility Theorem.
Albert Tarantola*
November 4, 2008
Abstract
It is proposed that to the usual probability theory, three definitions and a new theorem are added, the resulting theory allows one to displace the central role usually given to the notion of conditional probability. When a mapping $\varphi$ is defined between two measurable spaces, to each measure $\mu$ introduced on the first space, there corresponds an image $\varphi[\mu]$ on the second space, and, reciprocally, to each measure $\nu$ defined on the second space the corresponds a reciprocal image $\varphi^{-1}[\nu]$ on the first space. As the intersection $\cap$ of two measures is easy to introduce, a relation like $\varphi[\mu \cap \varphi^{-1}[\nu]] = \varphi[\mu] \cap \nu$ makes sense. It is, indeed, a theorem of the theory. This theorem gives mathematical consistency to inferences drawn from physical measurements.
*Institut de Physique du Globe de Paris, 4 place Jussieu, 75005 Paris, France. E-mail: email@example.com
## Contents
1 Preliminary ........................................ 3
2 Definitions and properties .......................... 3
2.1 Intersection of measures ....................... 3
2.2 Reciprocal image of a measure ................. 4
2.3 Image of a measure ............................ 5
2.4 Compatibility property ......................... 6
3 Measures and sets ................................... 6
3.1 Measure-sets ................................... 6
3.2 Measures versus sets: intersection ............. 7
3.3 Intersection of measures and conditional probability 7
3.4 Measures versus sets: reciprocal images ....... 8
3.5 Measures versus sets: images .................. 9
3.6 Measures versus sets: compatibility property .. 9
4 Applications ........................................ 9
4.1 Intersection of probability measures .......... 9
4.2 Mapping between discrete sets .................. 10
4.3 Propagation of uncertainties in physical measurements 11
4.4 Interpretation of observations (1: using sets) ... 13
4.5 Interpretation of observations (2: using measures) 15
5 References .......................................... 18
6 Acknowledgements .................................... 18
1 Preliminary
Assume given a measurable space\(^1\) \((\Omega, \mathcal{F})\), and a measure\(^2\) \(\mu\) on \((\Omega, \mathcal{F})\) that is \(\sigma\)-finite\(^3\). Then, \((\Omega, \mathcal{F}, \mu)\) is called a \(\sigma\)-finite measure space. Let \(\nu\) be a second measure on \((\Omega, \mathcal{F})\). The following assertions —a symmetric version of the Radon-Nikodym theorem— are equivalent (Schilling, 2006).
- The measure \(\nu\) is absolutely continuous\(^4\) with respect to \(\mu\).
- There is a \(\mu\)-almost everywhere unique function from \(\Omega\) into \([0, \infty)\), denoted \(d\nu/d\mu\), such that
\[
\nu[F] = \int_F \frac{d\nu}{d\mu} \ d\mu \quad \text{for every } F \in \mathcal{F}.
\] (1)
The function \(d\nu/d\mu\) is called the Radon-Nikodym density associated with \(\nu\) by \(\mu\), or the Radon-Nikodym derivative of \(\nu\) with respect to \(\mu\).
If a \(\sigma\)-finite measure \(\mu\) is such that \(\mu[\Omega] = 1\), one says that \(\mu\) is a probability measure, and the measure \(\mu[F]\) of some set \(F \in \mathcal{F}\) is then called the probability of the set\(^5\) \(F\).
2 Definitions and properties
2.1 Intersection of measures
Given a \(\sigma\)-finite measure space \((\Omega, \mathcal{F}, \mu)\), consider two \(\sigma\)-finite measures \(\nu_1\) and \(\nu_2\), at least one of them —say \(\nu_1\)— being absolutely continuous with respect to the base measure \(\mu\).
---
\(^1\)As usual, here \(\Omega\) denotes a set and \(\mathcal{F}\) is a collection of subsets of \(\Omega\) that is a \(\sigma\)-field (i.e., \(\mathcal{F}\) is nonempty and it is closed under complementation and countable unions of its members).
\(^2\)A (positive) measure (measures are implicitly assumed to be positive) is a function \(\mu : \mathcal{F} \mapsto [0, \infty]\) satisfying two properties: (i) the measure of the empty set is zero, and (ii) the measure of the union of a countable sequence of pairwise disjoint sets in \(\mathcal{F}\) equals the sum of the measures of each set.
\(^3\)A (positive) measure \(\mu\) defined on a \(\sigma\)-algebra \(\mathcal{F}\) of subsets of a set \(\Omega\) is called \(\sigma\)-finite if \(\Omega\) is the countable union of measurable sets of finite \(\mu\)-measure. A set in a measure space has \(\sigma\)-finite measure if it is a countable union of sets with finite measure. A measure \(\mu\) is called finite if \(\mu[\Omega]\) is a finite real number (rather than infinite). A \(\sigma\)-finite measure may not be finite (the Lebesgue measure on the real line is \(\sigma\)-finite, but not finite). An example of a measure on the real line that is not \(\sigma\)-finite is the counting measure (the counting measure of a set of real numbers is the number of elements in the set): every set with finite measure contains only finitely many real numbers, and it would take uncountably many such sets to cover the entire real line. The Radon-Nikodym theorem does not apply to the counting measure and no density can be associated to it. It is to avoid such “pathological” measures that the \(\sigma\)-finite hypothesis is imposed.
\(^4\)The measure \(\nu\) is said to be absolutely continuous with respect to the measure \(\mu\) if \(\mu[F] = 0 \Rightarrow \nu[F] = 0\). One writes \(\nu \ll \mu\).
\(^5\)When dealing with probability measures only, sets are often called events.
**Definition:** Given some finite constant $n$, the intersection of the two measures $\nu_1$ and $\nu_2$, is the measure denoted $\nu_1 \cap \nu_2$ and defined as
$$\langle \nu_1 \cap \nu_2 \rangle[F] = \frac{1}{n} \int_F \frac{d\nu_1}{d\mu} \ d\nu_2 \quad \text{for every } F \in \mathcal{F}. \quad (2)$$
It is obvious that this defines a measure and that —by virtue of the Radon-Nikodym theorem— it is absolutely continuous w.r.t. $\nu_2$. The operation $\cap$ depends on the base measure $\mu$, so, when necessary, a more explicit notation, like $\cap_\mu$, can be used.
Remark: When dealing with arbitrary measures, one may well take $n = 1$, while when dealing with probability measures, it may be more convenient to take $n = \int_\Omega [d\nu_1/d\mu] \ d\nu_2$ as, then, $(\nu_1 \cap \nu_2)[\Omega] = 1$, this implying that the intersection of two probability measures is a probability measure (but, then, the intersection would only be defined if $0 < n < \infty$).
Should the measure $\nu_2$ also be absolutely continuous with respect to $\mu$, equation (2) could be written $(\nu_1 \cap \nu_2)[F] = \frac{1}{n} \int_F \frac{d\nu_1}{d\mu} \cdot \frac{d\nu_2}{d\mu} \ d\mu$, the measure $\nu_1 \cap \nu_2$ would also be absolutely continuous with respect to $\mu$, and its Radon-Nikodym density would be
$$\frac{d(\nu_1 \cap \nu_2)}{d\mu} = \frac{1}{n} \frac{d\nu_1}{d\mu} \cdot \frac{d\nu_2}{d\mu}. \quad (3)$$
Comment: The term *intersection* is justified in section 3.2, when the intersection of (measurable) sets is found as a special instance of the intersection of measures. Another special instance of the intersection of (probability) measures corresponds to the notion of conditional probability (see section 3.3).
### 2.2 Reciprocal image of a measure
Let $(X, \mathcal{E})$ and $(Y, \mathcal{F})$ be two measurable spaces, and $\varphi : X \mapsto Y$ a measurable\footnote{The mapping $\varphi$ is measurable, if the reciprocal image of every set in $\mathcal{F}$ is in $\mathcal{E}$. Non measurable mappings are generally considered pathological.} mapping. Two measures $\mu$ and $\nu$ are introduced (to be considered as base measures) such that $(X, \mathcal{E}, \mu)$ and $(Y, \mathcal{F}, \nu)$ are $\sigma$-finite measure spaces.
**Definition:** Given some finite constant $n$, to every measure $\tau$ on $(Y, \mathcal{F})$ that is absolutely continuous with respect to $\nu$, is associated a measure on $(X, \mathcal{E})$, called the reciprocal image of $\tau$, denoted $\varphi^{-1}[\tau]$, and defined via
$$\frac{d(\varphi^{-1}[\tau])}{d\mu} = \frac{1}{n} \left( \frac{d\tau}{d\nu} \circ \varphi \right). \quad (4)$$
Then, for every $E \in \varphi^{-1}[\mathcal{F}] \subseteq \mathcal{E}$, one has\footnote{As $\varphi$ is a measurable mapping, and the function $d\tau/d\nu$ is measurable (with respect to $\mathcal{F}$), the function $(d\tau/d\nu) \circ \varphi$ is measurable (with respect to $\varphi^{-1}[\mathcal{F}] \subseteq \mathcal{E}$). (See, e.g., Halmos, 1950).}
$(\varphi^{-1}[\tau])[E] = \frac{1}{n} \int_E \frac{d\tau}{d\nu}(\varphi(x)) \ d\nu(x)$, and the Radon-Nikodym theorem ensures that $\varphi^{-1}[\tau]$ is, indeed, a measure. As this reciprocal image depends on the two base measures, the more explicit notation $\varphi^{-1}[\tau; \mu, \nu]$ can be used.
Remark: When dealing with arbitrary measures, one may well take \( n = 1 \), while when dealing with probability measures, it may be more convenient to take \( n = \int_X \frac{d\tau}{d\mu} \circ \varphi \ d\mu \), as, then, \( (\varphi^{-1}[\tau])[X] = 1 \), this implying that the reciprocal image of a probability measure is a probability measure (but, then, the reciprocal image would only be defined if \( 0 < n < \infty \)).
### 2.3 Image of a measure
Let \((X, \mathcal{E})\) and \((Y, \mathcal{F})\) be two measurable spaces, and \( \varphi : X \mapsto Y \) a measurable mapping.
**Definition:** To every measure \( \pi \) on \((X, \mathcal{E})\), is associated a measure\(^8\) on \((Y, \mathcal{F})\), denoted \( \varphi[\pi] \), called the image measure:
\[
\varphi[\pi] = \pi \circ \varphi^{-1},
\]
i.e., explicitly, \( (\varphi[\pi])[F] = \pi[\varphi^{-1}[F]] \) for every \( F \in \mathcal{F} \).
The measure \( \varphi[\pi] \) needs not be\(^9\) absolutely continuous with respect to some base measure, so \( \varphi[\pi] \) may not be representable by a bona-fide density\(^10\). This does not cause any complication in the applications we have in mind.
We shall later need the following property (Halmos, 1950, page 163): for any measurable function \( K \) and any set \( F \in \mathcal{F} \),
\[
\int_F K \ d(\pi \circ \varphi^{-1}) = \int_{\varphi^{-1}[F]} K \circ \varphi \ d\pi,
\]
i.e., \( \int_F K(y) \ d(\varphi[\pi])(y) = \int_{\varphi^{-1}[F]} K(\varphi(x)) \ dx(x) \).
**Comment:** To have an intuitive idea of the notion “image of a measure”, consider a collection of elements \( x_1, x_2, x_3, \ldots \) of \( X \) that are independent sample elements of the measure \( \pi \). Then, it is easy to see that the elements \( \varphi(x_1), \varphi(x_2), \varphi(x_3), \ldots \) of \( Y \) are independent sample elements of the measure \( \varphi[\pi] \). In fact, this property alone may suggest introducing the notion of an image of a measure.
---
\(^8\) It is not difficult to verify that \( \varphi[\pi] \) is, indeed, a measure. First, the measure of the empty set is zero, because, by definition of the reciprocal mapping, \( \varphi^{-1}[\emptyset] = \emptyset \), so \( (\varphi[\pi])[\emptyset] = |\varphi^{-1}[\emptyset]| - \pi[\emptyset] = 0 \). Second, we have to check that if \( F_1, F_2, \ldots \) is a countable sequence of pairwise disjoint sets in \( \mathcal{F} \) the measure of the union of all the \( F_i \) is equal to the sum of the measures of each \( F_i \): \( (\varphi[\pi])[\bigcup_i F_i] = \sum_i \tau[F_i] \). First, by definition of image of a measure, one has \( (\varphi[\pi])[\bigcup_i F_i] = \pi[\varphi^{-1}[\bigcup_i F_i]] \) and, as the reciprocal image of a union is the union of the reciprocal images, \( (\varphi[\pi])[\bigcup_i F_i] = \pi[\bigcup_i \varphi^{-1}[F_i]] \). But \( \pi \) is a measure, and the reciprocal image of disjoint sets is disjoint, so \( (\varphi[\pi])[\bigcup_i F_i] = \sum_i \pi[\varphi^{-1}[F_i]] \). Finally, using again the definition of image of a measure, this leads to desired property. We have thus checked that the image of a measure is a measure.
\(^9\) As an example, this happens when \( X = \mathbb{R}^p \) and \( Y = \mathbb{R}^q \) with \( p < q \), and a continuous mapping \( \varphi \) (with the standard Lebesgue measures assumed), because then \( \varphi[X] \) is a \( p \)-dimensional submanifold of \( \mathbb{R}^q \).
\(^10\) When \( \varphi[\pi] \) is representable by a density, it is, in general, easy to find an expression of it, but the (elementary) methods to be used are quite different in every situation (see examples in sections 4.2 and 4.3), and a general expression for the density is not available.
2.4 Compatibility property
Let \((X, \mathcal{E}, \mu)\) and \((Y, \mathcal{F}, \nu)\) be two \(\sigma\)-finite measure spaces, and \(\varphi : X \mapsto Y\) be a measurable mapping. Let \(\pi\) be a measure over \((X, \mathcal{E})\) that is \(\sigma\)-finite, and \(\tau\) a measure over \((Y, \mathcal{F})\), that is absolutely continuous with respect to the base measure \(\nu\).
**Theorem:** One always has
\[
\varphi[\pi \cap \pi'] = \tau' \cap \tau \quad \text{where} \quad \begin{cases}
\pi' = \varphi^{-1}[\tau] \\
\tau' = \varphi[\pi]
\end{cases}.
\]
(7)
Note that while the measure \(\tau\) is assumed to be absolutely continuous with respect to the base measure \(\nu\), the measures \(\varphi[\pi]\) and \(\varphi[\pi \cap \pi']\) may be singular.
To demonstrate the identity in equation (7) means to verify that for any set \(F \in \mathcal{F}\), one has \((\varphi[\pi \cap \pi'])[F] = (\tau' \cap \tau)[F]\). This is done by writing the following sequence of identities (that successively use equations (5), (2), (4), (6), and (2) again):
\[
(\varphi[\pi \cap \varphi^{-1}[\tau; \mu, \nu]])[F] = (\pi \cap \varphi^{-1}[\tau; \mu, \nu])[\varphi^{-1}[F]]
\]
\[
= \frac{1}{n} \int_{\varphi^{-1}[F]} d(\varphi^{-1}[\tau; \mu, \nu]) d\mu(x) d\pi(x)
\]
\[
= \frac{1}{n'} \int_{\varphi^{-1}[F]} \frac{d\tau}{d\nu}(\varphi(x)) d\pi(x)
\]
\[
= \frac{1}{n'} \int_F \frac{d\tau}{d\nu}(y) d(\varphi[\pi])(y)
\]
\[
= \frac{1}{n''} (\varphi[\pi] \cap \tau)[F],
\]
so the property holds\(^{11}\).
3 Measures and sets
3.1 Measure-sets
The definitions and properties above have a direct relation with definitions and properties in set theory, and, in some sense, they generalize them. To see this, let us start by introducing the notion of measure-set.
Let \((\Omega, \mathcal{F}, \mu)\) be a \(\sigma\)-finite measure space. To every set \(A \in \mathcal{F}\) we shall associate a measure, denoted \(\mu_A\), and defined via the condition
\[
\mu_A[F] = \frac{1}{n_A} \mu[A \cap F] \quad \text{for every } F \in \mathcal{F},
\]
(9)
\(^{11}\) The constant \(n''\) equals one, because for general measures the two constants in equations (2) and (4) should be taken equal to one, while for probability measures, there is an automatic renormalization.
where \( n_A \) is a suitable chosen constant (that may depend on \( A \) but not on \( F \)). As suggested above, one may well take
\[
n_A = 1 \quad \text{for arbitrary measures} \quad ,
\]
(10)
or
\[
n_A = \mu[A] \quad \text{for probability measures} \quad ,
\]
(11)
because, then, \( \mu_A[\Omega] = 1 \) (of course, this assumes \( \mu[A] \neq 0 \).) Such a measure shall be called a measure-set, so we can talk about the measure-set \( \mu_A \) associated with a set \( A \) by a measure \( \mu \). The \( \mu \)-density associated with a measure-set \( \mu_A \) is clearly\(^{12} \frac{1}{n_A} \chi_A \), i.e., proportional to the characteristic function of the set \( A \).
Of course, there may be subsets of \( \Omega \) that are not in \( \mathcal{F} \), but, as far as one is only interested in the sets in \( \mathcal{F} \), one can consider that any measure absolutely continuous w.r.t. \( \mu \) is something like a generalized set: while a measure-set can be identified to a set (its density taking only two possible values, 0 or \( 1/n_A \)), an arbitrary measure (with a density taking any nonnegative value) is a kind of generalized object, that contains measure-sets and, therefore, sets as special cases.
The names given to the three notions introduced above —intersection of measures, and image and reciprocal image of a measure— are justified because (as we are about to see) when applied to measure-sets they do correspond to the intersection, the image and the reciprocal image of sets.
### 3.2 Measures versus sets: intersection
If \( A \) and \( B \) are two sets in \( \mathcal{F} \) and \( \mu_A \) and \( \mu_B \) are the two associated measure-sets, one has\(^{13}\)
\[
\mu_A \cap \mu_B = k \mu_{A \cap B}
\]
(12)
with the constant\(^{14} k = \frac{n_A n_B}{n_A n_B} \). So—in the special case where the measures are measure-sets—the definition of intersection of measures is consistent with the definition of intersection of sets.
### 3.3 Intersection of measures and conditional probability
Letting \( A \) be a fixed set of \( \mathcal{F} \), let us now consider the intersection of an arbitrary measure \( \nu \) and the measure-set \( \mu_A \), i.e., the measure \( \nu \cap \mu_A \). One has\(^{15}\)
\[
(\nu \cap \mu_A)[F] = \frac{1}{n} \nu[F \cap A] \quad \text{for every } F \in \mathcal{F} \quad ,
\]
(13)
\(^{12}\) As, for every \( F \in \mathcal{F} \), \( \frac{1}{n_A} \int_F \chi_A \, d\mu = \frac{1}{n_A} \int_{A \cap F} d\mu = \frac{1}{n_A} \mu(A \cap F) = \mu_A[F] \).
\(^{13}\) For any \( F \in \mathcal{F} \), \( (\mu_A \cap \mu_B)[F] = \frac{n_A n_B}{n_A n_B} \int_F \chi_A \chi_B \, d\mu = \frac{1}{n_A n_B} \int_{F \cap A \cap B} d\mu = \frac{n_A n_B}{n_A n_B} \int_F \chi_{A \cap B} \, d\mu = \mu_{A \cap B}[F] \).
\(^{14}\) For general measures, \( k = 1 \), while for probability measures, \( k = \frac{\mu[A \cap B]}{\mu[A]\mu[B]} \).
\(^{15}\) For \( (\nu \cap \mu_A)[F] \propto \int_F \chi_A \, d\nu = \int_{F \cap A} d\nu = \nu[F \cap A] \)
where \( n \) is a constant. This is particularly interesting when dealing with probability measures, because, then, \( n = \nu[A] \), and one has
\[
(\nu \cap \mu_A)[F] = \frac{\nu[F \cap A]}{\nu[A]} \quad \text{for every } F \in \mathcal{F}.
\]
(14)
One immediately recognizes there the expression of Kolmogorov’s conditional probability, usually denoted \( \nu[F \cap A]/\nu[A] = \nu[F|A] \). Using this notation,
\[
(\nu \cap \mu_A)[F] = \nu[F|A] \quad \text{for every } F \in \mathcal{F}.
\]
(15)
So we have the following
**Property:** For every given probability measure \( \nu \), Kolmogorov’s conditional probability, given any set \( A \), is identical to the intersection of \( \nu \) by the measure-set \( \mu_A \).
So we see that the notion of conditional probability is a special case of the notion of intersection of measures: when evaluating the intersection of an arbitrary measure by a measure set, we have the conditional probability, but we can evaluate the intersection of two general measures. I claim that there are problems that are naturally formulated in terms of the intersection of two measures (see sections 4.1 and 4.5 for examples). As this notion has not been available so far, some hand-waving has been necessary to make this kind of problems fit into the available mathematical structure. This, plus the fact that general mappings between arbitrary sets (as opposed to linear mappings between linear spaces) can be taken as root elements, is what has motivated the building of the present theory.
### 3.4 Measures versus sets: reciprocal images
When considering a mapping \( \varphi \) from a set \( X \) into a set \( Y \) to every set \( B \subseteq Y \) there is associated a subset of \( X \), denoted \( \varphi^{-1}[B] \) and named the reciprocal image\(^{16} \) of the set \( B \). But the reciprocal image of a set can also be defined in terms of the characteristic functions of the sets: letting \( \xi_A \) the characteristic function of a set \( A \subseteq X \) and \( \chi_B \) that of a set \( B \subseteq Y \), one clearly has
\[
\xi_{\varphi^{-1}[B]} = \chi_B \circ \varphi,
\]
(16)
a relation that is identical (with \( n = 1 \)) to the relation (4) expressing the reciprocal image of a measure in terms of Radon-Nikodym densities. So, as it already happened with the intersection of measures, the notion of reciprocal image of a measure is consistent with the definition of reciprocal image of a set: the set associated to the reciprocal image of the measure-set that is associated to a set \( B \) is the reciprocal image of the set \( B \):
\[
\varphi^{-1}[\nu_B] = \mu_{\varphi^{-1}[B]}.
\]
(17)
In this sense, again, the notion of reciprocal image of a set is “contained” in the notion of reciprocal image of a measure.
\(^{16}\) The set \( \varphi^{-1}[B] \) is made of all the elements of \( X \) whose image is in \( B \).
3.5 Measures versus sets: images
The relation between the notion of image of a set (in set theory) and the notion of image of a measure is subtle. In this short note, let us just mention that the support\(^{17}\) of the image of a measure \(d(\varphi[\pi])/d\nu\) is the image (in the sense of set theory) of the support of the original measure \(d\pi/d\mu\).
3.6 Measures versus sets: compatibility property
In set theory, for arbitrary sets \(A_1\) and \(A_2\) and for an arbitrary mapping \(\varphi\), one has
\[
\varphi[A_1 \cap A_2] \subseteq \varphi[A_1] \cap \varphi[A_2],
\]
a relation that is well-known but not very useful here. A more useful relation (for making inferences involving sets and mappings) is that, for arbitrary sets \(A\) and \(B\), and an arbitrary mapping \(\varphi\), one has
\[
\varphi[A \cap \varphi^{-1}[B]] = \varphi[A] \cap B.
\]
For reasons that shall become clear in the applications (see section 4.5), it is interesting to extend this identity into probability theory (or, more generally, inside measure theory). But, of course, our compatibility property (equation (7))
\[
\varphi[\pi \cap \varphi^{-1}[\tau]] = \varphi[\pi] \cap \tau,
\]
is identical to relation (19), excepted that it concerns measures instead of sets. So, in some sense, we have generalized the set relation. In any case, when the relation \(\varphi[\pi \cap \varphi^{-1}[\tau]] = \varphi[\pi] \cap \tau\) is applied to measure sets, it becomes relation (19).
4 Applications
4.1 Intersection of probability measures
Let \(\Omega\) represent the surface of the sphere of unit radius, and \(\mathcal{B}\) the usual Borel collection of subsets\(^{18}\). Consider, on the measurable space \((S, \mathcal{B})\), the ordinary surface measure: for any set \(B \in \mathcal{B}\) of points on the sphere, \(S[B]\) is the surface of \(B\). Two probability measures \(P_1\) and \(P_2\) are then considered, and two points \(P_1\) and \(P_2\) are randomly created\(^{19}\) on the surface of the sphere, that are random point samples of the respective probability measures \(P_1\) and \(P_2\). If \(P_1 \neq P_2\) the two points are discarded, and two new points are generated. And so on until the two points happen to be identical, \(P_1 = P_2 = P\).
Question: of which probability measure is \(P\) a random point sample?
\(^{17}\) The support of a function is the set of points where the function is not zero.
\(^{18}\) The Borel sigma-field is defined as the smallest sigma-field containing all the open subsets.
\(^{19}\) The notion of random point is not introduced here; it is assumed that reader knows the basic notion of sampling from a probability measure.
Answer: point \( \mathcal{P} \) is a random point sample of the probability measure
\[
P = P_1 \cap P_2 .
\] (21)
Proof: The probability that the two points \( \mathcal{P}_1 \) and \( \mathcal{P}_2 \) happen to be identical is zero, so the question makes no immediate sense, and needs to be slightly reformulated. If the sphere is assumed to be tiled with a finite collection of (spherical) tiles of identical surface \( \Delta S \), then it can happen that the two points \( \mathcal{P}_1 \) and \( \mathcal{P}_2 \) are in the same tile. The finite probability that this happens in a given tile can then be evaluated (it is the renormalized product of the two probabilities assigned to the tile by each of the two probability measures \( P_1 \) and \( P_2 \)), and it is when taking the limit \( \Delta S \to 0 \) that one gets the result.
Introducing the three probability densities \( f_1 \), \( f_2 \), and \( f_1 \cap f_2 \) associated with the three probability measures \( P_1 \), \( P_2 \), and \( P_1 \cap P_2 \) via
\[
P_1[B] = \int_B f_1 \, dS ; \quad P_2[B] = \int_B f_2 \, dS ; \quad (P_1 \cap P_2)[B] = \int_B (f_1 \cap f_2) \, dS ,
\] (22)
gives here, using equation (3),
\[
(f_1 \cap f_2) = \frac{f_1 \, f_2}{\int_\Omega f_1 \, f_2 \, dS} .
\] (23)
To pass from this purely mathematical exercise to a problem involving real-life measurements, assume that two totally “disentangled”\(^{20}\) measurements of the position of a floating object on the ocean provide the information described (following ISO’s recommendations [ISO, 1993]) by two probability densities \( f_1 \) and \( f_2 \). How should they be “combined” to represent the total available information? The detailed justifications of this is outside the scope of this short note, but I suggest here that experimental uncertainties are defined in such a way (ISO’s way) that the answer to the question is precisely that in equation (23).
### 4.2 Mapping between discrete sets
Let \( X \) and \( Y \) be discrete spaces, \( \mathcal{E} \) and \( \mathcal{F} \) the respective collections of their subsets, and \( \varphi \) a mapping from \( X \) into \( Y \). Consider that a probability measure \( \pi \) on \( (X, \mathcal{E}) \), is sampled, this providing elements \( x_1, x_2, \ldots \) of \( X \), and therefore, via the mapping \( \varphi \), the image elements \( y_1 = \varphi(x_1), y_2 = \varphi(x_2), \ldots \) of \( Y \). Of which probability measure \( \tau \) on \( (Y, \mathcal{F}) \) are the elements \( y_1, y_2, \ldots \) sample points?
The answer is \( \tau = \varphi[\pi] \), as this clearly corresponds to the very definition of image of a measure (equation (5)):
\[
\tau[F] = \pi[\varphi^{-1}[F]] \quad \text{for every } F \in \mathcal{F} .
\] (24)
\(^{20}\)I am trying here to avoid the use of the term independent that has a related—but different—connotation in probability theory.
To transform this result into an explicit expression, we can introduce two base measures $\mu$ and $\nu$ on $(X, \mathcal{E})$ and $(Y, \mathcal{F})$ respectively, for instance, the respective counting measures\footnote{The counting measure of a set is the number of elements in the set.}. The density $f$ associated with the measure $\pi$ consists then in the (discrete) collection of numbers $f_i = f(x_i)$ such that, for every set $E \subseteq X$, $\pi[E] = \int_E f \, d\mu = \sum_{x_i \in E} f(x_i)$, while the density $g$ (that we may denote $g = \varphi[f]$) associated to the measure $\tau = \varphi[\pi]$ consists in the (discrete) collection of numbers $g_\alpha = g(y_\alpha)$ such that for every set $F \subseteq Y$ $\tau[F] = \int_F g \, d\nu = \sum_{y_\alpha \in F} g(y_\alpha)$. Some easy computations then provide the solution:
$$g(y_\alpha) = \sum_{x_i \in \varphi^{-1}\{y_\alpha\}} f(x_i) \quad \text{for every } y_\alpha \in Y.$$ \hspace{1cm} (25)
### 4.3 Propagation of uncertainties in physical measurements
Physical quantities are often defined in terms of other physical quantities. For instance, the electric resistance $R$ of a wire is defined as the ratio of the voltage $V$ applied to the wire and the current intensity $I$ flowing in the wire. Then, a typical measure of $R$ involves, in fact, the measure of the two quantities $V$ and $I$ and the computation of the ratio $R = V/I$.
So, more generally, when one wants to perform a physical measurement of the value of some physical quantity, say $y$, most of the time, one resorts to measuring in fact some other quantities, say $\{x^1, x^2, \ldots, x^p\}$, and then one computes the value of $y$ via its definition
$$y = \varphi(x^1, x^2, \ldots, x^p).$$ \hspace{1cm} (26)
One very basic problem in metrology is that of “propagating” the uncertainties appearing in the measurements of the quantities $x^i$ into the uncertainty on the quantity $y$. Good metrology practice corresponds (ISO, 1993) to representing the uncertainties on a measurement by a probability density (as opposed to simple “uncertainty bar”). Therefore, one faces the following problem:
**Question:** One has some probability measure $\pi$ defined on the quantities $\{x^1, x^2, \ldots, x^p\}$, and one defines the quantity $y$ via the mapping in equation (26). What probability measure $\tau$ does this imply on the quantity $y$?
**Short answer:** The probability measure $\tau$ is the image of the probability measure $\pi$, i.e., according to our general definition of image of a measure: $\tau = \varphi[\pi]$.
But let us state the problem using a more general terminology.
**Preliminaires:** Some of the quantities $x = \{x^1, x^2, \ldots, x^p\}$ may be discrete, while others may be real quantities, each taking values inside some interval (open or closed). Let $X$ be the set (part discrete, part continuous) whose elements
correspond to all the possible values of the quantities \( x \). Introducing an appropriate \( \sigma \)-field of subsets of \( X \) is, generally, quite easy\(^{22}\), so one immediately faces a measurable space \((X, \mathcal{E})\). We can consider, for more generality, that the quantity \( y \) also is “multidimensional”: \( y = \{y^1, y^2, \ldots, y^n\} \). A measurable space \((Y, \mathcal{F})\) is introduced as above. Unless that mapping \( x \mapsto y = \varphi(x) \) is pathological\(^{23}\), it will be measurable (with respect the two \( \sigma \)-fields \( \mathcal{E} \) and \( \mathcal{F} \)). The (uncertain) result of the measurement of the quantities \( x \) is represented by a \( \sigma \)-finite\(^{24}\) measure \( \pi \) on \((X, \mathcal{E})\).
**Question:** How do the uncertainties encapsulated by the measure \( \pi \) “propagate” into uncertainties on the space \((Y, \mathcal{F})\), i.e., which is the measure, say \( \tau \), implied on \((Y, \mathcal{F})\) by the measure \( \pi \) and the mapping \( \varphi \)?
**Answer:** The notion of “propagation of uncertainties” can be made precise by imposing that the probability \( \tau[B] \) of any subset \( B \in \mathcal{F} \) must equal the probability of the pre-image (or reciprocal image) of the subset:
\[
\tau[B] = \pi[\varphi^{-1}[B]] \quad \text{for any } B \in \mathcal{B}.
\]
(27)
But this is exactly our definition of image of a measure, so the answer is
\[
\tau = \varphi[\pi].
\]
(28)
**Example:** The measurement of an electric resistance \( R \) involves the measurement of the two quantities \( V \) and \( I \) and the use of the definition \( R = V/I \). If the result of the measurement of \( V \) and \( I \) (and the associated uncertainties) is that represented by the (lognormal) probability density
\[
f(V, I) = \frac{1}{2\pi \sigma_V \sigma_I} \frac{1}{VI} \exp \left( -\frac{\log^2(V/V_0)}{2\sigma_V^2} - \frac{\log^2(I/I_0)}{2\sigma_I^2} \right),
\]
(29)
then, the notion of image of a measure produces, for the electric resistance \( R \), the (lognormal) probability density
\[
g(R) = \frac{1}{\sqrt{2\pi} \sigma_R} \frac{1}{R} \exp \left( -\frac{\log^2(R/R_0)}{2\sigma_R^2} \right),
\]
(30)
where
\[
R_0 = V_0/I_0 \quad \text{and} \quad \sigma_R = \sqrt{\sigma_V^2 + \sigma_I^2}.
\]
(31)
Let us see some details of that. The space \( X \) is \((0, \infty) \times (0, \infty) \subset \mathbb{R}^2\), that we endow with two coordinates \(\{V, I\}\) (having the physical interpretation of an
---
\(^{22}\) A Cartesian product of some Borel fields —for the real variables— times the collections of all the possible subsets —for the discrete variables—.
\(^{23}\) Physicists need to try hard before being able to introduce mappings that are not measurable with respect to the obvious topologies.
\(^{24}\) Physicists will typically represent their measurement uncertainties by introducing probability densities and discrete probabilities, to be interpreted as the Radon-Nikodym derivatives of the measure \( \pi \), so \( \pi \) will be \( \sigma \)-finite by construction.
electric voltage and an electric intensity). The space $Y$ is $(0, \infty) \subset \mathbb{R}$ that we endow with a coordinate $R$ (having the physical interpretation of an electric resistance). The mapping $\varphi$ is (definition of electric resistance) $R = V/I$. The usual Borel $\sigma$-fields of $X$ and of $Y$ (say $\mathcal{B}_2$ and $\mathcal{B}_1$) are introduced, and the usual Lebesgue measures are considered as base measures. To arrive at the density $g(R)$ one can here introduce the “slack” variable $P = VI$, this allowing to consider the “change of variables” $\{V, I\} \mapsto \{R, P\}$. One then easily evaluates the density $g_0(R, P)$ (using the Jacobian of the transformation), and, from it, $g(R) = \int_0^\infty g_0(R, P) \, dP$. It can be shown that the final result for $g(R)$ is independent on the particular choice of slack variable.
### 4.4 Interpretation of observations (1: using sets)
In the physical sciences, some problems of interpretation of observations can be idealized as follows. There are two sets $X$ and $Y$, a mapping $\varphi$ from $X$ into $Y$, and
(i) we are interested in identifying a particular element $x \in X$, and we have the “a priori information” that it belongs to a subset $X_{\text{prior}} \subseteq X$:
$$x \in X_{\text{prior}},$$
(ii) we have “observed” that some element $y \in Y$ belongs to a subset $Y_{\text{obs}} \subseteq Y$:
$$y \in Y_{\text{obs}},$$
and (iii) we know that $y$ is related to $x$ via the mapping $\varphi$:
$$y = \varphi(x).$$
These three pieces of information, when put together (see the left of figure 1), allow one to infer (using standard set theory reasoning):
(i) that the element $x$ belongs, in fact, to a set $X_{\text{post}}$ that is smaller or equal to the original set $X_{\text{prior}}$,
$$x \in X_{\text{post}} = X_{\text{prior}} \cap \varphi^{-1}[Y_{\text{obs}}] \subseteq X_{\text{prior}},$$
(ii) while the element $y$ belongs, in fact, to a set $Y_{\text{post}}$ that is smaller or equal to the original set $Y_{\text{obs}}$,
$$y \in Y_{\text{post}} = \varphi[X_{\text{prior}}] \cap Y_{\text{obs}} \subseteq Y_{\text{obs}}.$$
These two results are obvious. Perhaps less obvious is the relation
$$Y_{\text{post}} = \varphi[X_{\text{post}}],$$
that follows directly from the universal set property $\varphi[A \cap \varphi^{-1}[B]] = \varphi[A] \cap B$ (equation (19)).
Remark that we are inside the paradigm typical of a “problem of assimilation of observations” —sometimes called “inverse modeling problem”—: the mapping $x \mapsto y = \varphi(x)$ can be seen as the typical mapping between the “model parameter space” and the “observable parameter space”. In what concerns the element $x \in X$ we pass from the “a priori information” $x \in X_{\text{prior}}$ to the “a posteriori information” $x \in X_{\text{post}} \subseteq X_{\text{prior}}$. Similarly, in what concerns the element $y \in Y$ we pass from the “initial observation” $y \in Y_{\text{obs}}$ to the “refined observation” $y \in Y_{\text{post}} \subseteq Y_{\text{obs}}$.
In the next section, the same problem is reformulated, but using probability measures instead of sets.
Figure 1: At the left, an inference problem that can be solved using only set theory (see text). At the right, a similar problem, but this one concerning probability measures (see text). This example at the right corresponds to many of the so-called inverse problems in the experimental sciences.
4.5 Interpretation of observations (2: using measures)
The problem of interpretation of observation —sometimes called the “inverse problem”— appears as follows. A physical system (e.g., a molecule, an ocean, a planet’s atmosphere, a galaxy) is under investigation. For the purposes of the investigation, the system is described using a collection of $p$ physical quantities $x = \{x^1, x^2, \ldots, x^p\}$; some of them taking only discrete values (for instance, black or white) and some others taking continuous values (for instance a temperature can take any positive real value). A set $X$ is introduced, the elements (or “points”) of which corresponding to the quantities $x$ taking all their possible values. In the jargon of inverse problem theory, the set $X$ is called the model space.\footnote{In fact, the set $X$ is something more abstract: any (invertible) change of variables $x \mapsto x'$ is to be seen as a “change of coordinates” inside $X$, not as the definition of a new set $X'$. For a discussion of this kind of intrinsic view on physical quantities, see Tarantola (2006).} In order to gain information on the $p$ physical quantities $x$, a set of $q$ physical quantities $y = \{y^1, y^2, \ldots, y^q\}$ —perhaps only quite indirectly related to the quantities $x$— is measured. As above, when considering all possible values for the $q$ quantities $y$ one is faced with a set $Y$, the “observable parameter space”. One then (usually implicitly) considers two collections of subsets $\mathcal{E}$ and $\mathcal{F}$, of sets of $X$ and of $Y$ respectively, that are $\sigma$-algebras, so one has two measurable spaces $(X, \mathcal{E})$ and $(Y, \mathcal{F})$. On each of these spaces, a base ($\sigma$-finite) measure has to be considered in order to have two $\sigma$-finite measure spaces, $(X, \mathcal{E}, \mu)$, and $(Y, \mathcal{F}, \nu)$. To a mathematician, the existence of the two base measures $\mu$ and $\nu$ may seem a minor hypothesis. A physicist may have to work hard to find them, as they must represent the volume measure of each space, and, as such, they must have the necessary invariances.\footnote{For instance, one of the quantities may be the period $T$ (of, say, a star). How to measure the volume (in fact, the length) of an interval $(T_1, T_2)$, say, $\mu([T_1, T_2])$? Taking $\mu([T_1, T_2]) = |T_2 - T_1|$ would not be consistent with, when working with the frequency $\omega = 2\pi/T$, measuring the volume as $|\omega_2 - \omega_1|$, because $|T_2 - T_1| \neq |\omega_2 - \omega_1|$. In fact, the right volume measure is $\mu([T_1, T_2]) = |\log(T_2/T_1)|$, because $|\log(T_2/T_1)| = |\log(\omega_2/\omega_1)|$. See Tarantola (2005) for an elementary discussion of this problem, or Tarantola (2006) for a more advanced discussion.} For this reason, let us here call the two base measures $\mu$ and $\nu$ the respective volume measures. They matter, because the reciprocal image of a probability measure on $(Y, \mathcal{F})$ and the intersection of measures on $(X, \mathcal{E})$ and on $(Y, \mathcal{F})$ depend on them.
The final structure element is that a physical theory is assumed to exist, that is able —given any possible value of the model parameters $x$— to predict (in a Popperian sense) the observations $y$. This prediction consists in a mapping $\varphi : X \mapsto Y$, that must be assumed to be measurable (what, for a physicist, just means that $\varphi$ is assumed to be not “pathological”). Of course, the mapping $\varphi$ is not assumed to be invertible (and it may be “nonlinear”).
In a typical inverse problem one cares in introducing any available a priori information on $x$ (that means information available before the measurements on $y$ are carried out) as a probability measure, say $\pi_{\text{prior}}$, on $(X, \mathcal{E})$ (it must be “ordinary”, i.e., $\sigma$-finite, but it does not need to be absolutely continuous w.r.t. the volume measure $\mu$). When the measurements of the quantities $y$ are
carried out, the result is represented\textsuperscript{27} as a probability measure, say $\tau_{\text{obs}}$, on $(Y, \mathcal{F})$, that must be absolutely continuous w.r.t. the volume measure $\nu$ (i.e., it has to be representable by a density). So, one has the following three elements (see the right of figure 1):
(i) a priori information on the model parameters, i.e., a probability measure on $(X, \mathcal{E})$
$$\pi_{\text{prior}} :$$
(ii) results of the measurements, i.e., a probability measure on $(Y, \mathcal{F})$
$$\tau_{\text{obs}} :$$
and (iii) the modeling mapping
$$\varphi : X \mapsto Y .$$
It is clear that the existence of a mapping $\varphi$ is going to transform the measure $\pi_{\text{prior}}$ into some other measure, say $\pi_{\text{post}}$, and the measure $\tau_{\text{obs}}$ into some measure, say $\tau_{\text{post}}$, much as it happened in section 4.4, where the prior sets were transformed into posterior sets. The problem is that here we are facing natural objects (measurements and physical laws), that are not easily amenable to axiomatization. Usual presentations of the inverse problem unconvincingly use intuitive interpretations of the notion of conditional probability and of, perhaps, Bayes’ theorem. I prefer here to frankly state that I formulate the problem using only the analogy between the present problem and the set-theoretical problem in section 4.4 (although closer analogies can be elaborated\textsuperscript{28}). The results there (that concerned intersection of sets, and images and reciprocal images of sets) were unquestionable. As far as the present theory, defining the intersection of measures, and images and reciprocal images of measures is an acceptable generalization of (a part of) set theory (and the compatibility property suggests that it is), we can match this problem to the one in section 4.4 (see also the parallel suggested in figure 1). In any case, the formulas we are going to find for the inverse problem are basically identical (although, perhaps, a little more general) than those proposed in the usual literature\textsuperscript{29}.
Then (see the illustration at the right of figure 1):
(i) on the model parameter space $(X, \mathcal{E})$, one passes from the prior probability measure $\pi_{\text{prior}}$ to the posterior probability measure
$$\pi_{\text{post}} = \pi_{\text{prior}} \cap \varphi^{-1}[\tau_{\text{obs}}] :$$
\textsuperscript{27}The representation of the (possibly uncertain) result of an observation as a probability measure is in compliance with ISO’s (1993) recommendations.
\textsuperscript{28}Assume that a random $x$ and a random $y$ are created according respectively to $\pi_{\text{prior}}$ and $\tau_{\text{obs}}$, and that the pair $\{x, y\}$ is accepted only if $y = \varphi(x)$ (much as we did in section 4.1). It is easy to prove (see the argument in section 4.1) that when a pair $\{x, y\}$ is accepted, $x$ is a sample point of the measure $\pi_{\text{post}} = \pi_{\text{prior}} \cap \varphi^{-1}[\tau_{\text{obs}}]$ and $y$ is a sample point of the measure $\tau_{\text{post}} = \varphi[\pi_{\text{prior}}] \cap \tau_{\text{obs}}$. These are exactly expressions (41) and (42).
\textsuperscript{29}For a probabilistic formulations of the inverse problem, see Tarantola and Valette (1982), Menke (1989), Mosegaard and Tarantola (1995), Aster et al. (2005), or Tarantola (2005). For an alternative, statistical decision theory, see Evans and Stark (2002).
(ii) on the observable parameter space \((Y, \mathcal{F})\), one passes from the initial probability measure \(\tau_{\text{obs}}\) (representing the result of the measurements) to the probability measure
\[
\tau_{\text{post}} = \varphi[\pi_{\text{prior}}] \cap \tau_{\text{obs}}
\]
(42)
representing a refined estimation of the values of the observable parameters \(y\). Finally, (iii) the compatibility property (equation (7)) nicely states that
\[
\tau_{\text{post}} = \varphi[\pi_{\text{post}}]
\]
(43)
Let us evaluate the posterior probability \(\pi_{\text{post}}[E]\) of some set \(E \in \mathcal{E}\). From expression (41) it follows (using, first, the definition of the intersection of measures in equation (2), then, the definition of the reciprocal image of a measure in equation (4))
\[
\pi_{\text{post}}[E] = \frac{1}{n} \int_E \frac{d\tau}{d\nu}(\varphi(x)) \ d\pi_{\text{prior}},
\]
(44)
where the constant \(n = \int_X \frac{d\tau}{d\nu}(\varphi(x)) \ d\pi_{\text{prior}}\) must be different from zero (in order for \(\pi_{\text{post}}\) to be a probability measure). Note that the density \(\frac{d\tau}{d\nu}\) exists because \(\tau\) was assumed to be absolutely continuous w.r.t. the volume measure \(\nu\).
To evaluate the posterior probability \(\tau_{\text{post}}[F]\) of a set \(F \in \mathcal{F}\), one could try to start with expression (42), but this possibility is not the most practical. One can rather use the compatibility relation (43), as then (because of the relation (4) defining the image of a measure),
\[
\tau_{\text{post}}[F] = \pi_{\text{post}}[\varphi^{-1}[F]]
\]
(45)
In real-life problems, the finite probabilities \(\pi_{\text{post}}[E]\) and \(\tau_{\text{post}}[F]\) (i.e., the sums in equations (44)–(45) can (approximately) be evaluated using Monte Carlo methods.\(^{30}\)
As a final remark, should the prior probability measure \(\pi_{\text{prior}}\) be absolutely continuous w.r.t. the volume measure \(\mu\) (i.e., should the density \(\frac{d\pi_{\text{prior}}}{d\mu}\) exist), the posterior probability measure \(\pi_{\text{post}}\) would also have a density, whose explicit expression would follow immediately from equation (44):
\[
\frac{d\pi_{\text{post}}}{d\mu} = \frac{1}{n} \frac{d\pi_{\text{prior}}}{d\mu} \frac{d\tau}{d\nu} \circ \varphi,
\]
(46)
i.e., explicitly, \(\frac{d\pi_{\text{post}}}{d\mu}(x) = \frac{1}{n} \frac{d\pi_{\text{prior}}}{d\mu}(x) \frac{d\tau}{d\nu}(\varphi(x))\). In the jargon of inverse theory, \(x \mapsto \frac{d\tau}{d\nu}(\varphi(x))\) is called the “likelihood function”.
\(^{30}\)From expression (44) is follows that if \(x_1, x_2, \ldots\) is a collection of (independent) random sample elements of the prior probability measure \(\pi_{\text{prior}}\), and if, for every element, a random decision is taken to conserve or discard it (with the probability of being conserved equal to \(k \frac{d\tau}{d\nu}(\varphi(x))\), where the constant \(k\) is arbitrary, but such that it is guaranteed that the maximum attained value is \(\leq 1\)), then, the collection \(x'_1, x'_2, \ldots\) of conserved elements is a sample of \(\pi_{\text{post}}\) (Mosegaard and Tarantola [1995]). And (as it follows from the definition of image of a measure) the collection \(\varphi(x'_1), \varphi(x'_2), \ldots\) is a sample of \(\tau_{\text{post}}\).
5 References
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6 Acknowledgements
My first thanks go to Olivier Piromeau, who has constantly guided my hand in the right direction. Without his help, the compatibility conjecture may never have become a theorem. Also, a lot of thanks to Bartolomé Coll, for systematically guiding my hand in the wrong direction. His intelligence and patience are legendary, as is his obstinacy: this forced me to really understand (I hope) what I was trying to do. Klaus Mosegaard is the accomplice of many of my adventures. It was a question of him (*Albert, are you certain that there are no simpler formulas for stating the general solution of an inverse problem?*) that prompted me to abandon the use of conditional probabilities, which resulted
in the making of the present theory. Philip Stark has a view of probabilistic reasoning that is almost opposite to mine. But I have learned from him how to use probability theory rigorously. His e-mail with a few pages of Halmos’ book was crucial in solving my last difficulties with the theory. Finally, many thanks to Bob Nowack for a critical reading of the manuscript. |
Diminished Expression of Transcription Factors Nuclear Factor κB and CCAAT/Enhancer Binding Protein Underlies a Novel Tumor Evasion Mechanism Affecting Macrophages of Mammary Tumor–Bearing Mice
Marta Torroella-Kouri,1 Xiaojing Ma,2 Giselle Perry,1 Milena Ivanova,1 Pedro J. Cejas,1 Jennifer L. Owen,3 Vijaya Iragavarapu-Charyulu,4 and Diana M. Lopez1
1Department of Microbiology and Immunology, University of Miami School of Medicine and the Sylvester Comprehensive Cancer Center, Miami, Florida; 2Department of Microbiology and Immunology, Weill Medical College of Cornell University, New York, New York; and 3Department of Biomedical Sciences, Florida Atlantic University, Boca Raton, Florida
Abstract
Interactions between malignant tumors and the host immune system shape the course of cancer progression. The molecular basis of such interactions is the subject of immense interest. Proinflammatory cytokines produced by macrophages are critical mediators of immune responses that contribute to the control of the advancement of neoplasia. We have shown that the expressions of interleukin 12 (IL-12) and inducible nitric oxide synthase (iNOS) are decreased in macrophages from mammary tumor–bearing mice. In this study, we investigated the causes of IL-12 dysregulation and found deficient nuclear factor κB (NFκB) and CCAAT/enhancer binding protein (C/EBP) expression and function in tumor bearers’ peritoneal macrophages. The constitutive expressions of NFκB p50, c-rel, p65, and C/EBPα and β, as well as the lipopolysaccharide-induced nuclear translocation and DNA binding of NFκB components and C/EBPα and β, are profoundly impaired in macrophages from mice bearing D1-DMBA-3 tumors. Because similar findings occur with the iNOS gene, it seems that it represents a novel mechanism by which tumor-derived factors interfere with the host immune defenses. (Cancer Res 2005; 65(22): 10578–84)
Introduction
Persistent or chronic inflammation in a tissue or an organ contributes to tumorigenesis (1). However, once a tumor is generated and becomes established, its progression is associated with increasing levels of immunosuppression in the host regardless of tumor location or etiology, both in laboratory animals and in humans (2–5). One of the diverse mechanisms by which established tumors succeed to escape from the immune defenses and induce a depressed immune status in the host is by disturbing the delicate equilibrium of cytokine expression patterns that regulate immune function in the healthy host (6–8). Proinflammatory cytokines, produced mainly by macrophages and dendritic cells, are critical in the development of the initial inflammatory response as well as in the subsequent immune adaptive response (9).
Previous work from our laboratory has shown that, on stimulation with lipopolysaccharide (LPS), thioglycollate-induced peritoneal macrophages (PEM) isolated from BALB/c mice bearing the D1-DMBA-3 mammary tumor display depressed innate immune functions, characterized by diminished macrophage cytotoxicity, low levels of nitric oxide expression, and decreased production of interleukin (IL)-12 (10–13). In earlier publications, we have shown that the down-regulated production of both IL-12 and inducible nitric oxide synthase (iNOS) is associated with the action of several factors secreted by the mammary tumor used in our studies (12–15). In the present investigation, we analyzed the underlying molecular mechanism whereby this progressive tumor affects the activation of IL-12 genes in macrophages. Deficient nuclear factor κB (NFκB) and CCAAT/enhancer binding protein (C/EBP) expressions, as well as diminished nuclear translocation and DNA binding activities of these transcription factors, were observed in host macrophages. Because similar findings have been noted in studies of the iNOS gene promoter of tumor bearers’ macrophages (16), these functional dysregulations may represent a manifestation of a more general phenomenon by which tumor-derived factors contribute to tumor evasion by interfering with the expression and function of key transcription factors.
Materials and Methods
Animals and tumors. Male and female BALB/c mice of 10 to 14 weeks of age, maintained by brother-sister mating in our facilities, were used. In all experiments, the mice were age and sex matched. The D1-DMBA-3 mammary adenocarcinoma is a transplantable tumor derived from a nonviral, non-carcinogen-induced preneoplastic alveolar nodule in a BALB/c mouse treated with 7,12-dimethylbenzanthracene (17). The immunogenic tumor is routinely transplanted in BALB/c mice by s.c. injection of $1 \times 10^6$ tumor cells. Our institutional animal care and use committee approved the animal experiments.
Macrophage collection and culture. Normal mice and 4-week tumor-bearing mice were injected i.p. with 1.5 mL of 3% thioglycollate. On day 4, the peritoneal exudate cells were obtained by peritoneal lavage with 20 mL of ice-cold RPMI 1640; PEM from normal animals (N-PEM) and tumor bearers (T-PEM) were later purified and cultured as previously described (18).
Reagents. RPMI 1640 containing 10% FCS, 2 mmol/L L-glutamine, and 100 units of penicillin and 100 μg/mL of streptomycin (all from Hyclone, Logan, UT) was used as culture medium in all experiments. LPS from *Escherichia coli* 055:B5 was purchased from Sigma-Aldrich (St. Louis, MO).
Cytokine ELISA. PharMingen (San Diego, CA) OptEIA sets for mouse IL-12p70 heterodimer, mouse IL-12p40 monomer, and mouse IL-10 were used to measure the amounts of IL-12p70, IL-12p40, and IL-10 proteins in the supernatants of PEM according to the instructions of the manufacturer.
Northern blot. Northern hybridizations were done as previously reported (11) with the following modifications: Total RNA was isolated using RNAwiz reagent (Ambion, Austin, TX) according to the instructions...
of the manufacturer and RNA samples (15 μg) were electrophoresed, transferred, and hybridized using the NorthernMax-Gly set, a glyoxal-based system for Northern blots from Ambion, following the instructions of the manufacturer. The cDNA probes for *IL-12p40* and *p35* genes, a generous gift from Dr. Giorgio Trinchieri (Laboratory of Parasitic Diseases, National Institute of Allergy and Infectious Diseases, Bethesda, MD), were radio-labeled with [α-<sup>32</sup>P]dATP (3,000 Ci/mmol; New England Nuclear/Perkin Elmer, Boston, MA) by random primer labeling (Prime-a-Gene, Promega, Madison, WI). β-Actin levels were similarly examined using β-actin cDNA (Clontech Laboratories, Inc., Palo Alto, CA) and served as controls to normalize RNA quantity.
**Electrophoretic mobility shift assay.** Isolation of nuclear extracts, sequences, preparation of oligonucleotide probes, electrophoretic mobility shift assay (EMSA), and supershift assays were conducted as previously described (15, 16); all antibodies used were from Santa Cruz Biotechnology (Santa Cruz, CA).
**Western blot.** Whole-cell and nuclear extracts from N-PEM and T-PEM were used. To isolate whole-cell extracts, PEM were lysed using cold radioimmunoprecipitation assay buffer supplemented with protease inhibitor cocktail (Roche, Indianapolis, IN) and sodium vanadate (Roche, 1 mmol/L final concentration) as described in ref. 11. Nuclear extracts were isolated as described in ref. 15. Protein concentration was determined using the BCA Protein Assay Kit (Pierce, Rockford, IL) and Western blots were done as previously described (11). The primary antibodies used were rabbit anti-mouse polyclonals from Santa Cruz Biotechnology, except for IκB kinase (IKK)-β (mouse monoclonal from Imgenex, San Diego, CA) and for the phosphorylated form of IκBα (mouse monoclonal antibody from Santa Cruz Biotechnology); the presence of actin was detected by the use of a rabbit anti-mouse polyclonal antibody (Sigma-Aldrich). For the mouse monoclonal antibodies used, secondary antibodies were goat anti-mouse isotype matched to the corresponding primary antibodies.
**Results**
**Both protein and mRNA levels of proinflammatory molecules are decreased in peritoneal macrophages from tumor bearers.** LPS-activated T-PEM from 4-week tumor bearers exhibit an impaired capacity to produce the IL-12p70 heterodimer as measured by ELISA compared with the IL-12 expression in N-PEM (Fig. 1A). Because IL-12 is composed of two chains, p40 and p35, we sought to determine whether the IL-12p40 protein synthesis/secretion was also affected in these cells (there is no available antibody to study p35 protein expression). IL-12p40-specific ELISAs were done using 24-hour supernatants of macrophages from normal or 4-week tumor-bearing mice cultured alone or with LPS. As seen in Fig. 1B, LPS-activated T-PEM exhibited a down-regulated IL-12p40 monomer production compared with similarly activated cells from normal animals, accounting, at least in part, for the decreased production of IL-12p70 in these cells. It was observed that the levels of IL-12p40 were higher than the levels of IL-12p70 produced by both cell types, as expected (19). Our previous studies have shown that the protein levels of iNOS in T-PEM stimulated with LPS are also down-regulated (11).
To analyze whether IL-12p40 and p35 mRNA expressions were affected in T-PEM, Northern blot experiments were done. The results of these Northern hybridizations (Fig. 1C) showed a substantial decrease in the expression of the *p40* gene, together with a slightly diminished *p35* gene expression in LPS-activated T-PEM, as compared with similarly activated N-PEM. Furthermore, no alternatively spliced or aberrant mRNAs were observed in T-PEM for either gene (i.e., only the expected transcripts of 2.3 kb for p40 and 1.3 kb for p35 were detected). As was the case with the protein, we have also previously shown that the iNOS mRNA levels are decreased in T-PEM as compared with the levels in N-PEM (11).
**Figure 1.** IL-12p40 is down-regulated in macrophages from tumor bearers at the protein and mRNA levels. ELISAs of IL-12p70 (A) and IL-12p40 (B) measured protein concentration in 24-hour supernatants of macrophages from normal and 4-week tumor-bearing mice cultured with and without LPS (10 μg/mL). *Columns*, mean of four different experiments with similar results; *bars*, SD. C, Northern blot of IL-12p40 and IL-12p35 genes in PEM isolated from five normal and five 4-week tumor-bearing mice after culture with and without activation with LPS (10 μg/mL) for 4 hours. Representative of three independent experiments with similar results.
**Peritoneal macrophages from tumor bearers exhibit decreased nuclear factor κB and CCAAT/enhancer binding protein bindings to gene promoters of proinflammatory genes.** To further analyze the mechanism of the decreased mRNA expression of the IL-12 genes in T-PEM, we studied the functionality of the most relevant transcription factors involved in their expression. Because the *IL-12p40* gene was shown to be the most affected component involved in the IL-12 deficiency in T-PEM, we focused our analysis in this particular gene. The mouse *IL-12p40* gene promoter has been well characterized (20–22) and the transcription factors NFκB and C/EBP are among the major ones involved in its regulation. A study of the binding activities of these two transcription factors to the IL-12p40 promoter was done...
by EMSA with nuclear protein extracts isolated from N-PEM and T-PEM, with and without LPS activation, using synthetic double-stranded oligonucleotides matching known sequences of the mentioned transcription factors sites on the mouse *IL-12p40* gene promoter. Our results, using a $^{32}$P probe for the NFκB "half site" of the IL-12p40 murine promoter (20), revealed a profound decrease in the binding activity of NFκB in LPS-activated T-PEM (Fig. 2A) compared with N-PEM. Competition experiments with cold NFκB and irrelevant Oct-1 binding sites showed the specificity of the binding to the NFκB site. Supershift experiments were done with nuclear extracts of LPS-activated N-PEM and T-PEM to characterize the contribution of the different members of the NFκB transcription factor family in these cells using antibodies against the various NFκB members (p50, p52, p65, c-rel, and relB; Fig. 2B). These experiments revealed that p50, p65, and c-rel compose the two major NFκB complexes (designated *a* and *b*, respectively) in PEM as addition of antibodies against these three components caused alterations in the mobility of these complexes. Band *b*, with the increased mobility, represents p50/p50 homodimers whereas the slower band *a* reflects the presence of p50/p65 and p50/c-rel heterodimers. T-PEM exhibit a dramatic decrease in the intensity of band *b*, illustrating a significant reduction of p50/p50 in tumor bearers (Fig. 2B). Furthermore, minor participation of relB and p52 can also be observed as expressed by the lower density of the corresponding band patterns after the addition of the respective antibodies. Regarding iNOS, our data, using a $^{32}$P probe for the NFκBd unique site from the NFκB consensus sequence (23), revealed a profound decrease in the binding activity of NFκB to the iNOS promoter in LPS-activated T-PEM compared with N-PEM (Fig. 3A). Supershift experiments showed, in both N-PEM and T-PEM activated with LPS, that nearly the entire NFκBd complex was shifted in response to anti-p50. Addition of antibodies against p65 and c-rel, respectively, induced a decrease in the intensity of the upper band of the duplex in each case. Antibodies against Rel B or p52 did not affect the mobility or the intensity of the complexes (Fig. 3B).
Regarding the C/EBP transcription factor, three major DNA-protein complexes were revealed using a synthetic probe for its binding site on the murine *IL-12p40* promoter of N-PEM (21), designated *a*, *b*, and *c* in Fig. 2C. In T-PEM, these binding activities were strongly diminished in both resting and LPS-activated cells. Competition experiments with cold C/EBP and irrelevant Oct-1 binding sites showed a specific binding for the C/EBP species. Supershift analyses were done with the nuclear extracts of LPS-activated N-PEM and T-PEM. Figure 2D shows a representative experiment done with antibodies against the different members of this transcription factor family, C/EBPα, β, and δ. The three main DNA-protein complexes formed with the C/EBP synthetic probe correspond to homodimers and heterodimers between C/EBPα, β, and δ (21). Our data revealed a major involvement of α and β and, to a lesser extent, of δ in both cell types. No cooperation between C/EBP with NFκB or activator protein transcription factors was observed in either cell type. Concerning iNOS, we analyzed the binding of nuclear proteins to the NF-IL6 (−153/−142) site of the iNOS promoter (24). Nuclear extracts from T-PEM, as compared with N-PEM, show a significantly diminished binding to the C/EBP sequence in the constitutive as well as the inducible binding after stimulation with LPS (Fig. 3C). Supershift experiments revealed, in both N-PEM and T-PEM activated with LPS, that antibodies against C/EBPα and β clearly affected the mobility or the intensity, respectively, of the band complex whereas antibody against C/EBPδ did not induce major changes (Fig. 3D).
**Diminished binding activities of transcription factors nuclear factor κB and CCAAT/enhancer binding protein are associated with their decreased protein expressions in peritoneal macrophages from tumor bearers.** Several reasons
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**Figure 2.** Decreased binding of NFκB and C/EBP to *IL-12p40* gene promoter in 4-week T-PEM. *A*, specific binding of nuclear proteins to an oligonucleotide probe matching the NFκB "half-site" of the IL-12p40 promoter is reduced in T-PEM as assessed by EMSA. Competition with cold NFκB or irrelevant transcription factor Oct-1 showed that the binding was specific for NFκB. Normalization was done when identical amounts of the same nuclear extracts samples were used to bind a radioactive probe of the ubiquitous transcription factor Oct-1, showing equal protein loading in every lane. One of four different experiments with similar results. *B*, identification of the NFκB family proteins binding to the IL-12p40 site with the use of antibodies against p50, p52, p65, relB, and c-rel. Mouse nonimmune sera were used as control. One of four different experiments with comparable results. *C*, specific binding of nuclear proteins to an oligonucleotide probe matching the C/EBP site of the IL-12p40 promoter is reduced in T-PEM as assessed by EMSA. Competition with cold C/EBP or irrelevant transcription factor Oct-1 showed that the binding was specific for C/EBP. One of four different experiments with similar results. *D*, identification of the C/EBP family proteins binding to the IL-12p40 site using antibodies against C/EBPα, β, and δ. Cooperation between C/EBP and NFκB and AP-1 was analyzed using antibodies against NFκB p50, Jun B, and c-fos. One of four different experiments with similar results.
Peritoneal macrophages from tumor bearers do not exhibit altered amounts of IκBα or its phosphorylated form. Another reason that could account for the decreased binding activity of NFκB in T-PEM is the existence of altered amounts of IκBα protein or its phosphorylated form in these cells. This possibility was examined by Western blot using whole-cell extracts of resting as well as LPS-activated N-PEM and T-PEM. IκBα was expressed constitutively in both N-PEM and T-PEM at similar levels (Fig. 4A); yet, on LPS activation, its amount decreased significantly to similar levels in both cell types. When the phosphorylated form of IκBα (p-IκBα) was examined, it was observed that both cell types exhibited increased levels of phosphorylated IκBα on LPS activation; however, there were no prominent differences in its expression between N-PEM and T-PEM. Thus, both IκBα and its phosphorylation remain intact in T-PEM and do not explain the down-regulated binding activity of NFκB observed in T-PEM. The presence of IKKα and IKKβ proteins, the two kinase domains of the IKK complex responsible for the IκB phosphorylation (25), was also assessed in both groups of macrophages. As shown in Fig. 4B, IKKα was strongly expressed in both N-PEM and T-PEM but was not modulated by LPS in either cell type, and there were no differences in its expression levels between N-PEM and T-PEM. On the other hand, IKKβ protein could be detected neither in N-PEM nor in T-PEM.
Nuclear factor κB and CCAAT/enhancer binding protein nuclear translocations are reduced in peritoneal macrophages from tumor bearers. The diminished binding activities of NFκB and C/EBP to the IL-12p40 and iNOS promoter regions in T-PEM may be also due to their decreased nuclear translocations in these cells. To examine this possibility, we analyzed nuclear extracts from N-PEM and T-PEM, with and without activation with LPS, by Western blotting. Figure 4C shows that unstimulated N-PEM show very little NFκB nuclear protein whereas after LPS activation for 1 hour, NFκB p50, p65, and c-rel translocate to the nucleus. However, a dramatic decrease in the amounts of p65, p50, and c-rel proteins can be observed in the nucleus of T-PEM after 1 hour of LPS stimulation, especially in the case of p65. Furthermore, the nuclear translocation of both C/EBPα and β was substantially reduced in T-PEM as compared with N-PEM, especially C/EBPα although LPS did not modulate C/EBP in either cell type, as was also shown by EMSA.
Although peritoneal macrophages from tumor bearers exhibit a decreased production of interleukin-12, they do not seem to be M2 macrophages. Low IL-12 production accompanied by increased IL-10 expression is associated with macrophages of the M2 phenotype (26). To analyze whether T-PEM isolated from mice bearing advanced (4-week) tumors behave as M2 macrophages, their IL-10 expression levels were studied. Figure 5 shows that the production of IL-10, although somewhat variable, revealed no significant differences between the amounts produced by N-PEM and the levels expressed by T-PEM at various times after tumor implantation.
Discussion
Peritoneal macrophages from mice bearing advanced D1-DMBA-3 mammary tumors are profoundly dysfunctional, and among other defects, they exhibit depressed levels of IL-12 (12) and iNOS (11). An association of these deficiencies with decreased binding activities of the transcription factors NFκB and C/EBP in macrophages from tumor bearers has been documented. Because NFκB...
and also C/EBP play central roles in the control of inflammation and immunity, they represent ideal targets for tumors to disrupt immune responses (27). Using animal models and human tumors, Sica et al. (28) have also found a strong association between a decreased production of IL-12 and a diminished binding activity of NFκB in tumor-associated macrophages.
One reason why reduced binding activities of NFκB and C/EBP to the IL-12p40 and iNOS promoters are exhibited by macrophages from tumor bearers is that there is a diminished amount of these transcription factors in these cells. We have consistently observed that nonstimulated T-PEM show decreased protein expressions of NFκB and C/EBP as compared with macrophages from normal mice. Very little is known about the regulation of NFκB and C/EBP expressions because the majority of information published relates to their function. In the studies by Sica et al. (28), these investigators did not evaluate whether there was an effect on the constitutive levels of expression of NFκB in tumor-associated macrophages. Reports of decreased NFκB expression in the context of disease states are very scarce in the literature. Wong et al. (29) showed that interleukin-2-deficient T cells from systemic lupus erythematosus patients are characterized by diminished binding activity of NFκB and decreased expression of the NFκB p65 protein. In a recent study, Kessel et al. (30) have shown that increased CD8+ T-cell apoptosis in systemic sclerosis patients is associated with low levels of NFκB p50. These authors emphasize that the specific mechanisms that lead to the decreased levels of NFκB in these cases are unclear.
Another possible explanation for the decreased binding activity of NFκB in T-PEM could be the existence of altered levels of IκBα, its phosphorylated form, or members of the upstream kinase complex IKK responsible for the phosphorylation of IκBα (31, 32). However, no evidence for dissimilar expression of IκBα or p-IκBα between N-PEM and T-PEM was found. Very recently, Lawrence et al. (33) described a new role for IKKα in the negative regulation of macrophage activation and inflammation, in which IKKα contributes to suppression of NFκB activity by accelerating both the
**Figure 4.** Expression and nuclear translocation of NFκB and C/EBP proteins is diminished in macrophages from tumor bearers. PEM from five normal animals and five 4-week tumor bearers were isolated, pooled, and cultured before obtaining whole-cell extracts or nuclear proteins for Western blot analyses. A, whole-cell protein was isolated from resting N-PEM and T-PEM and the levels of the NFκB family members p50, p65, and c-rel, as well as of C/EBPα and β, were investigated. Histogram shows densitometry results expressing percentages of protein expression down-regulation in T-PEM, as compared with N-PEM, after standardization with β-actin. B, whole-cell protein was isolated from N-PEM and T-PEM with and without LPS treatment for 1 hour, and the presence of IKKα, IκBα, and p-IκBα was assessed. Histograms show densitometry results expressing relative units standardized with β-actin in which values are referred to unstimulated N-PEM. C, nuclear extracts were obtained from N-PEM and T-PEM with and without LPS activation for 1 hour and the nuclear translocation of the various NFκB and C/EBP components was assessed. Histogram expresses relative units standardized with β-actin and values are referred to unstimulated N-PEM. Mouse β-actin was used to assess that equal amounts of protein were loaded in the gels. In all the cases, results are from representative experiment of four different ones with similar outcome. Columns, mean of the data obtained from the different experiments; bars, SD.
turnover of p65 and c-rel and their removal from proinflammatory gene promoters. Yet, our results showed no significant differences between the levels of IKKα expression in either cell type. Therefore, it is unlikely that deficiencies in the phosphorylation of IkBα account for the decreased binding activity of NFκB observed in T-PEM.
If a down-regulated nuclear translocation of NFκB and C/EBP occurs, this could be another underlying cause of the deficient binding activities of these transcription factors in T-PEM. Our data show that there is a severely reduced nuclear translocation of NFκB p65, p50, and c-rel in T-PEM. Furthermore, a diminished nuclear translocation of C/EBPα and β was also observed in T-PEM.
Our studies provide evidence that the mammary tumor used in our studies induces a down-regulated expression of transcription factors that may affect macrophage functions in T-PEM, favoring tumor escape. Sica et al. (28) have shown in different experimental and human tumors that increased IL-10 production, via the inhibition of NFκB activity, is the cause of decreased levels of proinflammatory IL-12 observed in tumor-associated macrophages. Whether the deficient NFκB binding activity observed by these authors is due to decreased expression and nuclear translocation of NFκB in these cells is not known. IL-10 is an inducer of a distinct activation program in macrophages (M2 macrophages) that down-regulates inflammatory responses and adaptive Th1 immunity and promotes angiogenesis and tissue remodeling (26). As shown in Fig. 5, we have not observed such an increase in IL-10 production in peritoneal macrophages from mice bearing D1-DMBA-3 tumors with different degrees of progression, suggesting that they are not of an M2 phenotype. The finding of these down-regulations in T-PEM, which in contrast to tumor-associated macrophages are not in direct contact with the tumor, further underscores the potency of tumor-derived factors that are capable of acting far from the tumor milieu on peripheral macrophages.
In contrast to cancer cells, which usually have an up-regulated NFκB activity (34), our studies show a decreased activity and diminished NFκB and C/EBP protein expressions in macrophages from tumor hosts. We propose that tumor-derived factors may operate as modulators of NFκB and C/EBP expression, two transcription factors that are crucial for an adequate immune response, providing a novel mechanism of tumor evasion.
Acknowledgments
Received 2/2/2005; revised 8/30/2005; accepted 9/2/2005.
Grant support: NIH grant R01 CA55583.
The costs of publication of this article were defrayed in part by the payment of page charges. This article must therefore be hereby marked advertisement in accordance with 18 U.S.C. Section 1734 solely to indicate this fact.
We gratefully acknowledge the help of Michelle Perez and Lynn M. Herbert with the preparation of this manuscript.
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JUSTICE HOFFMAN delivered the judgment of the court.
Justices Lampkin and Martin concurred in the judgment.
ORDER
¶ 1 Held: We affirmed the defendant’s driving under the influence of alcohol conviction over her speedy-trial arguments where she was retried within a reasonable period of time after a mistrial was declared in her first trial.
¶ 2 The defendant, Suzanne Canzoneri, appeals from the judgment of the circuit court finding her guilty of driving under the influence of alcohol (DUI) (625 ILCS 5/11-501(a)(1) (West 2014)) and sentencing her to 18 months’ conditional discharge with fines totaling $2300. On appeal, the defendant contends that the trial court committed plain error when it failed to try her prior to the
speedy-trial “term date” and, alternatively, that she was denied the effective assistance of counsel when trial counsel failed to move for her discharge as a result of the speedy-trial violation. For the reasons that follow, we affirm.
¶ 3 On May 8, 2015, the defendant was charged by complaint with two counts of driving under the influence of alcohol and one count of failing to reduce speed to avoid an accident. The matter was continued numerous times “by agreement.” On May 8, 2017, the defendant pled guilty to DUI and to failure to reduce speed to avoid an accident. On June 7, 2017, the defendant filed a motion to withdraw her guilty plea, which the circuit court granted on July 21, 2017. The matter was continued again and set for a jury trial on May 1, 2018.
¶ 4 On May 1, 2018, the defendant answered ready for trial, but the State answered not ready. The State moved to admit proof of other crimes, specifically a prior DUI conviction. Following argument, the circuit court held that the prior conviction was inadmissible because the danger of prejudice was too high. For the first time, the defendant filed a speedy-trial demand. The matter was continued on motion of the State to May 11, 2018. On May 11, 2018, the matter was set for trial on September 24, 2018.
¶ 5 On September 24, 2018, the circuit court commenced a jury trial. During cross-examination by the defendant of an investigating police officer the following exchange occurred:
“Q. Okay. Now, looking at Defendant's Exhibit No. 1, when you prepared this Illinois State Police Tow-In Report, isn't it true that you wrote down at 11:01:55 on 04/29/15, 24-hour DUI hold?
A. Yes.
Q. Okay. Wait, I'm confused here. You got there 15 minutes after the accident occurred, right?”
A. Yes.
Q. You testified that while you were there, there was no indication that this was a DUI investigation, correct?
A. Correct.
Q. But 15 minutes later, prior to you going to the hospital, you create a tow report that says 24-hour DUI hold, how is that possible?
A. It was changed after she was placed under arrest for DUI. I found out that she had one prior.”
Defense counsel objected and, outside the presence of the jury, moved for a mistrial. Defense counsel argued that the witness intentionally introduced evidence of a prior conviction with the intent of “sabotaging” the trial. The State argued that there was nothing intentional or malicious. Following argument the circuit court ruled as follows:
“State, it’s your witness. When you prep your witnesses, you need to make clear what they can get into and what they are not allowed to get into. It’s your witness, it’s your responsibility, it’s your burden.
Motion for a Mistrial is granted based on the violation of my ruling on the Motion to Admit Proof of Other Crimes. And today was the agreed term date. So this is it. It’s 5:05. You’re not getting another date. Next time prep your witnesses correctly.”
¶ 6 On September 28, 2018, the State moved to reconsider the circuit court’s order denying the State a retrial. The State argued that following a mistrial it was allowed to retry the defendant in a reasonable time. On October 3, 2018, the circuit court set a briefing schedule on the State’s motion and continued the matter until November 8, 2018. The State argued that the delay should be treated
as the defendant’s motion, but the circuit court agreed with the defendant that it should be treated as “order of the court.”
¶ 7 On November 8, 2018, the circuit court granted the State’s motion to reconsider, but ruled that “they’re getting one date to get this trial done. And if it’s not done that day or if we run into the issue again, then I’ll dismiss the case at that time with prejudice.” The circuit court continued the matter to November 20, 2018, for status.
¶ 8 On November 20, 2018, the State told the court that, because December was a “short month” and judges were “out,” it had explored January dates with the witnesses. The defendant continued her trial demand. The circuit court set the matter for trial on January 7, 2019.
¶ 9 On January 7, 2019, the defendant waived her right to a jury trial, and the circuit court commenced a bench trial. Following trial, the circuit court found the defendant guilty of one count of DUI (625 ILCS 5/11-501(a)(1) (West 2014)) and not guilty of the remaining counts.
¶ 10 On January 9, 2019, the defendant moved to reconsider the court’s judgment and moved for a new trial. The motion did not raise a speedy-trial argument. On January 22, 2021, the circuit court denied the defendant’s motion and sentenced her to 18 months’ conditional discharge and fines of totaling $2300. This appeal followed.
¶ 11 On appeal, the defendant contends that the circuit court erred when it retried her in violation of the statutory and constitutional speedy trial requirements. The State responds that the defendant forfeited the issue by failing to raise it below. In reply, the defendant urges us to consider it under the plain error doctrine.
¶ 12 Under the plain error doctrine a reviewing court may consider an unpreserved error when a clear or obvious error occurred and: (1) the evidence is so closely balanced that the error alone threatened to tip the scales of justice against the defendant, regardless of the seriousness of the
error; or (2) the error is so serious that it affected the fairness of the defendant’s trial and challenged the integrity of the judicial process, regardless of the closeness of the evidence. *People v. Lewis*, 2019 IL App (1st) 160705, ¶ 26 (citing *People v. Sebby*, 2017 IL 119445, ¶ 48). The first step under either prong of the plain-error analysis is to determine whether an error occurred at all. *Id.*, ¶ 27.
¶ 13 “In Illinois, a defendant has both a constitutional and a statutory right to a speedy trial.” *People v. Cordell*, 223 Ill. 2d 380, 385 (2006) (citing U.S. Const., amends. VI, XIV, Ill. Const. 1970, art. I, § 8, and 725 ILCS 5/103-5 *et seq.* (West 2002)). The statutory and constitutional rights, however, are not coextensive. *Id.* (citing *People v. Gooden*, 189 Ill. 2d 209, 217 (2000)).
¶ 14 Section 103-5(b) of the Code of Criminal Procedure of 1963 (Code) (725 ILCS 5/103-5(b) (West 2018)) provides:
“Every person on bail or recognizance shall be tried by the court having jurisdiction within 160 days from the date defendant demands trial unless delay is occasioned by the defendant, by an examination for fitness ordered pursuant to Section 104-13 of this Act, by a fitness hearing, by an adjudication of unfitness to stand trial, by a continuance allowed pursuant to Section 114-4 of this Act after a court's determination of the defendant's physical incapacity for trial, or by an interlocutory appeal. The defendant's failure to appear for any court date set by the court operates to waive the defendant's demand for trial made under this subsection.”
Generally, this statute operates to avoid constitutional speedy-trial issues from arising. *People v. Crane*, 195 Ill. 2d 42, 48 (2001).
¶ 15 Following a mistrial, a defendant must be retried within a “reasonable” period of time. *People v. Bradshaw*, 2020 IL App (3d) 180027, ¶ 28 (citing *People v. Bazzell*, 68 Ill. 2d 177, 182
(1977)); see also *People v. Dixon*, 87 Ill. App. 3d 814, 816-17 (1980) (holding that a defendant must be retried in a reasonable time where a witness called by the State referred to excluded matters). In such circumstances, courts are concerned with the constitutional right to a speedy trial rather than the statutory timeline. *Bradshaw*, 2022 IL App (3d) 180027, ¶ 27. When a constitutional speedy-trial issue arises, the record in its entirety must be examined to determine whether a defendant’s rights have been violated. *Crane*, 195 Ill. 2d at 48. Four factors have been identified to guide courts in making this determination: (1) the length of the delay; (2) the reasons for the delay; (3) the prejudice, if any, to the defendant; and (4) the defendant’s assertion of his or her right to a speedy trial. *Id.* (citing *Barker v. Wingo*, 407 U.S. 514, 530 (1972)). A constitutional speedy-trial violation will not be conditioned on the presence or absence of any single factor. *Id.* at 60.
¶ 16 Where the circuit court has made factual findings we review them against the manifest-weight-of-the-evidence standard. *Crane*, 195 Ill. 2d at 51. However, when the circuit court applies the *Barker* factors to weigh the interests of the State against the interests of the defendant in light of the circumstances of the case, there is no need to defer to the circuit court, and we review the decision *de novo*. *Id.* at 51-52.
¶ 17 Here, the parties do not dispute that the defendant’s jury trial was commenced within the 160-day period required by section 103-5(b) of the Code. The defendant was not in custody, and she did not demand trial until May 1, 2018. Accordingly, when the jury trial commenced on September 24, 2018, only 146 days of the statutory term had elapsed.
¶ 18 Following the circuit court’s September 24, 2018, order declaring a mistrial, the defendant’s retrial trial began on January 7, 2019, 105 days following the mistrial. The question before us is whether that delay was reasonable. See *Bradshaw*, 2020 IL App (3d) 180027, ¶ 28.
Although no single factor is sufficient to conclude that a speedy-trial violation has occurred, the length of delay is, to an extent, a triggering mechanism, and delays of less than a year do not generally trigger a speedy-trial inquiry. *Id.* Even considering the delays together, less than a year elapsed between the defendant’s initial demand for trial on May 1, 2018, and her retrial on January 7, 2019. Therefore, the delay was presumptively reasonable.
¶ 19 Even if we did consider the delay sufficient enough to trigger further speedy-trial inquiry, we find that the remaining *Barker* factors do not favor a finding that the delay was unreasonable. According to the State, the delay in commencing the defendant’s retrial was attributable, in part, to the difficulty of scheduling witnesses during the December holiday season. We conclude that a short delay to accommodate witness scheduling is not inherently unreasonable. See *People v. Garcia*, 251 Ill. App. 3d 473, 482 (1993) (holding that the trial court did not abuse its discretion when it allowed an extension of less than 60 days to the statutory speedy-trial term to secure the presence of a material witness.). The defendant has not argued that she was prejudiced by the delay, and the record does not reflect any prejudice not inherent in constitutional speedy trial considerations. See *People v. Kaczmarek*, 207 Ill. 2d 288, 300 (2003) (holding that anxiety and concern over pending charges are present to some extent in every case and “this inconvenience alone is of slight import.”) Finally, although we recognize that, after May 1, 2018, the defendant was consistent in the assertion of her right to a speedy trial, considering all four *Barker* factors together, we cannot conclude that the delay was unreasonable or violated the defendant’s constitutional speedy-trial rights.
¶ 20 The defendant appears to argue that, because the mistrial was “caused” by the State, the State was required to retry her within the statutory term of 160 days from May 1, 2018, the date that she demanded trial. She contends that “the speedy trial period begins running and is calculated
for refiled charges from the time when the charges were first filed.” However, unlike the cases cited by the defendant, this case does not involve a situation in which charges were dismissed and later refiled; rather, it involves a situation in which the defendant’s first trial ended in a mistrial and she was later retried.
¶ 21 The defendant attempts to distinguish the holding in *People v. Dixon*, which found that, following a mistrial, the defendant must be retried within a reasonable period of time. *Dixon*, 87 Ill. App. 3d at 817. The defendant contends that “[h]ere, unlike *Dixon* where the defendant was tried well within the term and various delays were found to be occasioned by the defendant, the Defendant in the present case was not tried within the statutory term.” Contrary to the defendant’s contention, however, a reading of *Dixon* reveals that the defendant in that case was actually retried 137 days after the beginning of the statutory 120-day term applicable to an individual in custody. The court in *Dixon* found that the State’s speedy trial obligation to the defendant was met when it originally brought the defendant to trial within the 120-day term, leaving the issue of whether the defendant’s constitutional right to a speedy trial had been violated, rather than whether after the mistrial the retrial was commenced within a statutory period. *Dixon*, 87 Ill. App. 3d at 817. Just as in *Dixon*, the State met its statutory speedy trial obligation in this case when it originally brought the defendant to trial within the 160-day term as provided in section 103-5(b) of the Code, and just as in *Dixon*, the defendant’s retrial took place after the expiration of the statutory period. The instant case is factually indistinguishable from the circumstances present in *Dixon*. We conclude, therefore, that, just as in *Dixon*, the issue before this court is whether the defendant’s constitutional right to a speedy trial was violated, not whether after the mistrial the defendant’s retrial was commenced within the 160-day period provided in section 103-5(b) of the Code.
§ 22 Having determined that, considering all four *Barker* factors together, we cannot conclude that the delay in conducting the defendant’s retrial was unreasonable or violated her constitutional speedy-trial rights, it follows that the circuit court did not err by retrying the defendant 105 days after declaring a mistrial. Because there was no error, there can be no plain error. See *Lewis*, 2019 IL App (1st) 160705, ¶ 36.
§ 23 Alternatively, the defendant argues that she was denied the effective assistance of counsel when her attorney failed to demand her discharge as a result of the alleged speedy-trial violation. To establish a claim of ineffective assistance of counsel, a defendant must demonstrate that her counsel’s performance was deficient and that she was prejudiced by that deficiency. See *People v. Jones*, 2018 IL App (1st) 151307, ¶ 18. However, the failure to assert a speedy-trial violation cannot satisfy either prong of the analysis where there is no basis for arguing a speedy-trial violation. *Id.* ¶ 19. As there was no speedy trial violation in this case, there was no violation of the defendant’s right to the effective assistance of counsel based on the failure to assert a speedy-trial violation. See *Id.*
§ 24 For the reasons stated, we conclude that the defendant was not retried in violation of section 103-5(b) of the Code or the speedy-trial provisions of the federal and state constitutions, and there was no violation of the defendant’s right to the effective assistance of counsel. Accordingly, we affirm the defendant’s conviction and sentence.
§ 25 Affirmed. |
The Timeless Flight of the Rocketman
An interview with G. Harry Stine, AKA Lee Correy • Pg.2
Holland’s Intercon Trip Report
Larry Niven talks about being a Guest of Honor • Pg.26
Have You Found a Meteorite?
Objects from outer space in your backyard • Pg.7
Who’s Buried in Hunt’s Tomb?
Supernatural horror and Arizona politics • Pg.28
TV’s Newest Sci-Fi Series
Learn all about Babylon 5 • Pg.21
About ConNotations...
ConNotations is the fan-published magazine of the Central Arizona Speculative Fiction Society (CASFS), an IRS-recognized 501(c)3 non-profit organization. Quarterly publication dates are the first of February, May, August, and November each year. Circulation is to over 10,000 readers for this issue, mainly to members of CASFS and attendees of recent Arizona s/f conventions. If you know of someone who would like to receive this magazine, please send us their name and mailing address. This magazine is sent free of charge for the purpose of expanding science fiction/fantasy appreciation and to spread the news of regional science fiction/fantasy conventions and events.
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Dear Two-Headed Dragon,
The ConNotations magazine arrived in a most timely manner, today. It was one more piece of good luck on this Friday the 13th; it started with a smile from a black cat. Fan Facts was the first stop, best gossip I never read. Upcoming Events and Classified Ads are must-reads. Check out the [Con] reviews, compare it with my own notes and wax nostalgic. Wow, books reviews, well-spoken and diverse — hey I read that, yessir. But the real fun comes in the ads. Things wild and wicked, unknown and needed, new and unusual, seasonal and welcome and destined to be used. As yourselves say, "People read these and use them." Congratulations on the start of Volume 2.
Fannishly,
Zetta Konrardy, Tempe, AZ
Editors,
Thanks for your continuing support of my need to know about events and friends in
Who’s Who This Issue
Editors
Matthew Frederick
Margaret Grady
Renegade Editor
Bruce Farr
Contributing Editors
Jeanne Hilary-Burroughs
M.R. Hildebrand
Staff Writers
Jeff Caslake
Adam Niswander
Jennifer Schreiber
Shane Shellenbarger
Lee Whiteside
Randall Whitlock
Staff Artist
Donald Birmingham
Contributors
Pam Allan
Peter Aronson
Bruce D. Arthurs
Barry Bard
Joe Bethancourt
Mark Boniece
Ann Braude
Eric Hanson
David J. Hiatt
Kim L. Martin
Larry Niven
G. Harry Stine
Steve Burroughs
Advertising Manager
Classifieds Manager
Jeanne Hilary-Burroughs
Typesetting, Layout, & Design
Matthew Frederick
Margaret Grady
Art Credits
Donald Birmingham (3, 20, 28, 29–32)
Liz Danforth (cover, 19, 27)
Jeanne Hilary-Burroughs (8, 22)
Phil Tortorici (32)
Alan White (15)
Photo Credits
Beth Gwinn (19)
Bill Hall (12)
Randall Whitlock (7)
Mailing Squad
Donald Birmingham
Kevin Birnbaum
Mark Boniece
Bruce Farr
Kim Farr
Matthew Frederick
Amy Gould
Margaret Grady
Jeanne Hilary-Burroughs
Ethan Moe
Eileen Phillips
Randall Whitlock
Thank you all very much!
Mah-velous Llama Compliments
The Fernando Llamas
We, the Editors, would like to personally thank the friends of ConNotations who have generously donated some of their hard-earned buckaroonies:
Daniel Arthur
John Hoffman
Zetta & Shadrick Konrardy
M.G. Raymer
Cristi & Sleepyhawk Simila
FROM THE COVER
2 The Timeless Flight of the Rocketman
An interview with the incredible G. Harry Stine, AKA Lee Corey. A great science fiction author, NASA advisor, and the Father of Model Rocketry, G. Harry Stine has led a fantastic life.
Interviewed by Adam Niswander
7 Have You Found a Meteorite?
Meteorites are the only items on this planet from outside the Earth-Moon system, and you may already own one!
By Randall Whitlock, M.S., G.i.T., B.F.D.
21 Science Fiction Media Notes
The inside scoop on television’s upcoming Babylon 5, and more.
By regular columnist Lee Whiteside
26 Intercon Trip Report
An inside look at Holland’s every-other-year convention from the Guest of Honor’s viewpoint.
From Larry Niven
28 Who’s Buried in Hunt’s Tomb?
Supernatural horror and Arizona politics — two peas in a pod.
Fiction by Peter Aronson
ALSO FEATURED
8 Goddesses, Wizards, and Star Ships
The first two chapters of G. Harry Stine’s newest work.
Fiction by G. Harry Stine
14 How to Enter a Masquerade
A humorous and informational look at convention masquerades.
By Randall Whitlock
18 Lady of the Fantastic: a Profile of Jennifer Roberson
The fiction and facts of WesterCon’s Author Guest of Honor.
Interviewed by Shane Shellenbarger
19 Whatever Happened to the Picts?
A tongue-in-cheek historical look at an anthropological mystery.
By Joseph of Locksley
40 Where Do We Go from Here?
The danger in fandom — in Arizona and nationwide.
Commentary by Matthew Frederick
SCIENCE FICTION CONVENTIONS
3 WesterCon 45 Update (July 2–5, 1992)
12 HexaCon 2 Review by HexaCon 2 Chair Mark Boniece
33 CopperCon 12 Update (September 11–13, 1992)
REGULAR FEATURES
6 Club Spotlight
The United Federation of Phoenix.
Lee Whiteside
13 Sound Off
Fannish behavior.
Eric Hanson
15 Staples & Ink
A look at summer comics.
Jeff Caslake & Jennifer Schreiber
16 The LepreCon Pages
• The Future of LepreCons
Eric Hanson & David J. Hiatt
• LepreCon 18 In Review
Eric Hanson
20 Fan Facts
High honors, small matters, & ouch!
Jeanne Hilary-Burroughs
21 Science Fiction Media Notes
A delay for Babylon 5 and more.
Lee Whiteside
22 Costuming 101
• Part 4: Hall Costumes
• The Buckskin Dress
Jeanne Hilary-Burroughs & Kim Martin
23 ConSequiturs
It’s not the law, but it should be.
Bruce Farr
24 Regional Pro News
Authors and artists near you.
Adam Niswander
34 Summer ’92 Book Reviews
A great assortment of books, new and old.
42 Conchinias
Another educational chuckle.
Jeanne Hilary-Burroughs
Plus...
6 Upcoming Events
25 ConNotations Classifieds
25 Generic Convention Reg Form
32 ConDemented Cartoon
44 Clubs & Organizations
45 Convention Calendar
An Interview with G. Harry Stine...
The Timeless Flight of the Rocketman
By Adam Niswander
ConNotations: Harry, you've been around science and science fiction for a long time. Give us a brief biography.
G. Harry Stine: Born in Philadelphia in 1928. Degree in Physics; Chief of Controls and Instruments Section, White Sands Proving Grounds, U.S. Naval Ordinance Missile Test Facility; engineering jobs in design; and consulting jobs in the aerospace industry; first book published in 1953; called the Father of model rocketry. Currently a freelance writer and head of The Enterprise Institute, a Phoenix-based "Think-Tank."
CN: You and Barbara were married when?
GHS: 10 June 52.
CN: When were you first published and paid for it? Was it fiction or fact?
GHS: It was fiction — a story called Galactic Gadgeteers. It was bought by John W. Campbell at Astounding in 1951 (May cover story). Interestingly enough, that story could have served as a Star Trek script but it had one flaw — there were no women in the crew.
CN: How many novels have you written?
GHS: 22 novels — nine as Lee Correy, though there was a big gap in the middle there (there were no Lee Correy novels from 1957 to 1980). Nothing came out in fiction between Contraband Rocket and Star Driver — I was working on non-fiction during those years.
CN: How many individually authored non-fiction books?
GHS: Six, and one comic book.
CN: What was your favorite of each?
GHS: The Handbook of Model Rocketry had had five editions, and The Third Industrial Revolution — both had at least short term impacts when they came out. As far as fiction goes, the most recent is always my favorite.
CN: How long have you been writing The Alternate View?
GHS: Started in 1979 — planned to be a column every other month. It turned out to be a lot more than that.
CN: With your longevity, you have hob-nobbed with the best and brightest. Who was the most influential scientist in your life?
GHS: Dr. Clyde Taumbaugh, no question.
CN: Who were the most influential writers in your life?
GHS: Again, no question. Robert Heinlein and John W. Campbell. Like Heinlein, I believe technology is a tool for human beings. If you use it incorrectly, it lets you know. I'm always interested in the question, "How do we use it?"
CN: You are called the Father of Model Rocketry. How did you get so involved in it? When did you write the Handbook?
GHS: Involved? No, I started it. That was my deal with White Sands. There were all these kids writing letters, wanting to know everything about how to build their own rockets. The first Handbook of Model Rocketry was written in 1964 and published in 1965. There have been five editions to date. I'm getting ready to sign the contract for the sixth edition. It will be due next year.
CN: What years did you work at White Sands? Give us a chronology.
GHS: In 1951, I worked there between my college junior & senior years. Then I was employed there from 1952-57 and worked on the rocket engine test stands. That was where I got to know Werner Von Braun. Then the Navy offered me a civilian job as an operations engineer. I became flight safety engineer and got to blow up the failures. (He holds up his hand) I have a $5 million finger. Everything I learned there is in the model rocketry material.
There was a shoe store owner in Norfolk, Nebraska who wrote me a letter, thanking me for the safety guidelines and kids orientation. He was a fireworks expert — made them in his basement. His brother was into model airplanes. He combined them and invented model rockets. His name was Orville Carlyle. My contribution had to do with standardizing safety regulations and promoting the hobby.
CN: Your book from Ace titled Earth Satellites and the Race for Space Superiority got you in hot water. Exactly what happened?
GHS: At the time, I was working on the Titan Missile for Martin in California. Everyone knew you could turn a Titan into a space vehicle — the Russians were doing the same thing. The night Sputnik went up they called two people — Heinlein and Stine — I just told what I had said in the book. We didn't have an ICBM and the Russians did. Martin fired me the next day — not for breach of security, but because I spoke to the press without their permission.
After that, I was Science advisor to CBS during the Apollo mission. Walter Cronkite and Arthur C. Clarke sat up on the platform and I sat just below, passing pieces of paper (scripts) up through a hole in the floor to Cronkite. "Here, Walter, this is what you say next."
Rocket to page 42...
WESTERCOLT .45
SCIENCE FICTION CONVENTION
The 45th Annual Westercon
July 2-5, 1992
The Omni Adams
Phoenix, Arizona
4 FULL DAYS ARE JUST $60!
ONE-DAY MEMBERSHIPS AVAILABLE AT THE DOOR
With Guests of Honor
FANTASY AUTHOR
Jennifer Roberson
STAR TREK: THE NEXT GENERATION ARTIST
Rick Sternbach
SCIENCE FICTION AUTHOR AND TOASTMASTER
Wilson "Bob" Tucker
HUGO-WINNING FAN AUTHOR/PUBLISHER
Pat Mueller
PLUS
AUTHORS: MARION ZIMMER BRADLEY • HAL CLEMENT • RICK COOK • ANNE McCAFFREY
LARRY NIVEN • MICHAEL STACKPOLE • G. HARRY STINE
ARTISTS: ALICIA AUSTIN • FRANK KELLY-FREAS
GAME DESIGNER
KEN ST. ANDRE
TV'S BABYLON 5 PRODUCER
J. MICHAEL STRACZYNSKI
COMIC BOOK WRITERS AND EDITORS
MARV WOLFMAN & LEN WEIN
MORE INFORMATION ON THE NEXT TWO PAGES!
CHAIRMAN'S MESSAGE
Once more into the breach, dear friends... er, cowpokes. Another Westercon is almost upon us, and gosh are we excited! In the flavor of the Old West, our convention is named "WesterColt .45," in honor of the 45th annual Westercon (us, that is).
The site of this year's Westercon will be the Omni Adams Hotel, which hosted the 1988 Westercon (it was a Hilton then). It's the site of almost all convention functions and is the official party hotel. Our plans are to coordinate the decor around the facility to give everything a Western feel (no jokes). For the Masquerade, we'll be using one of the best staging facilities ever: Symphony Hall. It has professional dressing rooms, permanent seating for 2400... you name it.
We're pleased to be featuring our Guests of Honor: author Jennifer Roberson, *Star Trek: The Next Generation* artist Rick Sternbach, fan writer and Hugo winner Pat Mueller, and author/toastmaster Wilson "Bob" Tucker. We're also pleased to have Marion Zimmer Bradley, Anne McCaffrey, and many other professionals confirmed as participants in our program.
We're looking forward to seeing all 1,600 of you in Phoenix, July 2-5, 1992... pardners!
MASQUERADE
Throw open the barn doors! The show's ready to start! (WesterColt's Masquerade, that is, pardner.) WesterColt's Masquerade will be held at 7:30 pm on the evening of Friday, July 3 in the Phoenix Symphony Hall, located conveniently within 2 blocks of the Omni Adams Hotel. It will feature professional quality staging and lighting operated by a professional crew.
Since the Masquerade is on Friday this year, it is extremely important that you register in advance. *All entries must be received before 6pm Thursday, July 2, 1992.* Advance entries must be in the mail by June 18 to make this deadline.
You're invited to enter the Masquerade and join in the fun — entries and inquiries should be directed to Gail Wolfenden-Steib — call her at (602) 967-7063 before 11pm Mountain Standard Time.
GUEST OF HONOR INFORMATION
JENNIFER ROBERSON
Jennifer lives here in the Phoenix area with her husband, Mark O'Green. She writes fantasy under her own name and occasionally writes romance novels as Jennifer O'Green. Her fantasy novels include two series, the eight-volume dynastic "Chronicles of Cheysuli", and the recently completed "Sword Dancer" saga. Her final Cheysuli novel, *A Tapestry of Lions*, is set for October, and her 257,000 word *Lady of the Forest*, a Robin Hood novel written from Maid Marian's perspective, will be out later this year. She is a past Rodeo Queen, still loves to ride horses, and trains dogs.
RICK STERNBACH
Rick started out as an astronomical artist and was talented enough to have landed a job with *Star Trek: The Next Generation* as their art director. He has published a technical manual on *ST:TNG* along with his cohort on the show, Michael Okuda, which is already in a second printing after making the bestseller's list for many weeks. We are fortunate to have Rick as our Artist GOH.
WILSON "BOB" TUCKER
Tucker, as he likes to be called, has been around a long time, both as a fan and an author, and has made tremendous contributions towards the advancement of science fiction fandom. Phoenix's local CopperCon had him as Fan GOH several years ago and he was very pleasant and entertaining. He is an excellent speaker in front of an audience and he should fill the title of Toastmaster for WesterColt .45 quite well.
PAT MUELLER
Pat Mueller is a Hugo-Award-winning-editor/writer/publisher of many fanzines. Her work includes the aforementioned award-winning *Texas SF Inquirer* and *Pirate Jenny*. She was instrumental in helping to put on the 1985 Austin NASFiC as well as many other conventions. Pat lives with her husband Dennis Virzi and their 3-year-old daughter in Austin and is being honored at WesterColt for her contributions to published fandom.
PROGRAMMING
We have over a hundred pros and fans planning to participate this year in our program — there's a small sampling of them on the front cover. We'll be bringing you up to nine program items at a time during the day with up to seven at night. The program will include Regency Dancing, Benefit Auctions, and panels on Science Fiction, Fantasy, and Horror Literature; Comics; Art; Gaming, Costuming; Writing; Science; Autograph Sessions; and much, much more!
GAMES & DIVERSIONS
We've got more tournaments than you can shake a stick at (and we can shake a stick at a lot of tournaments) with prizes galore: *Call of Cthulhu, Pendragon, Harmmaster, Quebec, Other Suns, Villains & Vigilantes, BattleTech, Shadowrun, Centurion, Nuclear War, Tunnels & Trolls, Dark Conspiracy, Twilight 2000, Fantasy Battle, Warhammer FRP, Warhammer 40000, Blade-Storm, Cyberspace, Champions, Aliens, Living Steel, British Rails, Euro-Rails, Rifts, Car Wars, GURPS Cyberpunk, GURPS Horror, GURPS Fantasy, Star Fleet Battles, Cyberpunk, Mekton II, Paranoia, TORG, Junta, Vampire, Star Force Terra, Naval Battles, and Micro-armour.*
We'll also have the ever-popular check-out gaming. We will also have a miniatures painting contest, with prizes for small figures, large figures, mechs and vehicles, and vignettes & dioramas. And don't forget the ever-popular game auction on Sunday.
CONSUTE
Howdy, pardners! This here's the Head Wrangler for the WesterColt .45 ConSuite, passin' along the latest word on what's going on. We'uns is gonna have fun this year, with squirt gun target shoots, good grub, and music!
We is going to set up the "Best Westercon Museum West of the Pecos". This one needs help from y'all. If you've got any WesterCon mementos, like pictures, badges, or whatever, please let us borry it. We promise to take right good care of it, and get it back to you after the con. Contact Jeanne or Steve Burroughs at (602) 973-2054.
So head 'em up and move 'em out, to WesterColt .45, and the ConSuite — we're rustlin' up some tee-rific vittles!
ART SHOW
Some incredible examples of science fiction and fantasy art from the genre's best artists will be on display and for sale this year. Our art auction will be held on Sunday afternoon.
FACILITIES
The primary hotel for WesterColt .45 will be the Omni Adams (aka Phoenix Sheraton/Hilton/Adams Hotel, near the downtown Hyatt). The Omni is located at 111 N. Central Avenue, Phoenix, AZ 85004, phone (602) 257-1525. Almost all functions will be in this hotel. Parking in the hotel lot is free to guests of the hotel. The party block will be on the 5th, 6th, and 7th floors, so if you want peace and quiet, we suggest getting a room above these floors. The room rates for the Omni are: Single/Double — $60, Triple/Quad — $65. Suites are as follows: King Parlor — $90, Queen Parlor — $110.
Please book all suites through the convention rather than through the hotel. If you have any questions, call our Hotel Liaison, Sam Stubs, at (602) 968-7833. We highly recommend the Queen Parlor for parties — it's about twice the size of a regular hotel room! (At this time, the Parlor Plus One/Two Bedrooms are all sold out.) Note: as is normal with hotels, expect a credit card deposit to be run through immediately, not held until the convention.
An important note about the Omni: any alcohol seen being carried through the lobby will be confiscated — and you must travel through the lobby to reach all Omni hotel rooms. Read the above sentence carefully, and think before you act!
The overflow hotel, the San Carlos, is a quaint and rather elegant hotel from the turn of the century. The San Carlos is located at 202 North Central Avenue, Phoenix, AZ 85004, phone (602) 253-4121. It is across the street from the Omni and it is expected to fill up quickly. Room rates at the San Carlos are Sgl/Dbl/Trpl/Quad — $50. Two room suites are $149 for two people plus $10 per night for each additional person. Parking in the San Carlos' approved lot is free for their guests.
Attendees will be required to get their convention badge before checking in to their hotel room. This way, the hotel will make sure you get the convention rate for your room. Also, expect to sign a form indicating you will be responsible for room damages.
SEE Y'ALL AT WESTERCON — JULY 2-5 — CALL US AT 602-730-8648 FOR MORE INFORMATION!
UPCOMING EVENTS
Here we condense to essentials — date, time, event, general location, and how to get more info! (Be sure to also check out our Convention Calendar for more info on the cons.)
July 5, Sunday, 1:00–2:30pm —
Anne McCaffrey autograph session at Books, Etc., 901 S. Mill, Tempe, 967-1111.
July 17–19, Friday–Sunday —
EconomyCon VI gaming convention at the Campus Village West Shopping Center, in west Phoenix. No admission fee. For info, call Roaming Panther Game Co. at 820-2083.
August 8–9, Saturday–Sunday —
CorsairCon III pirate convention in Scottsdale. Memberships $15 'til 7/24, then $20 thru the door. For info, call 894-1985. (See the ad on page 43.)
September 11–13, Friday–Sunday —
CopperCon 12 SF & F literary convention in Scottsdale. Memberships $25 'til Aug. 28, then $30 thru the door. If you're alert you can get it for $20 at WesterCon. (See the CopperCon Update on page 33 for more info.)
ONGOING —
Paganism 101. An informal class is being organized that will explore pagan religious beliefs, with an emphasis on Wicca and Asatru. The group will begin as soon as a location is arranged. For more info call Pati Cook, at 973-8611.
Friday Night Frolics. Essentially for singles, a night out on the town each 4th Friday of the month. Call Diana McClure at 482-0105 for info.
Friday Night Inevitables. Anyone who wants to party, come on over — each 2nd Friday of the month. Starts at 7pm, 3738 E. Pershing (north Phoenix), costs $1, please BYOB. Call Diana at 482-0105 for info and directions.
To get your event listed, call 220-9785!
(All phone numbers noted in this section are in area code 602.)
Come Meet Anne McCaffrey at Books, Etc.
Autograph Session
Sunday, July 5th
1:00–2:30pm
(602) 967-1111
901 S. Mill Avenue
(S.E. corner Mill & University)
Tempe Center
Mon – Sat 9–8, Sun 10–6
Come see our great selection
SF, Fantasy, & Mainstream
CLUB SPOTLIGHT
United Federation of Phoenix
by Lee Whiteside
The United Federation of Phoenix started in 1974 when several Arizona State University students decided to get together socially with other students who were interested in Star Trek and science fiction. Sparked by the new TV series Space: 1999, they organized a get-together, posting notices on campus bulletin boards and were surprised when over 60 fellow fans turned up. Starting on Sept. 8th, 1974 (the 8th anniversary of the premiere of Star Trek), the club has continued on to be the longest surviving Star Trek fan club in existence.
U.F.P. is a non-profit, independent, social fan club, with interests in Star Trek as well as other areas of science fiction. Members participate in activities such as picnics, gaming, attending movies, miniature golf, camping, starwatching, holidays, video meetings, camping, attending conventions, or any other fun activities we can think of. Meetings are held every two weeks at various locations throughout the Phoenix Metro area, and is open to receiving new members.
U.F.P. has helped raise money for various charities, most recently for the Salvation Army’s Christmas Angels and for the Make-A-Wish foundation in memory of Star Trek’s creator Gene Roddenberry. U.F.P. has produced six issues of the Questar fanzine, and has a monthly newsletter, ‘Subspace Chatter.’ U.F.P. has produced “Star Trek: The Home Movie” and is currently working on a new club video effort. U.F.P. has participated in local conventions, most recently sponsoring Mike & Denise Okuda at PhringeCon 3 and helping with the WatchamaCon gaming conventions.
Upcoming activities include a trip to Out of Africa, a picnic, stargazing, gaming day, and putting on Science Fiction Squares (ala Hollywood Squares) at WesterCon ’85. Membership is $10 per year, due at the start of the club’s year (September). For details on upcoming meetings or more information on U.F.P. send a SASE to the United Federation of Phoenix, P.O. Box 37334, Phoenix, AZ 85069.
Almost everyone has seen a meteor or blaze a streak across the sky. Some of these bits of space debris survive their passage through the earth's atmosphere to become our only samples of material from beyond the earth-moon system — meteorites.
Most of the meteors you see on a cloudless night burn away without reaching the earth's surface. They do, however, leave behind ash and dust collectible by special high-flying aircraft. The meteors that appear to land "just past the horizon" are actually hundreds of miles away. A meteorite that lands anywhere near you will appear at the zenith, seeming to come straight down on you. Three or more sightings of this kind from different locations can allow investigators to trace the area where the meteorite came down.
A far more common situation is to find a meteorite that came down some time in the past. The dry conditions of Arizona can protect meteorites from corrosion for thousands of years. If you enjoy hiking, or have a job that involves excavation, you have an excellent chance of finding one eventually. Here's what to look for:
- As meteorites fall through the atmosphere their outer layers burn away and leave a thin, dark, glossy fusion crust. This crust may still be present if the fall occurred recently. Look out, however, for the dark desert varnish that often occurs on terrestrial rocks in Arizona.
- Meteorites are denser than rocks from the earth's crust. A meteorite will weigh twice to four times as much as an earth rock of the same size.
- Most meteorites contain metallic iron and are classified on this basis. Irons are almost all metal. Stones contain only traces of metal. Stony-Irons are about 50/50. Metallic iron does not occur naturally on earth. If you find an object that contains iron metal, it must be either a meteorite or a human artifact. Use a grindstone to expose a small part of the interior of the rock. If metal patches or fine metal flakes are present, you probably have a meteorite. Do not use a torch or chisel, as this can disrupt the crystals that a scientist will want to study.
- Meteorites are usually irregular in shape and are seldom round. Common surface features include "thumbprints" and fine, radiating lines, caused by turbulence as the meteorite falls through the atmosphere.
- The most common stone meteorites have a texture composed of caviar-sized spheres of mineral and glass, densely packed together. These spheres are called chondrules, and a meteorite that contains them is called a chondrite. Chondrites represent the left over primitive material from the formation of the earth and other planets, and have a composition similar to that of the sun (minus the hydrogen and helium).
- Many objects, nicknamed "meteor-wrongs" can be mistaken for meteorites. These include blast furnace and smelter slag, iron oxide concretions, desert-varnished volcanic rocks, and badly corroded iron machine parts.
Meteorites have some commercial value as curiosities, but their scientific value is much greater. If you find a suspected meteorite that passes the tests mentioned above, contact the Center For Meteorite Studies, Arizona State University, Tempe, AZ 85287.
The Center publishes a pamphlet titled *Have You Seen a Meteorite*, which summarizes how to recognize meteorites and includes color photographs. For a copy, send a self-addressed stamped envelope to the above address.
In addition, the center has a variety of meteorite specimens on display, located on the ground floor of the "C" wing of the Bateman Physical Science Building, on the ASU campus. The display room is open 9 to 5 on weekdays.
Books that you might find of interest include *Meteorites and their Parent Planets*, by Harry McSween (presumes a knowledge of Geology or Chemistry), *Asteroids: Their Nature and Utilization*, by Charles Kowal (discoverer of the planetoid Chiron), and *Find a Falling Star*, by H.H. Nininger (noted private collector). All of these books are available at the ASU Library and can be checked-out through inter-library loan at any public library.
Chapter One
"All right, Gill! Now that you've got us all together, why the hell do we need a star ship?" Helioide Graham asked me in a very direct and pointed manner.
I could understand Hellie's discomfort. Her almost transparent skin was protected against the unfamiliar ultra-violet radiation of the intense Arizona sun by a floppy cowboy hat and garments that completely covered her body. And she wasn't used to one-gee.
"Because we've found something new out there. It could be deadly!" I told her firmly but gently. Hellie was an old friend. I'd willingly take flak from her without returning fire.
A mutter of disbelief ran through my four guests ranged around the corral.
Marcina Sakarhi sat on the upper rails. Dr. Rhys Madhu leaned against one of the wood poles, obviously not acclimated to the persistent strong pull of the Earth's gravity field. The quiet man known only as Kaaru simply sat on the dusty ground.
"Gil, what kind of a 'deadly' threat could possibly exist for people like ourselves?" Marcina Sakarhi piped up, tossing her dark hair out of her eyes. I had mixed emotions about Marcie being present. But she was one of the team. She raised my libido, but her aura wasn't right. She was disturbing, so unlike her twin brother, Mark, who was my research partner. "It's hard to believe what you said about finding an extraterrestrial ego-force that may be a god."
"Marcie, we've done our homework. Our research in mental science has turned up a contact that looks like a threat," I snapped back at her sharply. Sometimes I haven't been known for my tact and diplomacy when riled or pushed. But I knew that deliberate rudeness often pays off, especially in the neo-Victorian culture that prevailed then on Earth and most of the large habitats in the Solar System. Rudeness has always had a social shock value if carefully used under conditions where a challenge in rebuttal is unlikely. As host and elder, I was practically immune to challenge from this group.
"Look, I reported to you that our research here in Skull Valley has revealed
three time domains, not the two we knew about," I reiterated what I'd told all of them in the long voicecomm messages when I'd convinced them to come from the far corners of the solar system for this get-together. I needed their help. "We found this god-like ego force in the new time domain."
"New time domain? Hell, we've done fine with only two this far!" Heliode pointed out. "Why the hell complicate the Universe with yet another one?"
"I find no more difficulty in postulating a third time domain than our forebears did when they discovered the second one, psi-time, seventy-five years ago," Dr. Rhys Madhu remarked from where he stood leaning against the corral. Rhys was an expert on metaneurology which provided the physical foundation for most of our mentic theories. He was also an outstanding medical technician. Living as he did in the Belt, he had to be. Hospitals don't exist on every rock out there. "With intelligence amplifiers, symbolonics, and radionics, anyone can transition mentally into their psychological or psi-time base. Using modern technological tools, it does not surprise me that you've discovered yet a higher level."
"And we've learned to make the transition to that next level," Mark Sakarhi picked up the thread and went on. "Here in the Skull Valley labs, we call it xi-time. Pi-time links you with the clocks of the physical world. Psi-time runs on your own neural clock. We don't know what paces xi-time. But we think it's a linking of our individual ego forces with some super-ego that encompasses the whole universe. Call it... well, God, if you care to use that term."
The group sitting and standing around the corral was silent for a moment. The only sounds were the breeze sighing through the ponderosas and the distant whinny of a horse. The sky was its usual brilliant blue. The hills that ringed Skull Valley stood out clear and stark in spite of the thick atmosphere of Earth.
These people were scientists who had become fascinated with the human mind as a result of their own professional work. Except for Heliode Graham who was space frontier person, they were passive and non-violent. Maybe Rhys could become violent if he had to. He wasn't a frontiersman although he lived and practiced in the Belt.
"The discovery of one's relationship with the Cosmic All is certainly nothing new," Rhys reminded us. "That's a very ancient concept."
"Is that what you meant when you told us you'd found an extraterrestrial god?" Marcie wanted to know.
It was Hellie Graham who cut us back to the problem. I suspected she knew what was coming. "Look," she stated flatly, "it was a long trip to Earth from Ceres. Gil, you discovered this higher time domain. It was worth coming just to find out more about it. But I've got to ask you my usual embarrassing question, Gil. Are you ready for it?"
Is this extraterrestrial god going to come down out of the sky throwing thunderbolts and causing Armageddon?
"Hellie, I'm always prepared for your embarrassing question," I told her, then added lightheartedly, "I know why you're an expert in almost anything you need to be. You nose around among the experts and learn the most embarrassing question to ask. Fire away!"
"We've all been quietly working in mentical science for years now. You and Mark do it here in the wilds of Arizona where no one bothers you. Rhys and I play around out in the isolation of the Belt where no one pays any attention as long as we pay our air bill. Kaaru enjoys such high standing in Japan that no one bothers him. So..." Hellie paused for effect.
She was a good actress. She'd never played New York or SoCal, of course. But from time to time she'd paid her air bill in Luna and the Belt by running an "entertainment facility." There she'd satisfied the need for live entertainment by herself and by others who needed to make a few fast value tokens. She'd had her physical appearance arrested in what she called the "saucy old bitch" stage. It made it easier for her to run those facilities. She was an entrepreneur involved in the "oldest profession." She was known for giving value received.
"So what I want to know is why you punched the panic button. You got us here by telling us we're going to have to take a trip to the stars. What's the threat? The god-like ego force?"
"Yes, darling, what can a pure ego-force possibly do?" Marcina jumped right on the tail end of Hellie's statement. It was obvious that she wanted to be part of the action. She was certainly audacious. Sometimes it was fun. Usually it was just bothersome. "Is this extraterrestrial god going to come down out of the sky throwing thunderbolts and causing Armageddon? Are we in immediate danger?"
"Maybe. I was the one who made the contact," my daughter Nerissa spoke up for the first time.
Nerissa was still somewhat awed by these adults. She'd grown up knowing them, of course. But she was just maturing into a beautiful young lady. In many ways she was still a child. It was apparent she considered my mentictic colleagues as adults who must be accorded respect. She'd been quiet during the discussion thus far. She'd always been a quiet child. Now she'd spoken up in a tentative voice. She didn't say more right then. But she had lots to tell us.
But before she got the chance, the situation started to come unraveled. I'd planned this meeting with great thoroughness. It wasn't going to happen that way.
My wristcom whistled at me and said, "Stiffy here, Boss. Up by the railroad overpass. I've got a visual on an aircar coming in low and fast from the northeast. Charter, I think, becuz it's got an N-number on it."
I looked to the northeast but couldn't see anything. It wasn't in visual range yet.
Here are the first two chapters of a science fiction novel I wrote earlier this year. It's now on the market.
I hope you get the chance to read all of it when it finds a publisher. — G. Harry Stine
Copyright 1992 by G. Harry Stine. All rights reserved. Printed with permission.
“Who the hell is barging in here? What do they want?” I asked in an irritated voice. “I didn’t invite anyone else!”
“I did,” Hellie said.
“Hellie, what the hell gave you the right to...?” I began.
“When you told me what this was all about on voicecomm,” Heliode explained briefly, “I knew damned good and well none of us could hack it alone. Or even as a joint venture. Who the hell has enough in the garter to charter a star ship? Not me! But I knew someone in the Outer Worlds who did. And that someone who should have been a member of our group long ago.”
Rhys was smiling. “Of course! But I didn’t think it possible!”
“Hellie, you’ve got a hell of a lot of nerve...” I began.
“Damned right I do! I would have been killed decades ago if I didn’t!” Hellie snapped back. Then she laid a hand on my shoulder. “But don’t fret, Gil. You won’t be angry at me very long!”
Mark and I had bought the ranch in Skull Valley, Arizona because it was out of the way, yet close enough to Phoenix and Prescott that we could get into town when needed. The old railroad still ran past the place, but the road wasn’t used very much any longer. It was a perfect place to engage in mentictist research.
Besides, after nearly a century, I value privacy. And I don’t like it invaded by unknown and unsuspected guests. However, I swallowed my pride right then out of respect for Hellie and because I had been educated as a gentleman. Hellie had given an invitation, albeit without my knowledge.
I readied myself for the difficult: welcoming an uninvited guest I couldn’t turn away because Hellie’s invitation was as good as mine. Had to be. Mi casa est su casa. We always operated that way.
But it was a fruitless endeavor. I could never have readied myself for what actually happened.
When the aircar came closer, I saw it carried a North American registration number plus a corporate name and logo boldly blazoned on its side “Titan Enterprises, Inc.”
Then and only then did I realize who Hellie had invited.
“And right on time, too!” I heard Heliode exclaim.
The aircar — an expensive one that was also well armored — swung in over the ranch. The driver apparently saw us in the corral. The vehicle swung around, headed our way, and settled silently into the dusty space outside the corral. It didn’t even raise a puff of dust as it landed about thirty meters from us.
As the Eiki lifters drained off and let the aircar settle on its pads, the door swung out and down.
Out the TEI aircar stepped a woman clad in the form-fitting blinding-white fabric of an elastic-pressure space suit.
I heard Nerissa gasp.
The woman was absolutely gorgeous. And she looked like my late wife, Rhea.
But her skin-tight elastic space suit didn’t hide that she was completely female in all physical respects.
I knew who she had to be. But in all my years, I’d never met her. And I’d wanted to. In fact, every man in the Solar System wanted to meet this woman. I was stunned by her sudden arrival.
I pulled myself together and walked over to her. As the host, I had to greet her. And I didn’t want to wait for Hellie to introduce me formally to this incredible woman.
“I’m Gil Hunt. Welcome to the Hunt Ranch,” I told her with a formal bow that seemed quite out of place in this western American locale. Reaching out, I took her gloved hand and kissed it in European style. Women like that.
I couldn’t tell if she liked it or not. She merely looked at me. “Yes, I know. At last, we meet. It should have happened before this.”
I had been deeply in love with Rhea. However, as the first genetically-engineered child and the first citizen of the new millennia, a certain notoriety followed me all my life. It had always made me a target for women of all kinds from my puberty on. However, in the neo-Victorian culture of the mid and latter part of the twenty-first century, the repressive sexual mores of the earlier Victorian age didn’t exist. They’d been destroyed in the previous century by biotechnology and the romantic aquarian movement. As a result, I’d become a willing target many times. Rhea knew it and didn’t care because she was also a twenty-first century person. However, it had been a couple of years since I’d shared enjoyment with a woman.
Biotechnology had helped refute the myth of progressive sexual dysfunction with increasing age. Although I was nearly a century old at that point, I’d had my physiology and appearance arrested at a physical age of forty. Hellie often told me I was the ultimate Dirty Old Man in a mature jock body. She had plenty of experience on which to base that assessment. So I didn’t argue with her. But I wasn’t thinking about that right then. I found this incredible woman affecting me strongly.
“Gil, you screwed-up my formal introduction,” Hellie complained. “Anyway, to hell with it. Since you haven’t
met her before and should know her, this is Thea Shannon."
I knew who she had to be even though I'd never seen pictures of her. No one except her subordinates, business associates, and close friends knew what she really looked like. And it was said she never looked the same twice. Yet from the moment I first saw her debouching from the aircar, I knew she had to be Thea Shannon. She was the infamous, famous, untouchable, unknowable, reclusive Titanes! Among the kinder sobriquets laid on her, "Titaness" not only seemed aptly given now that I'd seen her, but it also applied to what she owned.
Ever since Dana L. Shannon in command of the claiming expedition to Titan had set foot on that almost invisible saturnian satellite's surface sixty-three years ago, the Shannon family had owned Titan. They claimed it, they were capable of defending it, and they exploited its most precious resource.
Of all the planets and satellites in the Solar System, only Titan had the most valuable element needed by people living in space: a boundless source of nitrogen at the bottom of a shallow gravity well. No matter how sealing technology improved, space habitats and ships lost life support atmosphere constantly because of minor leaks and incomplete airlock scavenging.
Oxygen is readily available almost everywhere.
But not nitrogen.
Nitrogen had to come from Earth at the bottom of a twelve kilometer-per-second gravity well, from chondrite planetoid material at high cost in extractive and processing energy, or naturally from Titan. It was cheapest to get it from Titan, even at the prices charged by the Shannon family.
Thea Shannon was Dana Shannon's granddaughter. She'd taken command of Titan Enterprises, Incorporated directly from her grandfather. She carried on the business and the tradition:
You could buy your nitrogen from TEL. Or you could try to get your environmental impact permit and your non-renewable resources extraction permit and your export permit and then expend the energy to haul your nitrogen up from Earth. Or you might find an unclaimed chondrite, set up your extraction mill, build the solar collectors to get the energy, and then work like hell to recoup your massive capital investment.
Thea Shannon had the reputation of either a pirate or one who drove a hard bargain, depending upon your opinion of private enterprise. She was known to be incalculably wealthy.
And she looked it.
She was known to exploit her appearance as part of the business. And she was also known to use the mystery of her appearance, too.
In our super system of total visual and audio communication, Thea Shannon was a renegade. She never permitted anyone to take video or photo images of her. Occasionally, someone would try to get her on film or tape with a hidden camera or a long-focus lens. No one knew why an extremely persuasive man would suddenly show up to take possession of the film or tape, always leaving a suitable amount of monetary compensation for it. Was it any wonder that Thea Shannon was the mystery woman of the Solar System?
Some said she was a fiction. No man in the Solar System with any fire in his groin hadn't fantasized about her.
Thea Shannon was the modern incarnation of the legendary Helen of Troy.
Have you ever read a description of Helen of Troy? No, because she was never described by Homer. But every person, man and woman, has a mental image of Helen of Troy, the Face That Launched a Thousand Ships and Burnt the Topless Towers of Ilium.
Thea Shannon had used that tactic. It was very effective because she was more beautiful in reality than a man could imagine.
And she was certainly no fiction!
And she looked like Rhea Olgiert Hunt!
I was having a great deal of trouble controlling my dexter hemisphere, to say nothing of my cerebellum.
I looked at her and told her frankly, "I mean this as sincere flattery. You're far more beautiful than any of the legends suggest."
"Business not only depends upon brains, but also on image," she remarked. "I don't bother to alter the legends."
"You don't have to."
But I could sense that her impregnable facade had a weakness of conflicting interest behind it. Or was I just being a man and merely kidding myself? Thea Shannon was cool, detached, and businesslike. Except for some subliminal and brief relaxation of her non-committal expression that I briefly detected, she was trying to be unemotional and rational. Or maybe that was merely an act on her part. I had no doubt she was a practical actor.
Fly to page 41...
HexaCon 2, the second full-scale gaming convention sponsored by the Central Arizona Speculative Fiction Society, was greeted enthusiastically by over 600 gamers, on the weekend of March 13-15, 1992 at the Celebrity Hotel in Phoenix, Arizona.
Almost all aspects of gaming — Role-Playing, Board Gaming, Miniatures Competition, and Computer Gaming — were represented in the over 12,000 square foot gaming area at the Con.
There was also a Dealer’s area for Gaming-related merchants to present their wares. A ConSuite/meeting area was fully equipped with a soda fountain, food, and Japanese Animation. Our used-game auction was held on Sunday afternoon, with over $2,500 worth of games changing hands; our guest team of out-of-state auctioneers really lent the event a special “feel” with their technique. Our miniatures contest, judged also on Sunday, had many very fine submissions.
Many new things were tried at HexaCon 2, in order to determine their feasibility for the future, some of them were very successful, and some weren’t. One of the pleasantly successful, was our track of programming, that included several distinguished guests: Dragonlance saga author Tracy Hickman; FASA’s Shadowrun game creator Tom Dowd; BattleTech author/gaming expert Mike Stackpole; and publisher of Strategy magazines Dr. Christopher Cummins, among others. Thankfully, the outdoor programming area was not assaulted by inclement weather.
I think everyone was happy with the convention Program Book, new for HexaCon 2. It was very helpful to everyone, since all event schedules, descriptions, and other important information could be found in one handy place. My hat goes off to Matt Frederick, who did a fantastic job on both.
The Role-Playing section of HexaCon featured new games from TSR, and other companies. Many events were sponsored by the RPGA organization. Tournament games included Ravenloft “Dance of the Dead,” Galactic Megatraveller “Got the Time,” AD&D “Rats for Hire,” Twilight 2000 “Laird o’ the Isles,” Torg “The Storyteller,” several variations of Champions, Vampire “Gothic Punk on an Alternate Earth,” Dark Conspiracy (novels written by our guest, Mike Stackpole), Call of Cthulhu “Dreams Can Become Nightmares,” many variations of Gurps, several variations of Cyberpunk, Amber “Shadow Stalkers,” variations of Shadowrun (game created by our guest Tom Dowd), Palladium Fantasy “Korgon’s Tower,” and we can’t forget Bullwinkle & Rocky “Moosylvania Forever!” Prizes were awarded to tournament winners.
We saw many repeats of the great board games played last year at HexaCon 1. These included Diplomacy, Starfleet Battles, Modern Naval Battles, Nuclear War/Nuclear Escalation, Great Battles of Alexander, Shattered States, World in Flames/Days of Decision, Advanced Squad Leader, Euro/Express Rails, Black Gold, Advanced Civilization, and of course, Axis & Allies. Board Gaming also saw many great games played that were new to HexaCon. These included Junta, Circus Maximus, Kingmaker, Acquire, Fortress America, Croppedy Bridge, Battle of the Bulge, Campaign Trail, Midway, Quebec 1759, Air Superiority and Cosmic Encounters. Games and prizes were also awarded in this area for winners. We saw demos of new games by our guests, including the Sicily/Salerno Demonstration from Decision games.
In Miniatures we saw FASA’s BattleTech, which had a large tournament game and several smaller and beginner games. Other games played include Ancients (De Belles Antiquitatis), Micro Armor, Warhammer 40K, Warhammer Fantasy Battle, several Napoleonic games, Centurion 2nd Edition, Bladestorm, Drums of War, Battletroops and Johnny Reb. Again, prizes were awarded for Tournament winners.
In Computer Gaming, the runaway hit was the Online MechWarrior Tournament, sponsored by GEnie and Mike Stackpole. The participants were paired off on computers on opposite sides of the room, and battled each other via graphical images coordinated by the GEnie mainframe computer. During one particularly heated battle, I remember a player firing missile after missile into his opponent’s mech vehicle, but it still remained standing as the enemy pilot, across the room controlled his machine. The player was screaming “Die! Die! Die!”; I was struck by the total immersion the players felt in the pseudo virtual-reality environment of the game.
Another big hit at the Con, also involving computers, was the DuelMasters Tournament sponsored by RSI (Reality Simulations, Inc.). In this game, a role-playing environment is supported by a computer simulation in which literally hundreds of players may interact and battle with each other. RSI was very happy with the turnout, and plans an even bigger event next year. I was curious about the RSI guy sitting in
the corner tweaking the actual simulation program, running on a 386 machine, but they wouldn’t let me anywhere near him!
“Everyone seemed to be going away happy,” commented Guest of Honor Tom Dowd. “This was a nice sized Con, with a definite ‘personality’ of its own.” “I think we pulled it off, and everyone had fun!” said Gregg Fischer, Gaming Director. “Definitely a thumbs up for all the gamers in Arizona,” voiced Robert Barber, role-playing coordinator. I heard lots of good comments from people that were very pleased about the door prizes that were given out at the Game Auction — “Some really nice stuff!” to quote Alan Emrich, guest auctioneer. “Nice Con,” said guest Mike Stackpole, who was very happy with the way the con turned out. I want to personally thank Mike for the help and suggestions he gave the chairman, and for supporting the GEnie demo.
The Celebrity Hotel (formerly the Caravan Inn) had been newly remodeled, and was very nice indeed, complete with a fully functioning restaurant (the food wasn’t bad, either). We didn’t have many of the logistical problems with the hotel that we had last time, but unfortunately, it is obvious that we’ve already outgrown that facility, and must look elsewhere for future Con facilities.
Because of the successes of HexaCons 1 & 2, a Committee has been established to prepare for HexaCon 3. The most likely date is the same March weekend (12–14) in 1993, pending hotel confirmation. Decisions on guests, and other matters have been postponed until a Chairman is elected, and a hotel is locked in. The Committee is also looking into the possibility of having the Regional BattleTech Competition at HexaCon 3.
The registration process is being re-examined, since there were a few “glitches.” Unfortunately, records show that some GameMasters got into the Con without paying. This and other factors led the Committee to decide to issue all credits due now for HexaCon 2, and the future, in scrip “HexaBucks,” which will be usable at registration, in the dealer’s room, game auction, or redeemable for cash. The HexaBucks are hot off the presses, and are now being sent to GameMasters for HexaCon 2.
SOUND OFF!
by Eric Hanson
How much is too much? How much should all of us have to stand before we stop what is going on around us and start having the type of convention that we can all enjoy?
This year’s LepreCon was very enjoyable as far as the convention was concerned, but there was an element that left a very bad taste in a lot of people’s mouths. I am talking about all of the vandalism and damage that is done to hotels during Phoenix conventions.
Phoenix conventions have had a problem with vandalism for several years now, but the recent LepreCon reached new lows. A hotel room was rented for a party, and somebody broke into the room next door to double the size of the party. Both rooms were then trashed in such a way to leave thousands of dollars of damage.
And this was not the only hotel room maliciously damaged — elsewhere walls were drawn on, cigarette holes were burned in the carpet inside and out, and canvas screens were cut with a knife. It is hard for me to understand the mentality of a person (or group) who causes such damage. I found one of the plastic patio tables where somebody had ground their cigarettes out into the table, creating a circle of burn holes around the ashtray. Now I ask you, what kind of person would treat private property in such a disrespectful manner?
This kind of behavior results in hotels refusing to host our type of conventions. And as a direct result of the vandalism at LepreCon 18, the Celebrity Hotel has already informed us that they do not want to see us back. Now, you may say that this is only one hotel, and there are lots more — but hotel managers communicate amongst each other about each group. If you have any doubts on that statement, just ask a CASFS member on the problems they have had in arranging a hotel to hold CopperCon this year.
This sort of damaging behavior cannot be allowed to continue — it takes money out of your pockets each year! We aren’t able to lower Con prices, and will likely have to increase them just to pay for the hotel and other damage. LepreCon 18 paid several hundred dollars to the hotel to help cover the cost of fixing and replacing the damaged areas of function space. Because the conventions already make next-to-no profit, this cost can only be passed on to the attendees with reduced services and higher membership costs.
Some of the damages are being done by people who have not paid for convention memberships. They tell the hotel they are with the convention in order to get the special rate, and then they do as they please. Not all gate-crashers are vandals, but there are always some people who feel they can take advantage of the situation and not be held responsible. A convention is not the place to “get away from reality” — the real world will always be a part of your life.
Science fiction conventions are held for people that enjoy getting together with their friends, having a good time, and interchanging ideas on science, science fiction, fantasy and horror. It is not a weekend set aside for people to “flip out” and do as they please.
We are already in danger of losing the privilege of having conventions because of these brigands. To make matters worse, each year we lose the help of friends who no longer wish to devote precious time and energy to a function that is a hassle. This trend cannot be allowed to continue.
Basically stated, only we convention attendees have the power to keep conventions going. We can no longer turn a blind eye to the problems caused by a few disturbed individuals who come to the hotel during our convention. If we work together to prevent this sort of action, and keep an eye on the idiots, we can continue to meet every year and have our fun.
The choice is in your hands. Without your help we can’t do it… then we might as well just stay home, because Arizona SF conventions will become a thing of the past.
One of the most popular events at a science fiction convention is the Masquerade. Held on Friday or Saturday evening, the Masquerade attracts almost everyone at the Con, either as audience or contestants. The audience has lots of fun, but the real fun is in *entering* the competition.
Contestants range from small children to master costume crafters and makeup artists, with everyone in-between equally welcome. The Masquerade is ostensibly a competition, with prize categories including *Workmanship*, *Humor*, *Historical*, *Judges’ Choice* and *Audience Choice* in Novice, Journeyman, and Master levels. The judging is secondary, however, to the simple fun of showing off your best work, and nothing feels quite so good as strong audience reaction.
Entering a Masquerade is easier than it looks. A sign-up sheet is usually present at the con registration desk on the first night of registration. Pre-registration by mail is preferred since it is easier on the organizers and guarantees your place in the masquerade. Pre-registration instructions are always published in the flyers sent out by the Con Committee.
Registration for a Masquerade involves completing a form that tells the Director who you are, how your presentation should be classified (Historical, Fantasy, Humor, etc.) and at what skill level you should be judged. The registration process also tells the Director what you need for your presentation in the way of lighting, music, and narration. There is usually a mandatory meeting for contestants to allow them to get familiar with the particular stage and technical crew for the Masquerade and to make sure that the MC pronounces your name right.
Just before the Masquerade, the contestants gather in a “green room” to assemble their costumes, find their place in the queue, and make last-minute repairs.
Here are some of the people you will be meeting:
The **Masquerade Director** has been with the Masquerade from the earliest planning stages. Her word is physical law. Look for the person losing hair in tufts.
The **Technical Director** and **Stage Manager**, often the same person, are responsible for the physical set up of the stage and lighting.
The **Sound Person** is the person to give your music and narration tape. Make sure the SP knows that your tape is queued up and when to stop it.
Your **Den Mother** is responsible for getting you and a few other contestants to the stage entrance. This person can be a lifesaver when you are dying of thirst inside your costume, or forgot the duct tape.
The **Catchers** wait at the stage exit (usually a stairway or ramp) to guide you off stage. This is an important safety job as many costumes have limited visibility or mobility.
The **Master of Ceremonies** (or MC) introduces your presentation, reads narrative, and gives credit to the makers, models, and inspirations. The MC is also the unfortunate individual who has to stall for time when a complicated costume falls apart backstage, or the Judges are taking a long time to decide.
The **Judges** usually consist of a panel of master costumers, and the convention’s guests of honor. They award prizes for best of show, workmanship, and special categories.
A Masquerade, like any human endeavor, has rules of etiquette to follow. Some are spelled out by the Masquerade Director, others are unwritten. The general theme of these rules is, “Thou shalt not slime thy neighbor.” Blood packs, dripping ooze, fireworks, and other special effects that may negatively affect the stage are usually ruled out. A slimy monster may be striking to look at, but if it leaves behind a slick spot that makes the warbot who’s next in line slip and break his neck bolts; it wasn’t worth it.
Remember, also, that the con organizers usually have to pay nasally for insurance and cleaning deposits. One blood spot on the carpet can cost a bundle that should have gone into next year’s Masquerade.
Why enter a masquerade in the first place when assembling a presentation is so much work for just one night? If you have to ask, you probably aren’t hooked yet. A poll taken among the inmates of the Science Fiction ward of the Ahwatukee Home for the Incurably Silly yielded these results:
**Top ten reasons for entering the Masquerade:**
10. Self expression
9. Pride of workmanship
8. Chance to create a unique character on stage
7. Appreciative audience
6. For the experience/helluvit
5. Irresistible site gags
4. Incredible stage & lighting this year at Symphony Hall
3. The dressing rooms have showers this year
2. Backstage video monitor means you get to see the other presentations
1. Gail Wolfenden-Steib told you to!
**Bottom 10 reasons for entering the Masquerade:**
10. Extraterrestrial mistaken for contestant
9. Really serious identity crisis
8. Your mother dresses you funny
7. Laundry accident
6. Serious acne problem taken for makeup
5. Trapped in regency corset since 1988
4. Got lost trying to find the ConSuite
3. Didn’t notice when disco suits went out of style
2. Signed wrong paper at volunteer table
1. Randall told you to!
Take this with a grain of salt, and remember DesCartes’ fundamental statement, “Incognito Ergo Sewn” — I costume therefore I am.
A Look at Summer Comics
Well, here we go, into another summer of fun and great comic reading. Compared to the record-breaking number-ones and multi-part crossovers of last year, the summer of '92 will seem rather quiet. This is not to say that comics this summer are going to be boring, quite the opposite; this summer should give every reader out there something to look forward to.
Topping the list this year is the movie, *Batman Returns*. DC is gearing up for the big sequel with a variety of bat-related books. First off, *Shadow Of The Bat*, the fourth monthly book, hit the stands in May. It brought us a darker Batman, more akin to the movie version. Add this to *Batman, Detective*, and *Legends of the Dark Knight*, and batfans will have a new book every week! Other related specials included *Catwoman* and *Penguin* one-shots in May, and the three-part "Run Riddler Run" series began in April. In May, we also got the trade paperback format of *Red Rain*, an Elseworlds story whose hardcover version sold out in one day last fall. This, with the variety of non-comic merchandise being peddled for the movie, could signal the rise of batmania once more.
DC's other summer project focuses on its annuals. *Eclipso* leads off the summer's look at the dark side of heroes as they each must struggle against their own "evil" sides. It begins in *Eclipso* #1, travels through the major annuals, and is concluded in *Eclipso* #2. The nice thing about this multi-part crossover is that each book stands alone. You can pick and choose which ones to read, or read them all and enjoy the story either way.
On the subject of multi-part crossovers, this summer Marvel's big one will be the *Infinity Wars*. This sequel to the highly successful *Infinity Gauntlet* will involve nearly every Marvel title this summer. Will there be any major changes in the Marvel Universe this summer? Probably not. We will certainly see many more spin-offs from the *Wars*, and perhaps even a new face in the crowd, but so far, Marvel has no plans to try and top it's 7+ million copy run of *X-Men* #1 from last year. Look for Marvel's annuals to be mainly 4 to 6 part stories like last year, tying into each other only where it seems necessary.
There is some speculation that the exodus from Marvel of a good portion of their "hot" artists will hurt their sales. This is unlikely, because Marvel seems to have an unending supply of new artists waiting to step in and become hot.
The big explosion to watch for this summer may be the emergence of *Image Comics*. Image is the company that many of Marvel's current hot artists have formed. By the end of May both *Youngblood* by Rob Liefeld (*X-Force, New Mutants*) and *Spawn* by Todd McFarlane (*Spiderman*) should be going strong. Advance orders on *Youngblood* are over 500,000, the largest order on a direct market non-Marvel/DC book to date. They may not effect Marvel much as things go, but they will certainly give some of the smaller independents a run for their money.
Here's what the independents are doing this summer: *Dark Horse* has it's formula pegged with the mini-series. The *Aliens 3* movie adaptation, as well as its new *Terminator/Robocop* mini series should both do well this summer. *John Byrne's Next Men* and the *Star Wars — Dark Empire* series are both going strong with back issues getting harder to come by.
*Innovation*, another company working with a lot of licensed products is continuing it's adaptations of Anne Rice's *Interview with the Vampire* and *Queen of the Damned*; as well as its *Lost in Space* and *Quantum Leap* stories. Beginning this spring, they also started an adaptation of the classic movie, *Forbidden Planet* and the *Dark Shadows* comic is due out soon. If you're tired of the same old superheros, and like great art with good writing, pick up one of Innovation's books, it's well worth the look.
The only other major summer event this year is from a company called *Valiant*. About a year ago, Valiant began publishing an updated version of some old Gold Key characters from the 50's. *Magnus Robot Fighter* and *Solar, Man of the Atom* quickly joined the ranks of the hot and hard to find back issues. In the last year they added original titles like *Harbinger, X-O Manowar, Rai,* and *Shadowman*. Each book is selling out in a matter of days and early issues are nearly impossible to get a hold of. The common link to these books has been strong writing and good art. That tie will grow this summer as two new titles are introduced; the *Eternal Warrior* and *Archer & Armstrong*. Together these eight titles will form *Unity*, Valiant's first crossover. *Unity* #0 was given away in May, and all the May and June books tie together and culminate in *Unity* #1. The Valiant world is a unique cross of superheroes, science fiction, and the supernatural that seems
That pretty well covers the major comic action for the next few months. As always, if you have questions or comments you can reach us at All About Books & Comics. So get out there and see what the world of comics has to offer you!
COME SEE COMICS WRITING/EDITING LEGENDS MARV WOLFMAN AND LEN WEIN AT WESTERCON!
The Future of LepreCons...
LepreCon Inc. is the organization responsible for the running of the annual LepreCon convention. It was formed several years ago to provide a sense of continuity to the convention, and provide a stable base from year to year. We have been looking at LepreCon recently and we have decided that the convention needs a change. It's not that the convention is bad, it's just that we feel it needs to renew its focus.
LepreCon began as a fannish get-together taking place on or around St. Patrick's Day, hence the name. After a few years it was decided to feature artist guests, and to bring a definite emphasis of science fiction and fantasy art to the convention. Since then our artist guests have included George Barr, Alicia Austin, Frank Kelly-Freas, Phil Foglio, Kim Poor, Alan Gutierrez, Richard Hescox, Rowena Morrill, and Ireland's Jim Fitzpatrick; as well as local artists Sleepyhawk & Cristi Simila, and Deb Dedon & Earl Billlick. The artwork accompanying this article are samples of LepreCon's badge art over the years.
As more and more people began attending LepreCons, we expanded to include additional areas of interest, such as gaming, computers, and the dances — we tried to provide something for everybody. And so has CopperCon.
While LepreCon and CopperCon are both good conventions, lately they have begun to feel the same. With the addition of an annual HexaCon, we've decided this is a good time to change the look of LepreCon — bringing it back into a more focused effort. We have been experimenting with the last two LepreCons, and will continue to do so, until we achieve the right feel for the convention. We are considering removing some areas of the convention that are duplicated at other local Cons.
With HexaCons going on, we think possibly that organized gaming at LepreCon can be dropped. The dance has been a lot of fun for several years, but it really doesn't tie into the science fiction theme. The Computer Room is just plain hard to get computers for. The masquerade is enjoyed by many, but contestant participation is unpredictable without a pre-registration. (We have gone from a high of 18 contestants to a low of 4, without any advance notice.) Do we require advance registration for participation in the masquerade, keep it the same and wing it, or change it, perhaps to a masquerade ball?
All of the ideas that we have are in the planning stages right now. This is your chance to let us know what kind of convention you want to attend. The governing body of LepreCon will be meeting soon to discuss changes, so if you would like to have any input, please send it to us at this address — LepreCon, P.O. Box 26665, Tempe, AZ 85285.
We will continue to inform you, the convention attendee, through the pages of this zine of the changes that will be made to the LepreCon convention. This is the chance to participate in the future of your local convention. Watch this zine for more news as LepreCon changes it's look.
LepreCon 18 was held over the weekend of March 27–29, 1992 at the Celebrity Hotel in Phoenix, with approximately 300 people in attendance over the three days. Artist Guest of Honor, Liz Danforth, is best known for her meticulous work in pen and ink. And as usual Liz was a delight to have at the convention. Our Author Guest of Honor, Mike Stackpole, is known for his gaming and dark fantasy novels. And to paraphrase Mike, if you want to see the venue of LepreCon 36 just read his novel *A Gathering Evil*. But be careful when you pick up the book, it was obviously printed on paper made from the ironwood tree.
This year LepreCon attempted some new things — the concert on Saturday evening by Joe Bethancourt was attended by everybody at the convention, and all agreed that it was a great change. There were several new ideas in the area of programming, voted a success by everyone that I talked to. While the decreased size was a disappointment to some, to most of the attendees the ability to spend a good bit of time one-on-one with the attending pros was the best way to spend the day.
There were a few complaints, however. The ConSuite was scaled down at the request of the committee, but this was a disappointment to some attendees. Also cut from this year’s convention, for numerous reasons, was the masquerade. While some were pleased with the substitute of the concert with Joe Bethancourt, not everybody was pleased that the masquerade was not there. (It seemed like a good idea with WesterCon’s major Symphony Hall Masquerade just around the corner.)
The guests were entertaining, the programming interesting, parties were fun, and, unfortunately, destruction was rampant [see *Sound Off!* article by Eric].
I would like to thank all of the pros and panel participants for their effort and all of the work that they put into their presentations at LepreCon. The time you put into the Con is a huge part of what makes a convention a success, and this was no exception. Overall comments at the “Compliments and Complaints” panel were favorable.
The committee, staff, and volunteers who spent hundreds of hours before and during the convention to make it run smoothly deserve a round of applause. Many of the same people do this convention after convention, and they are not paid. And they bust their butts for one reason — to put on a good convention for the enjoyment of the attendees. Eventually, though, old-staffers get tired and want to relax, so CASFS and LepreCon, Inc. are always looking for new and enthusiastic people willing to devote time and energy to make the next convention a success. If you want to help, volunteer. [Check-in at the Con’s Volunteer Desk –ed.]
Each convention is a little bit different due to the different types of people who work them, but all are willing to listen to new ideas, especially if the person espousing them is willing to help!
Lady of the Fantastic: a Profile of Jennifer Roberson
by Shane Shellenbarger
The book had only been out for three weeks and I was already getting letters saying, 'You can't stop now!' Such is the reaction from readers of the finale of the Sword-Dancer series, Sword-Breaker written by Jennifer Roberson (pronounced Robber-son).
While in high school, Jennifer decided she wanted to be a published author. Four novels and three rejections later, Roberson submitted Shapechangers, to the Scott Meredith Literary Agency (in 1982). In 1984 the book was published, beginning a series that will culminate in 1992 with the eighth book, A Tapestry Of Lions. This year will see an end to her other popular series, Sword-Dancer, now that the forth novel in the collection, Sword-Breaker, has been released.
"I'm glad to be ending them, because it's time to put them both away. I want to do other things because I'm interested in other things."
Among those "other things" is the recently completed, Lady of the Forest (originally titled Shadows in the Wood, then Wolf's-head), a re-telling of the Robin Hood legend with a change of perspective.
"This is the first full-blown, fully fleshed novel that gets into the heads of all the characters. With multiple viewpoints, you know why everybody is doing what they're doing. You find out how each character justifies his or her actions. Initially, I intended the book to be primarily from Marian's point of view. I wasn't going to do it first-person, but it was going to heavily emphasize the events of the times and how they were perceived by Marian. As I started work, I realized that although I wanted very much to maintain Marian's importance and contribution to the story, as a reader I was as fascinated by the idea of examining the other characters in the story. Traditionally, it's always been Robin Hood who was the primary character and the others were mere foils to him."
The book was larger than Roberson anticipated, and she has the statistics to prove what a weighty tome it will be.
"It took eleven months, three weeks to write. There are 257,000 words covering 11,000 pages. It used six printer ribbons and the manuscript weighed in at thirteen pounds. Zebra is planning a first edition of 50,000 books and they will be sending me on a twelve-city author's tour," she said.
Roberson had some hopes for a screenplay produced from Lady of the Forest, until the release of last summer's Robin Hood: Prince of Thieves.
"A lot of people thought that my Robin Hood book had all the ingredients for a large-scale movie, but with the wonderful Robin Hood series from England appearing on Showtime, the Robin Hood movie that was on Fox-TV, and Robin Hood: Prince of Thieves, I think there is negative chance that my book will be picked up."
With a wry smile, Roberson added, "I actually was ahead of these people. I came up with the idea and sold the book before any of this stuff came out. It's just that I didn't get it out fast enough because I had to finish Sword-Breaker and some other contracts. Consequently, by the time I really got going on the book, everybody else was coming out with their Robin Hood material."
She spoke of her aspirations for her other characters. "Personally, I would love to see Sword-Dancer filmed. I think it is an eminently filmable book. The two characters are a lot of fun, and I've had people compare it to Moonlighting and Remington Steele, with that sort of ongoing banter between the male and female protagonists. I think with the sword and sorcery setting and the humor involved, it would be a good movie and would work. Few fantasy films have ever really worked."
Although she has tried screenwriting, Roberson isn't interested in converting her novels to motion pictures. "I adapted my western, Kansas Blood, to a script for a college project. My instructor told me I should try to get it sold, because he thought it worked well. I haven't pursued it. Scriptwriting is a demanding formula, with little leeway for details, which are left up to the director. I wouldn't say I'll never try it, but I respect the people who make their living writing scripts." If one of my books was purchased, I would probably let a scriptwriter do the adaptation. She would have to make it or break it."
Sword-Breaker completes the cycle of oath and revenge with Tiger and Del pursued by religious zealots while contending with a wizard-possessed magic sword. Roberson explained what elements go into this stand-out fantasy set of books.
"The way I play with themes in the Sword-Dancer series is that women are virtually slaves in the South. Tiger was a slave in the South, so he can approach Del's treatment from that standpoint, whereas a Southern male who was not a slave would not have his consciousness raised - certainly not as quickly as Tiger's was raised.
Another theme that runs throughout my books is the rite of passage, personal growth within a character, whether it's a human being with no magical powers or a magical individual who has power but doesn't know how to use it. I like to think that by making sacrifices the individual's humanity will grow, even if he or she has great magic.
"If you build in flaws, you make your characters more understandable to the readership. If they can have sympathy for an otherwise powerful character you are speaking to the readership. You want the language to be so clear and so vivid that the readers feel they know the characters. If they don't feel they know the characters, you haven't accomplished your goal as a writer. You have failed the reader."
Roberson studied the market prior to becoming an author and she provided this simplified explanation of
how a book is published and promoted. "It's a combination of factors. First of all, you have to have a manuscript that excites the editor enough to say, 'I want to take a chance. This is different. This isn't like everything else that's out there. But this means that I have to market it in a special way, because it isn't like everything else that's out there.'"
Marketing starts with the in-house campaign for the sales reps, because you have to sell them on the books before they go into the bookstores and try and sell the buyers on the books. The bookstore buyers then turn around and stock the books and try to sell the readers on the books. There's this very complex formula that goes into it. An editor figures out how to pitch the marketing to the readership. 'New and improved,' all the buzzwords and then they put it out there, and if it does well, they say, 'There's a market for this.'
"Consequently, they turn around and start buying up anything and everything they can find that is just like the book that sold well. That's what happened with the romance genre in the 70's. You had a couple of authors who wrote these big juicy, lusty, busty romances and they sold like hotcakes. The next thing you know, the editors are publishing everything, even the horrible dreck, because everybody out there is buying it, because they've never had it before and they're going 'give me, give me.' Then people get sick of it, and the marketplace gets sick of it and they say, 'It's all dreck, it's all garbage, 90% of everything is crap, now everything is crap.' The bottom of the market falls out. Editors say, 'This sort of stuff isn't selling anymore, so I guess we'll stop publishing it.' Then the cycle has to start over again."
Roberson gave this report on the sales of Sword-Breaker. "The first week it was available, it made the top fifteen on the bestseller list for B. Dalton's, Waldenbooks, and Barnes & Noble for all mass market paperbacks."
Although Roberson has finished the Sword-Dancer series, completed the manuscript for Lady of the Forest, and was recently concentrating on the March deadline for the final Cheysuli novel, she has no plans to rest once those projects are complete. "1992, '93, and '94 will be devoted to the hardcover fantasy trilogy of Machiavellian machinations, which begins with Shade and Shadow, coming out from DAW. Then I have Glen of Sorrows, another historical mainstream novel that I want to write, which is set in the Scottish Highlands. I was able to do on-site research during my honeymoon. I stood on the rock where the signal fire for the attempted massacre of the MacDonalds by the Campbells was touched off. Following that will be the big, stand-alone fantasy novel, The Nature of the Beast, which will..."
archaeological evidence in the Isles that this fact did occur to some extent, but...
In the absence of historical records, and with the paucity of archaeological evidence, we must look to that other source of historical information: Folklore.
It is quite common for the aboriginal inhabitants of a land to devolve to the status of "little people," of elves and fairies. (This corresponds to the old saw about the gods of the old religion becoming the devils of the new.)
In the folklore of the British Isles we find this thread. We find elves, fairies, kobolds, dwarves and the like, many times described as "little people." In addition, they are described as wearing caps much of the time, and have a knowledge of magic. They tend to be described as "good folk," showing that they are probably considered to be "nice" and kindly in nature, albeit mischievous at times.
In Scotland, we see the "Cruthneach," who are also known as "Pechs" in the vernacular of southern Scotland — from Pict to Pech is an obvious lingual change — and they fit the above description.
Therefore, we need to find a race of people who are:
1) small in stature
2) blue
3) who wear caps
4) know magic, and
5) who are considered "good," though mischievous
We find... Smurfs!
A smurf is nothing but a very small Pict!
References:
Balgino, Michael/Lay, Richard/Linkum, Henry; "Holy Smurf, Holy Pail," Delacorte Press; New York, 1982.
Beach Boys, The; "Smurfin' USA" (song); © 1965 Smurffboard Music (BMI).
Dickenson, William Croft; "Scotland, From the Earliest Times to 1603" Thomas Nelson and Sons, Ltd., Edinburgh, 1961.
Douglas, Ronald McDonald; "Scottish Lore and Folklore," Beekman House, New York, 1982.
Leporid, Roger; "A Study of Aboriginal 'Toons in the British Isles," Arkham House Press, Miskatonic University, Massachusetts, 1990.
This issue it is my solemn duty to report The End Of An Era. On Sunday, March 29, 1992, the attendees at LepreCon bore witness as JAILBAIT officially assumed her Legality. In a splendid ceremony, presided over by JAILBAIT'S FATHER, the title was formally bequeathed to BAIT II and BAIT III. These lovely young ladies earnestly swore to uphold the traditions of Baitdom: to tease and beguile, bewitch and inspire, but to never, ever, defile the pure nature of Bait. The retiring Bait was then borne off, on the shoulders of her admirers, to sample the sweet rewards of maturity. The audience was then pleased to turn its attention to the Changing of the Guard. With awesome pomp and grandeur, Jailbait's Father instructed the new Father in his terrific Responsibilities, then administered the Oaf of Office, inducting him into his new Estate. The Father-Elect appeared pale but stern, strong, and erect, yet, as the fierce indument of Duty settled upon him, seemed to stagger under the strain. The outgoing Father, like Atlas freed, seemed to miraculously shed the weight of years, and, in his gratitude, cried out, "Free at last, free at last — thank God almighty, I'm free at last!"
High Honors! At CostumeCon X, GAIL WOLFENDEN-STEIB and FRANCES BURNS were awarded, for their performance in "The Picnic," the first Spazzy ever given for historical costuming! Presented by the Sick Pups (the New York/New Jersey Costumers' Guild), this prestigious award represents the highest achievements in sick and demented humor and gleefully demented and disturbed costuming. Excellent job, ladies; you represent Phoenix well! Oh, yes, they also took Best of Class (Novice) in the Historical category. [Sorry — the photographs won't reprint well here. Gail and Frances portrayed a lady and gentleman out for a picnic — Gail's huge bustles concealed a basket full of food and a thermos full of drink, and her skirt, turned inside-out, served as a tablecloth, red checks and all...]
Small Matters. MIKE AND TERI MORRISON have a baby boy, SHAWN MICHAEL, born April 29, 8 lbs.-12oz. (3.97kg), 22" (55cm) long. DAN AND CINDER SMITH have a baby girl, KYLA GABRIELLE, born May 21, 7 lbs.-4oz. (3.3kg), 20 1/2" (52.4cm) long... and dubbed in-utero "Jailbait: The Next Generation." Other than acute sleep deprivation, both families are doing well. Congratulations! ■ Ouch! Right after LepreCon, LEA SCHULTZ stepped off of a (guess) handicapped ramp and broke her foot. The next week, while learning to manage her crutches, she fell — and broke the other foot too. Last April, while teaching class, PATI COOK was mugged by a disgruntled student. On June 1, MARGARET GRADY was in a car accident. It's been a rough few weeks, but everyone's doing better now. ■ AMY GOULD was selected to participate in, and was awarded a scholarship for, the Project YES program at UCLA this summer. This is a science seminar that allows exceptional high school students to explore issues and careers in microbiology, biochemistry, geology, astronomy, and other disciplines. Way to go, kiddo! ■ KEVIN BIRNBAUM, graphic artist and screenwriter, recently completed a pilot that satirizes TV talk shows. He hopes it will be picked up as a weekly show to air on a Phoenix independent station. He also has a sf screenplay, "The Soul Chamber," that is in the financing stage, with video distribution pending.
Don't forget 'THE INEVITABLE FRIDAY NIGHT PARTY' on the second Friday of each month — DIANA MCCLURE'S house, 3738; E. Pershing Avenue (PV). The phone number is 482-0105. Come and enjoy. [See last ish for more details, or just call Diana —ed.] ■ If there's something happening in your life that you'd like to see mentioned in Fan Facts, please call (602) 973-2054.
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There is a lot to cover this time, with the forthcoming startup (finally) of the cable Sci-Fi Channel, more news on *Babylon 5* and *Star Trek: Deep Space Nine*, *Star Trek: The Next Generation* finishing up its fifth season, and *Doctor Who* still in limbo, both in the U.K. and right here in Phoenix.
**Cable Sci-Fi Channel Sets Fall Premiere**
After several years of promises and delayed start dates, the **cable Sci-Fi Channel** will finally start broadcasting this fall. The channel has been purchased by the cable USA Network. Laurie Silver and Mitchell Rubenstein, founders of the channel back in 1989, will stay involved as Vice-Chairmen. Plans are to debut with a prime time airing of *Star Wars* this fall.
The Sci-Fi Channel has already acquired the rights to *Dark Shadows*, early *Doctor Who*, *Space: 1999*, *The Prisoner*, *Flash Gordon*, and the animated *Star Trek* episodes in addition to hundreds of movies. With the purchase by USA Network (50% owned by Paramount), other series and movies will be added to the list such as *Star Wars* and the *Star Trek* movies.
With the good news that the Sci-Fi Channel will finally happen is also possible bad news about how the programming will be presented. Original plans were to present shows like *Doctor Who* and *Dark Shadows* in their entirety, with wraparound segments and special features. With USA Network now involved, presentations may now be edited showings with plenty of commercials which has been the case with series such as *Land of the Giants* and *Lost In Space* on the USA Network.
Promotional material for the Sci-Fi Channel has in the past promoted original programming such as a series based on Isaac Asimov’s *Robot* stories, *The Comic Book Show*, *The Haunted House Game Show*, a science fiction talk show, and a NASA Watch show. These are now under review by USA Network with other possible shows under consideration.
Locally, only Cable America, which serves part of Mesa, has said they will carry the Sci-Fi Channel. Dimension Cable, the largest cable system in the Phoenix area has said they will not carry it. With USA Network involved, it is more likely they will give the channel serious consideration. If you want to see the channel on your local cable system, let them know about it in writing and by phone.
**SFAN — Sci-Fi Competition?**
Recently announced to compete with the Sci-Fi Channel is the **Space, Fantasy, and Adventure Network (SFAN)** which is currently negotiating for funding with no announced launch date. Bjo Trimble is the Director of Viewer Relations and is organizing a write-in campaign to convince the major cable operators to give their channel a serious look. Walter Koenig is spokesperson for the channel and would host a movie/TV-oriented talk show on the channel. For more information on this channel, write to SFA Network, Suite 372, 1807 Slaughter Lane #200, Austin, TX 78748-6200.
**Babylon 5 Set for KUTP in Feb. 1993**
*Babylon 5*, the new science fiction series created by J. Michael Straczynski, will air its two-hour premiere movie *The Gathering* in mid-February to kick off the new Warner Bros. network which KUTP, Channel 45 in Phoenix, will be a part of. Plans were originally to air the movie in November, but it was pushed back because Warner Bros. would not have its other new series (*Time Trax* and a new *Kung Fu* series) ready to air until next February.
Look for J. Michael to present a sneak preview of *Babylon 5* at WesterColt .45 in July. Filming of the movie will not start until August, but expect to see a very impressive demo of the computer animated special effects being produced for the show. For those of you with access to the GEnie computer network, J. Michael Straczynski has a very active Topic on *Babylon 5* (Page 470, Cat 18, Topic 22) in the Science Fiction Roundtable.
In the special effects area, *Babylon 5* will be making use of the latest computer animation technology to do the space scenes WITHOUT building models. Ron Thornton, who has worked with NewTek on the Video Toaster, is expanding the state-of-the-art in computer animation in his work on *Babylon 5*. Expect to see effects as good as, if not better than, the effects in a major science fiction movie. I saw a presentation on the show at the Gallifrey One in 3D convention in February and the prototype video shown of the space station was impressive. Pre-production drawings presented a good idea of the detail and thought going into the development of the series.
**Star Trek: TNG and Deep Space Nine**
With the advent of *Star Trek: Deep Space Nine*, Paramount now has plans to continue *Star Trek: The Next Generation* past the upcoming sixth season. With all the main actors having options through only the sixth season, Paramount will need to negotiate new contracts, or write some of the major characters out of the show to continue on another year. Expect them to still be around, since *Star Trek The Next Generation* movies are likely to follow.
When *Star Trek: Deep Space Nine* starts in January, 1993, the opening two-hour movie will feature heavy involvement with the current Enterprise crew. The show will be set up when the Cardassians decide to withdraw from the Bajoran system (Ensign Ro’s home planet) and asks the Federation to keep the peace. This will leave a Federation crew residing on a space station orbiting Bajora, where the Ferengi own the concessions, which includes saloons, casinos and holodeck brothels. After a stable wormhole is discovered, the Cardassians decide they’d like the system back.
The Commander of Deep Space Nine will have a 12 year-old son to deal with in addition to running the space station. He does not get along well with Captain Picard, since his wife was killed by the Borg in the battle at Wolf 359 when Picard was Locutus.
Ensign Ro will be transferred to the station, having received a promotion to Lieutenant in *ST:TNG*’s sixth season. The science officer will be a Trill, the species that inhabits a host body as seen in the *ST:TNG*
---
Warp to page 39...
COSTUMING 101
PART 4: HALL COSTUMES
Yippee ti ya, pard's! Ya'll got yer fancy duds all ready fer WesterColt .45? This time we'd like to take the opportunity to encourage everyone who's planning on attending WesterCon (and that's hopefully all of you) to go ahead and try wearing a costume.
If you're too shy to enter the Masquerade, just wear a hall costume — you wear it when you want, it's fun, there's no pressure, and really adds spice to the whole convention experience. You can go with a hall costume of a historical nature, or you can get outrageous or silly... (this Con has inspired more atrocious puns and amusing costume ideas than we've heard in years). From Miner '49ers (asteroid, of course) through Robo-Sheriff to the more serious historical pioneer, Native American, or mountain man — there's a concept to spark any imagination.
If you don't have an outfit ready, don't give up. Western wear lends itself to impromptu costuming. Thrift shops often have a good selection of western shirts, accessories, etc. or, if your budget is ample, try western or square dance shops. If you have a few hours to sew, patterns are readily available. McCall's #4229 is a quick and easy prairie dress, pinafore apron, and sunbonnet ensemble that is a fine theatrical-historical.
The Book of Buckskinning (several volumes) offers excellent patterns for Native
Go bobbin' to page 43...
THE BUCKSKIN DRESS (FOR INDIAN MAIDENS)
Directions
1. Get three very large, well-stretched and tanned deer hides, or an equivalent amount of soft, split leather or fabric that doesn't ravel. (If authenticity is not your kick, suede-look cloth is inexpensive, lightweight, and will likely require the use of a sewing machine instead of lacings.)
2. Use your largest hide for the yoke. Folded, it should reach approximately to your waist. Cut a slit or T in the center for the neck opening, trim as needed, then fringe all around. (See Figures 1 and 3.)
3. The remaining two hides form the skirt. They should fit from right under the bust to about mid-calf. Trim into two trapezoids, allowing plenty of ease over the hips. Fringe the bottoms. The sides could have a narrow fringe or be left smooth. (See Figures 1 and 3.)
4. To assemble your garment, lay the yoke out flat, wrong side up. Mark two straight lines on either side about 1" above the fringe. (See Figure 4.) Position the skirt pieces on either line. The easiest attachment is a double row of holes. Start at the center and use an awl to make a line of holes about 1/4 to 1/2" below, and even with, the first line. (See Figure 4A). Run lacing through each pair of holes to the outside of your dress and tie, allowing the ends to become part of the fringe.
5. Turn your dress right side out and align the skirt pieces. Working down, from yoke to hem, punch holes along each side through both pieces at about 5" intervals. Run lacing through each pair of holes and tie.
Tips and Variations:
Use double-sided tape, carpet tape, or just a dab of leather (rubber cement) to hold your pieces in place while you make the holes. Always test first on scrap material to be sure the tape or cement doesn't cause any damage.
There are many interesting ways to attach the yoke to the skirt. You might try X's (four holes), stars (a double X), zig-zags, etc., or use ribbon, contrasting lacing, feathers, beads, anything. Be imaginative and have fun!
ConSequiturs
By definition: etiquette \( n \). The usages of polite society. In this case, how we get along with one another during a con.
Conventions are a great social vehicle — a time to learn new things, to buy books and our own personal form of toys (so we can accumulate enough to get into heaven), and to see old friends. However, since this involves interacting with a large number of people (some of whom are not fans, such as the hotel staff and other hotel guests), some formal and other informal rules have developed to help smooth this interaction.
1) Please don’t hassle the hotel staff.
This includes everything from being polite to the hotel staff to obeying their reasonable requests. If you think requests are unreasonable, that’s one reason why the convention has a Hotel Liaison on its staff — the person designated as knowing the language the hotel staff understands. Contact him/her through the convention’s office.
2) Please leave the hotel still standing.
Not only does hotel damage make hotels in town not want to host sf cons, it will also cost the person who rented the room whatever the hotel charges for repairs, plus a visit from the police.
3) Please remember that this is your convention, too.
If you see or hear someone causing problems, especially vandalism, contact the convention office or the hotel’s front desk. It also doesn’t hurt for you to tell the person (especially if it’s someone you know) to knock it off. The most effective weapon against this problem is peer pressure. If you don’t remember and don’t act as if you have a vested interest in the convention, we could end up with the animals taking over the zoo.
4) Please observe the legal limit to how many people share your hotel room for the night.
Hotels are not allowed by law to have more than a certain number (usually 4) stay overnight. Realize that 10 sleeping bags left out is a sure hint that you’ve overstepped the bounds. The reason why a hotel wants ANY convention to use their function facilities usually is tied to the number of hotels rooms the group can fill. Therefore, overcrowding a room results in fewer rooms being sold, which not only means that function space costs get higher, it also becomes more difficult to get the hotel to have the convention return.
5) Please don’t allow under-age drinking in your room.
If you are hosting a party, realize that the hotel could eject you from the premises, the convention could revoke your badge, and you could be arrested for providing alcohol to a minor. DON’T DO IT! Obviously, this goes for any other illegal substance as well.
6) Please don’t come to the hotel unless you intend to be a member of the convention.
If the convention is informed that a group will be meeting during the convention and non-members will be there, sometimes that’s okay. At WesterCon, for example, all parties MUST be registered with the convention, or they may be subject to being shut down by the hotel. We’ve had to take this measure because of damage caused at past conventions by people hosting parties attended by non-members.
Please have a good time! These rules are common sense and really do work to let everyone get along with everyone else. Have a good time, make a new friend, and play it smart.
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GREETINGS DENIZENS OF SOL3 AND FEN. PETE MANLY met with his fiction agent at LepreCon and has completed his fantasy novel titled Dragon 329'er. He proudly reports that he has two winning entries in It Was A Dark And Stormy Night: The Final Conflict, published by Penguin Books, which came out early April. Sales on Unusual Telescopes from Cambridge continue to go well.
I received an update from JENNIFER ROBERSON letting me know that she and MARK O'GREEN have moved to Chandler, a house on an acre with pool and jacuzzi. Mark is still on-line for GEnie, and is in the throes of initial world-building for a new computer game. Zebra has officially titled Jennifer's 'Robin Hood' book Lady of the Forest, scheduling the hardcover debut for September, with a massive marketing campaign.
ALAN DEAN FOSTER is in Australia so I was unable to contact him this time. He'll be gone for a number of weeks. [We will, however, be seeing him at CopperCon 12 this September! — ed]
I spoke with SIMON HAWKE. He has just completed the second book in his Sons Of Glory trilogy, titled Catch the Devil. He is writing a Star Trek: The Next Generation novel to be titled The Romulan Prize, for Pocket Books and Warner. In addition, he has signed to do a trilogy for TSR set in their Dark Sun Universe. The series will be titled A Tribe of One, and the first book will be called The Outcast. As if that were not enough, he is in negotiation with Warner for continuations of the Wizard, Reluctant Sorcerer, and Catseye Gomez series. Simon was a guest at Once Upon A Con in Denver over the Memorial Day weekend along with Rick Cook.
Speaking of RICK COOK, he is rushing to finish the novel about the haunted shopping mall. He tells me he has become at least peripherally involved in the initiative to put "None of the Above" on the ballot in all Arizona elections. Rick is also GoH for Once Upon A Con in Denver. He says he has a good start on the next Wiz novel as well.
Kelly Freas sent us a press release announcing the re-release of The Astounding Fifties, a collection of pen and ink illustrations from Astounding magazine. It will have five press runs of 250 copies (A-E). It will be signed by the artist and is available from Databank Press. The release says this may be the last time we will see these styles again.
MICHAEL STACKPOLE is currently finishing up with Evil Triumphant, the third book in the Dark Conspiracy series. This summer he will be working on Once A Hero, his first fantasy novel for Bantam. In the Fall he'll begin work on a new BattleTech novel. By the way, Natural Selection, the fourth book of the Blood of Kerensky series is due out late June or early July. Mike did the original outline and worked on the Star Trek 25th Anniversary computer game from Interplay. ELIZABETH DANFORTH did a lot of the scripting. The game has sold over 100,000 in just two and a half months. Liz is working on the interior map illustration for Jennifer Roberson's Lady of the Forest. She is also completing illustrations and a poster map for the Bard's Tale 4 project from Electronic Arts. Both Liz and Mike will be guests at Conduit in Utah, and at WolfCon in Mississippi in the Fall. [And both were guests of the recent LepreCon here in town, as well! —ed]
MICHAEL MCCOLLUM reports his Sails of Tau Ceti will be released in August from Del Rey. He sends his regards to all the fen.
STEVE MARTINDALE and ANNIS SHEPHERD continue to work on novels and participate in the Adam's Bookstore Writers' Group. Both (and me too) will have stories appearing the Antholog 1, an anthology of stories by members of the group, also including PAUL FARAH, LARRY REINER and GLENN G. O'BANNON.
I spoke with KAREN KUYKENDALL and she reminded me that Mark of the Cat, the new ANDRE NORTON book based on Karen's cat characters, is out in hardcover from Ace-Putnam. Also recently released was The Costume-Maker's Art which features fantasy and sf costumes as well as historical reproductions, including three of Karen's creations. It is from Lark Books. Little-Brown has also released Cats and Their Women by BARBARA COHEN and LOUISE TAYLOR, in which Karen is also featured. Currently she is working on a book titled Selinity: Karen's Cats in Color.
BRUCE D. ARTHURS tells me he has completed his historical western screenplay and is just setting about marketing it. His story "Shadows Do Not Bleed" was in Sword & Sorcerors #9, edited by MARION ZIMMER BRADLEY, from DAW. He tells me he is now on GEnie as well.
DIANA GABALDON reports that the paperback edition of Outlander is scheduled for June release. The second book in her series, Dragonfly in Amber, is due out in hardcover in August. Popular both within sf and romance, Outlander is garnering award nominations. Romantic Times has nominated it for Best New Age Novel of 1991. The Romance Writers of America have put it on the ballot for the Golden Choice Award. It is also a finalist in two categories for the RITA — Best First Novel & Best Historical Novel. The winners of awards will be decided in July. Currently, Diana is working on the third book in the series.
G. HARRY STINE indicates that Warbots 12: Judgment Day is scheduled for release in late August or September. It is the final Warbots book. He is currently working on the second book in his Supersub series. First Action, the first in the new series, has been turned in and accepted.
WesterColt .45 will premiere some interesting electronic media products. G. Harry is working on a book-on-disk to be titled PC Space, which he describes as a multimedia book without the multimedia. It will be a disk-plus-book package. Along with text, the disk will also have animation — publisher is PC Globe.
Top Line Printing is working on a similar project involving my novel, The Repository, and will have at least a demo of multimedia capabilities at WesterCon. Look for panels on multimedia at the Con and learn more about this exciting new area of publishing.
And that about wraps up this report. See you all at WesterColt .45. Don't forget, if you are a Pro and want the fen to know what you are up to, contact me through ConNotations or Adam's Bookstore and I'll see we add you to the list. Next issue, I hope to expand this column and make it even more regional by including pros in Southern California and New Mexico (so call me!). TTFN.
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ALICIA AUSTIN full-color catalog of Limited Edition prints, notecards, postcards. $3 p/h: Fantasies Unlimited-C, 6507 Fran-rivers Ave., West Hills, CA 91207.
REUNIONS
FUTUREQUEST REUNION — Eeeks! Just around the corner. If you haven't received your info in the mail, call Daniel (602) 243-6937 or Margaret at (602) 220-9785 to verify your address.
COSTUMING
COSTUMERS PATTERN BOOKS, custom-made light boxes. Call Jeanne at (602) 973-2054.
PATTERNS AVAILABLE: pirate shirt, doublet, belt-pouch, Kilt; Basic garb: Capes, shirts, etc. — S.A.S.E. to MoiRandall Misc., 1428 N. Scottsdale Rd, Slot 127, Tempe, AZ 85281
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NEW WRITERS' GROUP FORMING
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SHORT STORY CONTEST! 31st Annual National Fantasy Fan Federation Amateur Science Fiction and Fantasy Short Story Contest. Send SASE for rules and entry blanks to: Donald Franson, 6543 Babcock Ave., N. Hollywood, CA 91606 Important — mention you saw this ad!
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Intercon is a once-per-two-years convention at the University of Oslo, Norway. At the Holland Worldcon they asked me to attend as the Guest of Honor from USA, with Mary Gentle from England, and two locals.
SUNDAY: I drove Marilyn to Los Angeles International. She’s running next year’s Old Lacers convention. This year’s is in New Jersey. So it’s Marilyn in New Jersey and her husband in Oslo.
MONDAY: I wrote down the exact location of the car in Lot C, phoned and left it on my answering service for Michelle Coleman to transmit to Marilyn in New Jersey. SAS boosted me to Business Class. The seats are perfectly orthopedic when reclined, and a shelf pops up under your legs too. They’ll bust your back when upright if you don’t kill the curve with a pillow, but SAS supplies a pillow.
TUESDAY AFTERNOON: landed at Oslo Airport. Nine hour time difference. My back felt fine. The seats work!
Bjørn Vermo had volunteered to escort me around. He drove me to the Nobel Hotel, then walked me around Oslo for a couple of hours. Walking after a long plane flight seems to be a powerful antidote: I felt wonderful. And I collapsed right quick.
WEDNESDAY: The Nobel serves a wonderful breakfast, brunch-like, terminating at 10am. No problem. My body had shifted by 12 hours, and stayed that way.
Bjørn drove us to Alfred Nobel’s historic dynamite works, now a museum, at Engene. Interesting. Then more… I was still jet-lagged, dozing in the car.
He had me back by evening. I wandered the territory I’d seen Tuesday. Street music, lots of park and fountains, a roofless restaurant.
THURSDAY: An old industrial site in a deep valley. “They’ve locked up the waterfall”—in pipes running down the cliff to a power plant, all decades old. “Sometimes they let it out.” There’s a turbine on display, designed for not much water and a pressure head of half a mile, with a jet that could cut Superman in half.
The old captains of industry followed powerful obligations to their workers. Early this century, one noticed his people were going nuts without sunlight in winter. He set up an early cable car system to get his people up to the crest in winter, where the sunlight was.
We went up and wandered the crest for awhile. Wonderful view.
Up the canyon to the power plant, and the site of the Nazi heavy water plant. Allies tried to bomb it, but the canyon’s too deep. They couldn’t get an angle. Norwegian saboteurs went in, blew it up, went out, a hairy exercise that ran smooth as silk. They later starred in a movie about it. The Nazis fixed the plant, we did bomb it, and the Nazis (believing that they needed heavy water to make their bomb) quit.
Upslope still, to a dam made with no concrete, just rock. It’s a Norwegian technique. Dinner: an isolated restaurant, wonderful view, an unfamiliar but delicious fish. Then —
Bruce Pelz had warned me not to leave Norway without seeing a stave church. Bjørn took us to a working stave church at dusk (9pm.) It’s truly wonderful, and indescribable.
FRIDAY: Five in the morning, I woke with an allergy attack. It gets me in the eyes. Cause: fatigue, shortage of sleep. It eased off after four hours or so. I got some shopping in before Bjørn showed up at noon.
Oslo is surrounded by primeval forest. Bjørn was set to take me walking there. But Intercon was due to start at 6pm, and my GoH speech would follow. “Just make sure I’m at the hotel for a couple of hours on my back,” I said, “or I’ll collapse.”
Nordik law allows anyone to pick berries in the forest; it’s one reason the forest has to be protected with such ferocity. We ate blueberries and wild strawberries as we went. Bjørn took us to a tremendous view over Oslo.
Then he got us lost. Three kilometers down a wrong path, in the rain, and back too far, before he realized that he’d been reading his compass with his knife blade directly underneath it. I didn’t make it back to the car. I boarded a bus a kilometer short of that target; sat around 10–15 minutes waiting for the bus to move; and saw Bjørn in his car at the next stop.
The hotel shower was all that I’d dreamed of during the walk in the rain. Heaven.
I’m afraid I short-changed the speech somewhat. My mind just turned off. But I’d gone for show-and-tell, because of the language gap: I’d tossed stuff in my luggage, Ringworld Game and Comic illustrations, design specs for Dream Park paraphernalia, interesting badges, the TrantorCon Restaurant Guide, Fallen Angels and the T-shirt with the cover, other books: things to pass around. I hope they spoke for me. (I think I’ll try it again at my next convention.)
SATURDAY: Everyone in Oslo seems to speak English. It was like a standard little convention in some respects. In others, no. They take it for granted that the GoHs will vanish frequently to do tourist things.
I was lucid again for the morning panel. Then we (Bjørn and Mary Gentle and her husband and some others) went to lunch and the Viking Ship Museum. Viking ships are awesome in the complexity and skill of their creation.
Sirius magazine had published one of my stories. They fed me Danish beer and Linnea Aquavit: chive-flavored vodka that has been shipped to the southern hemisphere and back (across the Line) as a guaranteed means of aging. It’s wonderful.
Nightfall, 9pm: Heidi Lyshol (the energy source for Oslo fandom) and her husband took me and Mike Jittlov to Emmanuel Vigeland’s Sculpture Garden. This is the right time, she says. See it in half-darkness, without swarming tourists. We wandered among over a hundred statues of people at every age
and in almost every possible human mood, and not a scrap of clothing among them. Nice, somber mood.
SUNDAY: My back was still fine; good enough that I admitted I'd sign autographs. Good enough that I went back to Vigeland's sculpture garden to see it by daylight. Heidi's wrong. The statues fit just fine among a seething swarm of tourists. (One artist's vision shaped all of these, with apprentice help. They have a generic look, as if Vigeland forbade any detail beyond some level.)
When I reached the U, Mary and her husband were fighting. Swords. Demonstrating a technique they evolved themselves, swordsmanship turned on its side so that nobody gets hurt. Meanwhile, someone had made off with around $900 in convention receipts, a paper bag of Norwegian kroner clearly labeled as to value and left sitting at the desk. Oslo is delightfully crime-free, but Intercon may have to invent Security real soon now.
A Soviet publisher brought his wife with him to translate, and his one-and-a-half-year-old daughter. He wants rights to some of my books. The baby's just learning Russian. When her mother begins speaking gibberish, she flies into an instant screaming rage.
So Daddy would speak; then Mommy would begin to tell me in English what stories were wanted, conditions, terms; and the girl would begin a shrieking fit. She didn't like me talking either!
They tried various approaches. Mother retreated, nursed her, got her calm... returned and spoke English, and BOOM.
The format that ultimately worked must have been fun to watch. Daddy's carrying the girl, swinging her, soothing her, way the hell at the far end of the hall. Back he comes, and he speaks several paragraphs of Russian to me. Then he's briskly off with Daughter, out of earshot while Mommy translates. I answer. Daddy swings back for more... a long elliptical orbit....
He asked me to attend a Russian convention. Annual. In February. Sounds cold. 1992 looks busy for me, so I begged to be asked for 1993....
(And now Gorbachev's down and back up, the Gang of Eight Stooges is imprisoned, and who knows?) [Note — this was written August '91. — ed.]
Two o'clock, Heidi takes us off to a different sculptor Vigeland's mausoleum, "the most secret museum in Europe." Pass through an outer and inner door: the tomb is dimly lit, with rows of chairs down the center. Vigeland shaped statues inappropriate to the public sculpture garden, and painted the walls with human figures, and skulls, and his own portrait twice, living and dead. Every door handle is a snake in a unique configuration. The urn with his ashes sits over the inner door, under the only complete skeletons in the place: they're fucking in missionary position. It's awesome, it's somber, it shouldn't be missed.
As the convention wound down, so did I. After closing, a handful of us retreated to Ellen Andresen's for dinner. I was nearly comatose. Dinner was late but both good and strange, built around hot cereal with a sour cream base. And Heidi took us (me and Mike Jittlov) home.
MONDAY: I packed the bottle of PAN liqueur Bjørn gave me. But I found and bought Linie Aquavit duty-free. Now my backpack weighs a ton.
The plane takes off at 10:30, no sweat, bound south for Copenhagen. I'll change planes and double back over the north pole.
Yeah... but they can't get our plane to start. From 12:30 they've postponed to 7:00. But they've arranged to take us all to lunch at Tivoli Gardens. It could be worse. I didn't phone Marilyn yet; it was 3am in Los Angeles.
Three busses reached Tivoli. I'd forgotten where we were bound for, so I just stuck with the crowd... and lost them, and may have gotten two other passengers lost too. Two twenty-year-old girls, one from California, one from Sweden. We did our best to hunt down the restaurant, and finally I bought them lunch at random.
We wandered around together, then they went off to shop. My energy was dwindling. Music, flowers, games, crowds... and my back was starting to hurt, so I sat down a lot. I got rained on. I'd checked my backpack at the airport, sweater and all. No sweat. I drank a cappuccino under a roof, and waited for sunshine.
Back aboard a bus at 5:00. The guy in front of me was a fan; had gone to college with Alex Pournelle; was just starting Brin's Earth, which I had finished on the trip. He had some data for me if I ever planned to go to Russia. We talked a little. He says he's very prone to coincidence...
And SAS had postponed to 7:30, to use a plane due in from Japan.
I asked for the return of the money I'd spent on three lunches, and an SAS man got it for me. I bought a haircut, and a ton of chocolate. I phoned Marilyn.
It took off on time. They boosted me forward again: reclining seats. The guy next to me was an engineer with an intense interest in the sciences and none in science fiction. A fascinating conversationalist. We all pretended to sleep, as the plane flew through an endless white-out afternoon....
And when the flight was over, my back had stopped hurting. I LOVE SAS.
Marilyn met me, jet-lagged herself on New Jersey time, and drove us home. I opened the bottle of PAN. It's a Norwegian liqueur made from forest berries, and it's wonderful.
Next Issue:
An interview with Roger Zelazny • CopperCon 12 info • Rejection letters • Contests • A "special issue" surprise!
Supernatural horror and Arizona politics mix — so what else is new?
Who’s Buried in Hunt’s Tomb?
An Eddie Marlow Story
by Peter Aronson
The little white pyramid shimmered in the heat. I adjusted my binoculars slightly, and it leapt into focus. I examined the cracked, bathroom-tile facade carefully, while Svenson muttered to himself impatiently. I felt like muttering myself — it was just past noon, and 114° in Papago Park.
“Well, what do you see?” he demanded.
“Hunt’s Tomb.”
“I know that! Is it in there? You’re the wizard, you should be able to tell.”
“Necromancer, actually.” A white necromancer to be exact. As evidenced by the fact the Svenson was still alive — a black necromancer would have killed him by now, if only to shut him up.
“Necromancer, wizard, sorcerer, whatever. You’re supposed to have all those fancy magical senses, use them!”
I sighed to myself. This was what came of operating a detective agency specializing in “unusual” cases. Mostly that means computer crime — I’m a fair hacker. But a small percentage of my cases require special talents. Like trying to serve process on a werewolf, or working for the client who really was from hell. And the clown next to me.
“Well, what are you waiting for? Get to it!”
“When I’m ready, Svenson. Let me think.” How did the man live to his current age? Never mind that his profession was dangerous enough — he was a professional monster hunter — but why hadn’t someone murdered him by now? I’m sure even his mother must have been tempted.
Svenson glared at me, then turned to his equipment bag. He pulled out an ash stake and started sharpening it, pointedly ignoring me. Which was fine as far as I was concerned. Taking a deep breath, I spoke three rasping, throat-twisting words. A small amount of power flowed from my ring into my eyes. For a moment I felt nothing, then twin ice-picks stabbed into my eye sockets, and for a second I went blind with the pain.
When I could see again, the world looked brighter and more colorful. Living plants glowed a lush green, animals pink or red. The distant power lines
burned with a harsh white light. And Hunt's Tomb, the burial place of Arizona's first governor, had gained a faint, sickly green aura. I reported the last to Svenson.
"So you were right. Accidents can happen," he grumped.
He just didn't want to admit I'd known what I was doing. Well, Svenson had hired me to find the most ostentatious grave in Phoenix. If Hunt's tomb wasn't it, I didn't know what was.
"You keep watching, Marlow. As soon as the temperature rises another degree, it will come out of the tomb."
"What will it look like?"
"Heat shimmer."
Great. That ought to be easy to spot. The air above the tomb was already boiling, and come to think about it, so was I.
A few minutes later, Svenson called out, "115°, Marlow. It should be emerging any moment now."
He was right. About a minute later, the sickly green glow concentrated at the tip of the pyramid, then drifted off into the summer air. Svenson was also right about how it looked — if I hadn't been using *the sight*, it would have looked like a slightly denser patch of heat flicker. I told Svenson what I had seen.
"Which way is it going, Marlow? Which way?" Svenson was pounding on my shoulder hard enough to hurt.
"It's heading south by southwest, at about three to four miles per hour. Wait, it's gaining speed. It's moving about ten miles per hour now."
"Quick, into the car! We have to follow it. If we get there in time, maybe we can save the victim!"
We piled into the car, with him driving and me tracking the thing — an *Annunaki*, Svenson had called it. One of the Judges of Hell. The name had been familiar to me from a comp lit course I took years ago. The texts had included the Sumerian poem, *Inanna's Journey to Hell*.
According to Svenson, the Annunaki was accustomed to the fires of Hell and could not tolerate cold — it hibernated when the temperature fell below 115°. Its preferred resting place was inside a long-dead corpse. When the weather was hot enough, the Annunaki would rise up from whatever dead body it was inhabiting and possess people, so it could judge them. Somehow it never seem to find its victims innocent, no matter who they were or what they had done. The Annunaki always executed the "guilty" by drinking their life force. Svenson had been tracking it for months, following a trail of prematurely aged corpses.
"Which way is it heading now, Marlow?"
"South, toward the Salt River."
"It'll have to turn — they can't cross large amounts of running water."
"What running water? There's more water in an average bathtub than in this part of the Salt in July."
"Oh. Which way next?"
"Straight. Across the bridge."
We followed the thing five or six miles, right up to the edge of the South Mountain Park. I swore under my breath, and Svenson groaned in disappointment. There was no way we could follow it into the mountains in our car, and it was moving far faster than we could move on foot. We would have to go around, and hope to catch it on the far side.
But we were in luck — at the last moment, instead of continuing on into the mountains, the Annunaki suddenly turned and dived into the top floor of a tall office building that crouched at the edge of the park.
"It must have found its victim!" Svenson exclaimed when I told him.
"I guess so." I looked up at the building with a sinking sensation. The Kaler Tower. Twenty-three stories of post-modern bad taste and wasted Italian marble. Its location at the edge of the park was the result of the unsubtle application of considerable political influence and large amounts of money (as if there were any difference between the two). On the top floor, where the Annunaki had entered, were the private offices of Everett Chadworth Kaler, III, himself.
Kaler's the sort of character that Arizona seems to be overrun with. I suspect it's the heat — cooks people's brains. Kaler was a big real-estate developer. He owned expensive properties all over the Valley, most of which hadn't earned a dime since the real-estate market collapsed. Oh, he owned a couple of Savings and Loans, too. Somewhere the government had dozens of lawyers and accountants investigating those banks. Seems that they made a lot of bad loans, then went under. Some of those loans, strangely enough, went to corporations that Kaler owned stock in.
Kaler claimed he was innocent of all wrong doing. That the government was out to get him because he was an enemy of the "secret powers" that were behind it. Of course, he'd been going on that way for years. Besides being a sharp businessman, Kaler was a conspiracy theorist par excellence. He could "prove" that everything from air-pollution to declining SAT scores was part of some government plot or another. Kaler was a perennial write-in candidate for governor on an ultra-right-wing, lunatic fringe platform. It says something about this state that he usually got at least two or three percent of the vote.
We parked the car and rushed into the lobby of the building. "In case *the sight* doesn't work, how can we identify the victim?" I asked Svenson.
"He'll be ranting and raving and speaking in tongues for the first few minutes after possession."
"Hmm. That might not be very easy to spot, here."
"Huh? What do you mean, Marlow?"
"You haven't encountered many Arizona Republicans, have you?"
We took the elevator to the twenty-third floor. There we found ourselves in a tiny lobby facing a glass security wall — one of those set-ups where you have to be buzzed in by someone inside. Behind the wall was a receptionist who looked like she had been stuck out in the desert and left to dry for a few years.
As we walked up to the wall, Svenson looked like he was about to open his mouth, so I stepped on his foot. Hard. The last thing we needed was for Mr. Personality to open his mouth.
I pulled a fake press-pass from my wallet, and waved it in front of the glass wall. "Hi. I'm Art Bearnis from the *Circle City Conservative*, and I'd like to know if Mr. Kaler could spare a moment."
I didn't really expect it to work. After sitting out in the summer heat for an hour, Svenson and I looked a bit on the disreputable side, even for the press. But
Kaler was a publicity hound from way back, so I figured it wouldn’t hurt to try.
To my surprise she reached right down and buzzed us in. “You guys sure got here fast! We just finished calling the press. I’m afraid they’re still setting up the conference room. Would you please wait out here for a few minutes?”
Good timing on our part. Or was it? Kaler called a press conference every other week or so, usually to announce his latest conspiracy theory. Most of the local papers usually sent a junior reporter in case they needed filler. But the timing of this one seemed suspicious. It had been twenty minutes since the Annunaki had vanished into this floor of this building. And they had just finished calling the press a few minutes ago….
A few minutes later, we were shown into a conference room with a podium set up at one end. We were the only ones there.
I asked Svenson, “Is an Annunaki affected by the body in which they sleep?”
Svenson blinked. “How the hell would I know? And what difference would it make, anyway?”
Just then, a reporter from the Arizona Reactionary came in, and we had to shut up. I watched the reporter nervously. Kaler’s staff might not realize there wasn’t any Circle City Conservative, but another reporter certainly would. Fortunately, the reporter had obviously been drinking. He slid into his chair and stared glassy-eyed into space.
Obviously, I couldn’t depend on all of the reporters being drunk, so I got out of my chair, dragging Svenson with me. (He started to protest, so I stepped on his foot again. Hard. It must have been getting sore, because he limped quietly behind me after that.) We stepped out of the conference room, and ducked into a bathroom.
“What are you up to now, Marlow?” Svenson barked.
“Shhhhhh. Keep it down. Just a little spell so that no one notices that we don’t really belong here.”
Svenson muttered something under his breath. I ignored it.
“Just stand still and keep quiet,” I told him.
Drawing a gentle stream of power from the ring on my finger — my talisman — I began to chant quietly in archaic Latin. As I chanted, the room began to blur. Soon, nothing could be seen but flickering light. As I chanted the last word of the spell, the room came back into focus with a sudden snap.
Svenson looked impressed, for once. “What does that do?”
“The spell has two parts. The first part is familiarity. For the next several hours, anyone who looks at us will find us vaguely familiar, like someone they met several years ago, but can’t quite remember where. The second part is avoidance. Anybody who doesn’t actually know us will feel a reluctance to talk to us, a faint sense of embarrassment. Together, the two parts ought to help us avoid embarrassing questions. If we keep our mouths shut — the spell isn’t that powerful.”
We reentered the conference room. Several other reporters had arrived, and I was right, not all of them had been drinking. The reporter from the People’s Times was stoned instead.
Eventually the room filled up with reporters. My spell held, and nobody talked to us, although several people gave us vague waves or nods. About half an hour later, Kaler entered, flanked by a pair of large, muscular “aides.” He looked calm and in control, but to the sight, his entire body glowed with the sickly green light of the undead.
“Ladies and Gentlemen, thank you for coming. I realize that I have, in the past, called frequent press conferences, for little more purpose than to expound on my paranoid fantasies of government conspiracies. But today I intend to tell you something different. Today, ladies and gentlemen, I intend to tell you the truth.”
And he did. He described how he sold uninsured junk bonds to retirees, who were told they were insured. He related how he had bilked the state of millions of dollars of highway construction funds using inside information from the Department of Transportation. He told of how he had purchased votes from members of the state legislature, not forgetting to name names and amounts. (The reporter sitting next to me commented under his breath to her partner: “Well, there goes a third of the legislature into jail, again.”) He replied: “Don’t exaggerate, it was only ten percent last time.” Kaler went on and on, detailing illegal campaign contributions, investments in Mafia-owned casinos, political action groups disguised as charities, and worse. A seemingly endless litany of greed, corruption, and hypocrisy.
When he finished, the room exploded into questions. Drunk or not, the reporters had scented blood and wanted some. And he gave it to them. For 45 minutes he answered any and all questions he was asked, in complete detail. His memory appeared phenomenal — he reeled off details of byzantine business deals without a pause and without recourse to notes. Which was strange — I’d never heard that Kaler had total recall. It had to be the Annunaki, of course.
Eventually, Kaler seemed to tire, and I noticed that his green aura had dimmed somewhat. He spoke briefly to one of his aides, then turned, and abruptly left the room. The reporters surged after them, but the way was blocked by the two aides, who between them had about thirteen feet of height, and over five hundred pounds of muscle.
One of them spoke in a deep, gravelly voice. “Mr. Kaler regrets to inform you that the press conference is over. He will not be available for the rest of today.”
That was all anyone could get out of them. Some of the reporters tried to go around them by using the conference room’s other door, but the corridor outside was filled with uniformed building security.
The muscle boys started herding everyone out to where security could lead them to the elevators. I hooked Svenson’s arm, and pulled him into the corner. “Keep very quiet — I’m going to try something.” I told him.
Concentrating on my already running “Don’t Bother Us” spell, I pulled additional power from my ring to strengthen it. It seemed to work, because when they cleared the room, they managed to miss the two of us.
Once everyone else had left the conference room, Svenson turned to me and said: “Now’s our chance! We can confront the Annunaki, and with luck, send it back to hell!”
"Are you sure you can do that?"
Svenson smiled. "Just look at what I have here." He pulled out a squirt gun. "Filled with holy water, no doubt?"
"Blessed by the Pope himself. And look at this, too," Svenson pulled out a tiny metal case in the shape of a Torah. "A copy of the Sh'ma'i, written out by Rabbi Jacob Yitzhak of Lubin. But I have more —"
I raised a hand. "Enough. I believe you. Shall we go find Mr. Kaler and his uninvited guest now?"
We set off in search of Kaler's office. The spell held up, and nobody paid any attention to us, except for an occasional distant nod or wave of the hand. Frankly, I was surprised at how well it was working. Normally with so many people, we should have encountered someone with a shred of magical talent — it's pretty common. Of course, it is almost always paired with a strong imagination, and I rather doubted that Kaler valued imagination (except, of course, in his bond salesmen, but he would hardly let them on the same floor as him).
Eventually we found Kaler's office. We were standing in the lobby outside, wondering if the spell would let us simply walk past the private secretary, when the door to the inner office opened and Kaler stepped out.
He looked ten years older than he had at the press conference. The Annunaki was obviously eating his life force at a tremendous rate. He turned to face us. "Gentlemen! I've been expecting you, please come in and be seated."
It took a few seconds for Svenson and me to pick our jaws up off of the pile carpet. I walked into the office, trailed by Svenson. It seemed best to conduct our business with the Annunaki in private.
Kaler closed the door behind us, then turned and faced us. Or I should say, the Annunaki turned and faced us. To my magically-enhanced sight, its sickly green glow totally permeated Kaler's body and spirit.
"Who are you two?" It demanded. It pointed at me. "I can see that you're some kind of magician." It pointed at Svenson. "And you, you're carrying all sorts of religious artifacts. Do you two think you're going to exorcise me, or something?"
Svenson thrust out his jaw determinedly. "Exactly, demon! I'm here to send you back to hell where you belong!"
While Svenson was talking, I quietly began preparing two spells: a spell to reflect a spoken word back onto the speaker, and a spell of banishment. Not that I expected the spell of banishment to do much good — according to my friend Tisaphoné who taught it to me, any creature weak enough to banish was probably too weak to bother banishing. But it might serve to distract the thing. If not, I would have to resort to my other talisman, but I'd really rather not.
The Annunaki threw Kaler's head back, and laughed. "Send me back to hell? You two? No! Rather I shall stay in this world and judge the living as I once judged the dead."
The spell was ready, needing only the final word of activation, so I could talk again. "Is that what you're doing in Kaler — passing judgement on him?"
It turned and looked at me thoughtfully. "Exactly. As I rested in the corpse of he who had once been George W. P. Hunt, and read the shreds of his thoughts that echoed softly in his remains, I decided, in homage to my resting place, that I would start by seeking out the man or woman in the city around me who George Hunt would have most despised, who most represented the "vested interests" Hunt spent his life fighting, and bring him my justice."
"And just what gives you the right to judge the living, you undead monster!" Svenson sputtered.
"I give myself the right. I know what is right, and what is wrong, what is good, and what is evil, for within me dwells the very spirit of justice itself. I have decided to judge this world, and I will not be gainsaid!"
Great. Just what Phoenix needed — a supernatural vigilante. An incredibly arrogant supernatural vigilante. I wondered if in a previous existence the Annunaki had been a Federal District Court judge.
I looked at Svenson, and he looked at me, and nodded slightly. I spoke the final word of the banishment spell, while Svenson whipped out his water pistol, and fired.
The Annunaki shrugged off the spell as I expected, but the holy water smoked where it landed on its shirt. Seeing that it was momentarily distracted, I tackled it.
One thing about being a magician — your opponents generally don't expect you to use physical force against them. Kaler's body was as fine-trained as expensive health clubs could make it, but the Annunaki controlling it was so surprised that I had it pinned before it started to resist.
Unfortunately, once it started fighting back, it had superhuman strength. I hate that. It twisted beneath me, then suddenly I was flying through the air, heading for a nice, soft teak desk.
I couldn't have been out for more than a few seconds. When I came to again, Svenson had a copy of the Egyptian Book of the Dead in one hand, and a medicine rattle in the other. The Annunaki was slowly circling him, apparently unable to close with Svenson due to all of the religious paraphernalia he was carrying. Then I noticed that each circle the Annunaki made was just a bit smaller — it was actually a spiral. In a minute, Svenson would be within arm's reach of the thing.
It was time for desperate measures. I reached for the small sheath strapped to my lower right leg, and drew out the dagger within. My other talisman — Parlabane's dagger. A magical artifact that was only a little more dangerous to its target than its wielder.
Ever tried to sneak up on someone walking in circles? It's not easy. Before I had crossed half the room, dagger in hand, the Annunaki spotted me. It apparently knew enough about magic not to like what it saw.
"That weapon is... unnecessary, human. I really meant you and your companion no harm — neither of you wear the stink of corruption. I was only defending myself. If you banished me, I would not be able to bring justice to the really guilty."
"Did you ever stop to think that we might not want your justice? That we might prefer our own?" I asked it.
"But your justice is so unsure! This creature I now inhabit has flouted it for years, and was prepared to flout it indefinitely. His expensive lawyers protected him. But they could not protect him from me. You humans need me!"
It had something of a point, at least in Kaler's case, but I shook my head, and kept advancing. "No, we don't. Our justice might not be perfect, but it is ours. If it needs to be fixed, that's a task for us, not for some supernatural agency. How are we to learn otherwise? And besides, have all your victims been as guilty as Kaler?"
It shrugged. "They were guilty enough for me. You are beginning to annoy me, human. Since you will not leave me to my holy work, I must destroy you!"
Kaler's body took a deep breath, and spoke 'the word that tortures the spirit', the word that once caused the Goddess Inanna to sicken and die.
And I cast my spell of reflecting a spoken word. Ah, the advantages of a classical education.
The effect was dramatic. The Annunaki exploded out of Kaler's body in a blast of sickly green flame, then coalesced into a glowing ball that sank out of sight into the floor, bound for hell. Kaler's eyes rolled up in their sockets and he collapsed bonelessly to the floor.
Svenson was exuberant. "We did it, Marlow! We destroyed the monster! God, I don't mind telling you that I was worried there for a moment. But we've come out on top."
I checked Kaler. He was still alive, although he looked about 70 years old instead of 50. With Svenson's help I heaved him into his desk chair.
We were turning to leave, when we heard a voice behind us. "Who are you two? And what are you doing in my office?"
I turned and faced Kaler. His green aura was gone, leaving just the basic sleazeball. "It doesn't matter who we are — we're just leaving. However, you might want to talk to your press secretary, real soon. I suspect he has some interesting things to tell you."
Svenson and I walked out together, whistling a jaunty tune.
---
**The ONE Book Shop**
**Mid-Summer Super Sale**
Saturday & Sunday, July 18th & 19th
50% off our entire inventory of hardcover & paperback SF, Fantasy & Horror Books!
IMPORTS & LIMITED EDITIONS INCLUDED!
Open Mon–Sat 10am–6pm, Sun 11am–5pm • 120-a E. University, Tempe, AZ • (602) 967-3551 • The Arches Shopping Center, on the corner of Forest & University — just north of the ASU Campus
CopperCon 12
WITH GUESTS OF HONOR
Roger Zelazny
AND
Alan Dean Foster
PLUS
3 Tracks of Panels and Programs
Japanese Animation
Role-Playing Games & Wargames
Masquerade Costume Contest
Dealers’ Room • Art Show • More
Complete the Registration Form on page 25 and mail it to P.O. Box 11743, Phoenix, AZ 85061
$25 thru 8/28/92 • $30 at the door
$20 EACH FOR 6 OR MORE MEMBERS OF AN ACTIVE CLUB REGISTERING AT THE SAME TIME
The Camelview Resort is located at 7601 East Indian Bend Rd, Scottsdale, AZ
Call (602) 991-2400 for reservations — $57 1–4 people STAYING AT THE HOTEL SUPPORTS THE CONVENTION
Science Fiction Convention
September 11—13, 1992
Camelview Resort
Phoenix, Arizona
(602) 220-9785
**High Aztech** by Ernest Hogan, TOR 1991, $3.99 pb, 248 pp.
Local author Hogan’s second novel is a fun-filled romp through a garish and kaleidoscopic Mexico City (now called Tenochtitlan) of the mid-21st Century. A limited nuclear war in the Middle East set off a world-wide depression that reduced the US to a third-rate power, and gave room for Mexico to fill the void and become a major world power. A revival of Aztecan and pseudo-Aztecan style, design and lifestyles is a dominant factor in Hogan’s world. Wherein maverick cartoonist Xolotl Zapata finds himself with two problems: 1) he’s been infected with a designer virus that’s reprogramming his mind to fervent belief in Aztecan religion, and which he passes along to everyone he touches, and 2) everybody — the government, the Mafia, the street gangs, even the garbage collectors (a powerful group in the largest and most crowded city on Earth) — are out to either capture or kill him. What’s a *piliguelt* to do?
Two minor drawbacks to the book: 1) Hogan uses a 21st-century slanguage derived from Spanish and Nahuatl fairly frequently, and while there’s a glossary in the back of the book, it’s mildly frustrating to have to turn there every page or so until the terms become familiar, and 2) I thought the framing device Hogan used for the narrative was somewhat awkward and unnecessary. In all, a good book, fun read, and a lot of promise for Hogan’s future work.
— Bruce D. Arthurs
**Stations Of The Tide** by Michael Swanwick, AvoNova 1991, $4.50 pb, 252 pp.
This Nebula-nominated novel is a treasure chest of imagination and thought. Every several centuries, the planet Miranda is virtually inundated by a catastrophic melt-off of its ice caps. The newest flood is approaching, and towns and outposts built on the lowlands are being abandoned, looted, and deconstructed as humans prepare to flee to the few areas that will remain above water.
But a “magician” named Gregorian has stated that he can induce in humans the land-to-aquatic metamorphosis that Miranda’s lifeforms undergo during the Jubilee Tides. Is he a fraud, and luring his followers to their deaths? Or has he somehow obtained the near-miraculous high-technology of the “floating worlds,” the space and cyberspace colonies that rule the stars, and which is forbidden to planet-bound civilizations? The “bureaucrat” is sent to find out, and is faced with confusion, mystery, betrayal, false identities, spirits of the dead, and the enmity, machinations, and secret agendas of those who sent him. All leading to the final face-to-face confrontation with Gregorian, and the bureaucrat’s pivotal decision. The plot twists and turns in unexpected, sometimes bizarre, ways. The world and society depicted looms in one’s mind, long after the book is finished.
— Bruce D. Arthurs
**Crisis On Doona** by Jody Lynn Nye & Anne McCaffrey, Ace Books 1992, $4.99 pb, 328 pp.
This is a direct sequel to *Decision On Doona* and is a replay of the same plot. Unlike the *Locus* reviewer I have no difficulty believing in a prejudiced politician staying in office for twenty-five years (remember Proxmire?), but I do wish this book had been written with a little more thought to the fact that adults would be reading it.
I can’t say much about the development of Hriss, since we are given no guidelines as to how long it takes for a Hrurban to mature. Todd, however, seems more like a teenager than a human male in his early thirties, and the writing is on a level of complexity of the old Winston Juveniles. Didn’t anyone in the colony want it to fail? Were they all so sane and honest, except for the one obligatory bad guy, that they understood that they would be cutting off their noses to spite their faces to have the colony fail? Doesn’t sound like the humanity I live with. There were many well thought-out parts (using the snake hunt as a tourist attraction and the basic plot to incriminate Todd and Hriss) but the overall impression was of an age 9-12 book which had been accidentally released as an adult novel.
*Decision On Doona* had an adult message underlaying its cuteness, ie., sometimes the only way to handle a situation is to trust and take it at face value. *Crisis On Doona* had no such virtue.
— M.R. Hildebrand
**The Gate Of Ivory** by Doris Egan, DAW Books 1989, $4.50 pb, 319 pp.
**Two Bit Heroes** by Doris Egan, DAW Books 1992, $4.99 pb, 319pp.
These two novels (*Two Bit Heroes* is a direct sequel to *Gate Of Ivory*) walk that interesting line between fantasy and SF. You see, only on the planet Ivory does magic work and no one knows why it works there. So if the mixture of magic and science isn’t to your taste, skip these; but if adventure, mystery, and magic are your cup of tea, these are extremely enjoyable.
In *Gate Of Ivory* we meet Theodora of
Pyrene, an anthropology student accidentally abandoned on Ivory with no way back to the University. After two years of fortune-telling in the Bazaar, she is hired to read a very special deck of cards for a wealthy and powerful sorcerer, Ran Cormallon. Soon she is swept into a maelstrom of intrigue and disaster where loyalty and self-interest are opposed.
In *Two Bit Heroes* (Grand Tragedy Heroes have logical plot lines and classic endings where people learn something, Two Bit Heroes just dribble on from week to week going from one problem to another), Theodora and Ran take on an investigation and wind up involved in a plot with bandits and nobility which seems to have no satisfactory conclusion, but our ingenious heroes win out with a little luck and a lot of cleverness. Full of fun; I enjoyed these.
— M.R. Hildebrand
**Voyage To The Red Planet** by Terry Bisson, AvoNova Books 1991, $3.50 pb, 236 pp.
This is an extremely enjoyable and somewhat wacky tale of mankind's first voyage to Mars. Bisson extrapolates a Grand Depression which has bankrupted the US, forcing it to sell its assets to the multibillion dollar international business conglomerates (for example, Disney-Gerber buys the National Park System and Beatrice-Texaco the U.S. Navy).
Using blackmail, bribery, and any other tactic he can think of, a movie producer named Markson plans to make a movie on Mars. The ship, which was secretly prepared for a joint US-Soviet Mars mission, has been mothballed in orbit behind the nuclear waste belt for twenty years, but Markson persuades a film crew and a group of aging astronauts & cosmonauts to attempt the trip.
The book has clever and amusing extrapolations of the future, a few very old cliches, and a good feel for character and pacing all fitted together with good craftsmanship. If you grew up on comic books, Winston juveniles, and/or sf movies you'll love this one.
— M.R. Hildebrand
**Catnap: A Midnight Louie Mystery** by Carole Nelson Douglas, TOR Books 1992, $17.95 hc, 235 pp.
Foul play at the American Booksellers Association convention in Las Vegas. A publisher of medical thrillers has been murdered (with a knitting needle!) and the feline mascots of a wholesaler have disappeared! Its Midnight Louie to the rescue — an 18 pound extremely streetwise black furrperson who decides its his duty to assist Miss Temple Barr, PR person for the convention center ("a feisty doll... a sweet-and-tart little dish", says Louie) in apprehending the culprits.
This is a fast-paced romp seen from both Temple Barr's perspective and Louie's as they individually and together sort through the suspects, trying to solve both cases before the close of the convention (all the while trying to maintain the reputation of the convention center and assist police Lieutenant Molina in her investigation). And it doesn't help that Temple Barr's boyfriend, the magician, had disappeared under mysterious circumstances not that long ago.
Louie is a charming rogue reminiscent of Nathan Detroit or Dave the Dude. Some of you may have had a chance to meet Carole Nelson Douglas when she was GoH at LepreCon 17. She is a charming lady herself and has continued to stretch her boundaries, writing SF (*Probe, CounterProbe*), fantasy (*Sword and Circlet series, Cup Of Clay*) and mysteries (*Good Night, Mr Holmes and Good Morning, Irene*). Of course she had some help from Louie with this one, but it definitely leaves one thirsting for more.
— David J. Hlatt
**Mirabile** by Janet Kagan, TOR Books 1992, $18.95 hc, 276 pp.
The planet Mirabile was colonized by a group of Terrans who brought an ample supply of genetic material from earth to populate the planet with all manner of plants, insects, birds, mammals, etc. from the home planet. The colonists only have two problems. Much of their data was scrambled on the long voyage to their new home, and the scientists back on Earth had decreased the number of viable germ plasm by piggybacking DNA from one species onto another. So, this meant that two horses, for example, if conditions were right might produce a dog. But given the first problem (scrambled or lost data) the colonists had no idea what would produce what. So each mating season was a surprise. And of course there were the indigenous flora and fauna to contend with.
And there were the "dragon's teeth" — unpredictable combinations of sometimes lethal subspecies like the kangaroo rex or the vicious frankenswine. This book is in fact a series of short stories tied together by some very simplistic text, but it really doesn't matter because they flow nicely together chronologically. The characters are interesting, running the gamut of ages. The main character is Annie Jason Masmajean, a rather headstrong mover and shaker, head of a team of troubleshooting genetic explorers whose job it is to check the DNA of
any and all unusual critters that pop up.
There is action aplenty, and a lot of tongue-in-cheek humor to satisfy most palates (and a bit of romance for spice). Each episode has its own distinct flavor and once you start thinking about it, the possibilities for further adventures are endless. This is Ms. Kagan's third book, the first being *Uhura's Song* and the second *Hellspark*. I'll be looking for more!
— David J. Hiatt
**Dracula Unbound** by Brian W. Aldiss, HarperPaperbacks, May 1992, $4.50 pb, 275 pp.
We meet wealthy Texas industrialist Joe Bodenland as he puts the final touches on his presentation for the Department of the Environment, a demonstration of his latest invention, something resembling a time machine. The difference, however, is that rather than sending an object into the past or future, it simply halts the item's progression through time, as we sweep on by. The perfect hazardous waste disposal unit, it seems, since the object is never seen again.
Meanwhile, Joe's long-time friend, archeologist Bernie Clift, has discovered the remains of a human-like skeleton, coffin and all, that dates back over 65 million years — 60 million years before the first primitive man walked the earth. Add to that a mysterious craft flying over the discovery site, the disturbing words inscribed on the coffin, and a silver bullet lodged in the skeleton's rib, and Joe can't help being launched into an adventure that leads him to the beginning and end of time, with some interesting stops in between.
Brian Aldiss' *Dracula Unbound* is one of those rare stories that's simultaneously exciting, thought-provoking, and so engrossing you'll be hard-pressed to put it down. Aldiss effectively crosses the horror/science fiction genre line, while giving us a bit of a history lesson and some interesting insight into mankind's ability to explain away any phenomena, no matter how much man misunderstands it.
Note that while Aldiss uses some of the same characters as his *Frankenstein Unbound*, this book stands completely alone, with only the briefest reference to the former, more as an inside joke than anything else. Because he doesn't delve too deeply into the scientific explanations of time travel and keeps the story from getting too horrific, Brian Aldiss has given us an adventure that fans of any genre should enjoy. I thoroughly recommend this entertaining book.
— Matthew Frederick
**Time and Again** by Clifford Simak, Collier Books 1992, $9.00 tpb, 235 pp.
Collier, a division of Macmillan Publishing, has an interesting line of trade paperbacks out in its Collier Nucleus Science Fiction Classic series. This story, originally published in 1951, is a well-told science fiction yarn that shows Clifford Simak at the top of his form.
*Time and Again* tells the story of Asher Sutton, an agent of Earth's government who has just returned after vanishing on assignment over twenty years before. He comes back in a ship that can't fly and has no working life support system, yet manages to get him safely on the ground. He immediately becomes embroiled in a multi-party conspiracy that stretches over thousands of years into the future and past, with his briefcase containing either mankind's greatest salvation or worst destruction, depending on your point of view.
This well-told story stands up effectively to the best of today's science fiction — forty years of scientific advancement and our plunge into the computer age don't harm the plot or its devices a bit. The only telling anachronism occurs when a character 4,000 years in the future, the head of one of the largest corporations in the galaxy, sits listening to Sutton while flipping paper clips into his inkwell — who knows, maybe electronic data storage will go out of style and quill pens will make a comeback. Remember Captain Kirk's line in an episode of *Star Trek* when he reminisces about his school time pranks, including dipping little girls' pigtails into inkwells? Ah, fickle fashion...
I recommend this tale without reservation to any fan of science fiction, hard or "soft." It's tremendous fun and quite sobering to read this excellent story written before half of the world's science fiction fans were born. Enjoy!
— Matthew Frederick
**The Voyage of the Space Beagle** by A.E. van Vogt, Collier 1992, $8.00 tpb, 240 pp.
Another book in Collier's Nucleus Science Fiction Classic series, *The Voyage of the Space Beagle* was originally published in 1939. Certainly having earned the title "Classic," *Space Beagle* is really a series of adventures aboard the same-named 1,000 man exploration ship. I do mean "1,000 man" — there isn't a woman to be found in the entire story. Consider the social mores of 1939 — this is, after all, a *scientific exploration* vessel, not some kind of cruise ship....
The book's main character is a scientist named Elliott Grosvenor, expert in the new science of Nexialism, a field that includes the study of all other sciences and concentrates on a more holistic approach, something virtually unheard of in 1939, and still not really in use today. Nexialists manage to become experts in many fields through special education techniques that include hypnosis and subliminal learning, methods that
still have yet to see much use in the world of 1992. These impressive scientific predictions by van Vogt are enjoyable, but the rest of the book suffers considerably.
The stories are surprisingly similar: Beagle meets alien species, bureaucratic scientists and military men argue over how to handle the deadliest threat the ship has ever encountered, and Nexialism (through Grosvenor) saves the day. Each alien does have a special power or ability that undoubtedly seemed exciting and different in 1939, but they seem rather familiar today.
One of the stories, "Black Destroyer," is said to be the inspiration for the movie Alien, and while it does bear a couple of marked resemblances, it is for the most part very dissimilar. The bureaucratic machinations, while perhaps fairly realistic (particularly in the absence of a strong and intelligent leader), get rather monotonous, particularly since Nexialism seems to be the cure-all, if only the ship's leaders would see.
This book suffers from age much worse than does Time and Again, the other Collier Nucleus SF Classic reviewed above. Anachronistic references to technology aren't too difficult to overcome (though Grosvenor's reference to having his handwritten report typed by the secretarial pool so he can bring it to his supervisor is rather humorous from today's viewpoint), the social and cultural outdatedness make the story less enjoyable. Certainly a classic in the van Vogt style, I only recommend The Voyage of the Space Beagle to readers interested in what the "Golden Age of Science Fiction" was like.
— Matthew Frederick
Ole Doc Methuselah by L. Ron Hubbard, Bridge Publications 1992, $18.95 hc, 265 pp.
It was the early 1970's, and I found a book that would introduce me to one of my favorite characters, Doc Methuselah. When I heard Bridge Publications was reprinting some of the short stories of Doc Methuselah from the 40's and 50's I had to have a copy.
This book consists of the seven short stories in the Doc Methuselah series. These stories were written during the end of the pulp era, and height of the space-opera period, and are wonderful examples of space adventures. All have a puzzle, a mystery to figure out that isn't explained till the very end of the story.
Doc Methuselah is one of the immortal founders of a society of physicians called the Soldiers of Light. They control all medical knowledge that a government could use against people, or other Governments, and keep disease under control. They owe allegiance to no government, may not interfere with non-medical matters and are inviolate by any person or government, but they can be killed.
Doc Methuselah takes on medical, moral and political problems of the universe in these space adventures, without interfering of course. The stories are humorous, fast-paced, and always interesting. If you like old-fashioned science fiction, you will love Ole Doc Methuselah.
— Barry Bard
Far Cry by Michael Stewart, HarperPaperbacks, April 1992, $4.99 pb, 263 pp.
This seemingly well-researched science-horror story tells the tale of Jonathan Hall, a young boy prone to some peculiar seizures, and Frank Fuller, a traveling publisher's representative. They meet as Fuller literally runs into the boy with his car one stormy evening. Just as he gets out of his car to help, Jonathan begins going through tremendous convulsions, cursing and claiming that his name is Tommy. As the story progresses, we see that Jonathan's seizures are clearly not of the standard epileptic sort, and Frank's psychiatrist friend begins taking extreme interest in the boy's case.
Described as the "Master of the Dark Side of Modern Science" by the publisher, Michael Stewart doesn't do a very good job with the "Dark" portion at all. Far Cry disappoints as it attempts to add a little darkness to an otherwise boring medical mystery — it is in no way frightening, or even particularly discomforting, with the possible exception of the emotionally distressing relationship young Jonathan has with his mother.
Just as I don't recommend this for horror fans, I also don't recommend it for medical mystery buffs. The scientific analysis of Jonathan's condition is amazingly dull and never comes to any useful conclusion. If you like medical mysteries, stick with one of Robin Cook's stories, like Coma. If you like horror that ends with a scientific explanation, try something from Dean R. Koontz, like Strangers or Watchers. Either way, stay away from this rather mundane, vague, and seemingly pointless book.
— Matthew Frederick
The Gnome's Engine by Teresa Edgerton, Ace pb, $4.50, 265 pp.
This is the sequel to Goblin Moon, reviewed by Hilde in an earlier issue. I disagree with her about the setting, which I think resembles Holland in the 17th or 18th century rather than medieval England; but we are in agreement about the author, one of the brightest new fantasy talents to emerge in quite a while. Here she takes the surviving characters from the previous volume to the New World, where they seek the treasure of the antediluvian world: Seramaeids, the Philosopher's Stone, is believed to be buried on a sunken island which they hope to raise with the help of a magical machine built by a gnome artisan.
All this is entangled with the fates of two pairs of star-crossed lovers: Sera the necromancer's granddaughter and the enigmatic Francis Skelbrooke; and her
Where Do We Go from Here?
Commentary by Matthew Frederick
Science fiction conventions are great, don't you think? They're an excellent opportunity to meet the authors of your favorite books. A chance to look at, and if you're interested, purchase some of the greatest SF and fantasy art in the world. And of course there's all that neat stuff the dealers bring, the incredible Japanese animation, new people to game with, and a chance to get in on some great SF-oriented discussions via the panels and presentations. And most important for many, conventions provide an opportunity to get together with old friends and a chance to meet some new ones.
But science fiction conventions in Arizona, and for that matter nationwide, are in big trouble. It seems that certain groups have chosen to use cons as their party stompin' grounds, an opportunity to wreak havoc and blow off some steam — to their detriment and everyone else's.
As a very clear-cut example, let me relate a true story. I'm the chairman of a convention coming up this fall — that means it's my opportunity to pick the Guests of Honor, to decide what kind of activities will take place at the con, and my responsibility to locate a hotel to hold it in. It's the latter that has caused the most trouble.
You see, the hotel we held the convention at the last couple of years is a great place to hold a con — we virtually get the whole thing to ourselves, it has a 24-hour coffee shop with decent food and reasonable prices, it's plenty big enough, and the staff is usually terrific. But there was a problem with negotiations — due to an only partly-deserved reputation we acquired there, the hotel wanted us to pay a lot more money for the facilities. You may or may not know that most of our conventions only make about $1,000, which is used as seed money for the next year's event and to help pay for ConNotations. The hotel wanted us to pay considerably more than that, with a final result of not being able to hold our convention there.
So, we chose a hotel located not far away — they had a little less space, and we would probably be sharing the place with a fair number of mundanes (non-convention attendees), but overall, not a bad place. We initiated negotiations and prepared a contract. Everything moved along smoothly for quite some time, until the new hotel called the old one.
It seems that the old hotel told stories about us, none of which was accurate, but all of which made us look very bad. The one story that probably caused the most trouble was the one where a convention attendee supposedly pulled a gun on someone. This, understandably, was unreasonable and unacceptable behavior as far as the new hotel was concerned, and so we were politely told, late in our negotiations, that we weren't welcome there.
Let me tell you the true story about the gun, and keep in mind that any problem that takes place at a con can get blown out of proportion like this.
It seems that the Scottsdale Police were called out to the convention due to some difficulty — that alone is bad enough. A group of people, there to party, behaved in an unacceptable manner, and we decided to let the police handle it. Shortly after the officers entered the group's hotel room, one of the occupants informed them that he had a gun in his luggage, and that if they were going to search the place, not to be alarmed — a warning made strictly for the safety of all concerned. There was no search, and the situation ended very peacefully, but through the magic of the rumor-mill, the new hotel got word that a gun was pulled.
As you may or may not know, hotel managers and salespeople talk with each other regularly — it only takes ONE incident like this to convince every hotel in the valley that we're bad news, and this is just one of many similar stories that have sprung up over the last few years. And this, my friends, could easily spell the end of cons in Arizona.
And it's not just Arizona, either: I've been reading newsletters and fanzines, and a recent issue of the fanzine File770 reported that a San Francisco-based convention received rules from their hotel as follows, and I quote File770:
The new rules required all room parties to end by 2:00 a.m., limited maximum occupancy to four people, promised expulsion of anyone found sleeping in the hotel outside a guest room, forbade public displays of affection, banned unregistered guests from the hotel between 2 a.m. and 5 a.m., prohibited "prafane [sic] gestures", set a dress code that required shoes and shirts in public areas (other than the pool), barred selling out of guest rooms, and reinforced half a dozen other points... that are public laws. In every case, an infraction of the rules would be dealt with by eviction from one's guest room and/or being escorted off the property.
Well, wouldn't that be lovely? What a happy and wonderful situation. At this rate, THAT IS THE NEXT STAGE IN OUR CONVENTION EVOLUTION. And if
Shoot over to page 42...
cousin, the aristocratic but frail Elsie, and Sera’s childhood friend Jed, the poor wharf rat with a bright future in the Glassmaker’s Guild.
The four are pursued by the vengeful half-fairy Duchess of Zar-Wildungen and her henchman (or rather henchroll) Baron Skogskra. This sinister pair is accompanied by the even more sinister undead wizard Thomas Kelly, who has his own plans for the stone — and for his temporary accomplices.
All these skirns are neatly wound and woven into a well-patterned plot, as are the fates of lesser characters of old (like Jed’s Uncle Caleb and the homunculus Eirena) and new (like Izrael Barebones, the ghost of Mothgreen Academy, who persists in haunting Sera, the only resident of the Academy who does not believe in ghosts). But we are left wondering about the fate of the unfortunate young doctor who is brought by the Duchess to perform surgery on the Troll King, since she has neglected to inform him of the regenerative powers of trolls and the King has a habit of eating humans who displease him. I’m afraid malpractice insurance just isn’t going to cut it here. This is one sequel that really can’t be read on its own, so be sure to buy Goblin Moon first. In fact, why not go the whole hog and buy her medieval Celtic fantasy series The Green Lion Trilogy as well? Edgerton is a writer whose work is reminiscent at times of many different authors, from Malory to Georgette Heyer, but whose use of such sources results in an original and unique product. Very highly recommended.
— Anne Braude
The Jamais Vu Papers: or, Misadventures In The Worlds Of Science, Myth, and Magic, Wim Coleman and Pat Perrin, Harmony Books 1991, $15.00tpb, 327 pp.
This book resembles a cross between Douglas Adams’ Dirk Gently books and Eco’s Foucault’s Pendulum, as created by the sort of quantum mechanic who works out of a chop-shop, perhaps after dropping acid with Joseph Campbell. Jamais Vu is the sensation that you’ve never been here before, a sense of wonder greatly to be desired, especially by the famous movie star Hilary, who is suffering from terminal deja vu — the feeling that “eternity has gone into reruns.”
When she disappears (accompanied by a small green rug) from the office of psychiatrist Hector Glasco after taking a mysterious experimental drug, his desperate attempts to find her lead him in and out of the universe of lucid dreaming. Along the way we encounter the sinister Imogene Savonarola; the ladies of the Elmblight, Ohio Book Club and Sewing Circle, who not only are in the book but are reading and discussing the book, dropping little notes to the author as to what should happen in the next chapter, and suddenly finding themselves confronting the same characters they are reading about (“There’s a deconstructionist in our kitchen... and he’s eaten all the brownies,” said Ethel); and Professor Joseph Xavier Briling of James Fenimore Cooper Junior College in Sequester, Missouri, the least imaginative being in the universe, who may or may not be God but in any case has suddenly begun to channel the Cardiff Giant in his Intro to Lit classes.
There are also guest appearances by real people (at least they were real before they got into this book), including novelist Tom Robbins, philosopher Daniel C. Dennett, satirist Paul Krassner, physicist Fred Alan Wolf, and Timothy Leary; oddly enough, the newsletter THE JAMAIS VU PAPERS is also real and existed before the novel. If you are the sort of reader who believes that a story should begin at the beginning, go on to the end, and then stop, this is not for you. It is episodic, playful, and much of the time downright confusing. Hector does eventually locate Hilary; other than that you can’t be sure of much.
The action takes place against a background that is a bewildering purée of Jungian myth, speculative physics, and New Age moonshine. But if you believe that with reading, as with bussing, getting there is half the fun, and you like your fiction experimental and farcical (and your sense of reality optional), you will find The Jamais Vu Papers just what you are looking for — and you will have the strangest feeling that you have never read it before.
— Anne Braude
Mairelon The Magician by Patricia C. Wrede, TOR 1991, $17.95, 280 pp.
This book is not a sequel to Sorcery and Cecilia, the delightful epistolary fantasy co-authored by Wrede and Caroline Stevermer a couple of years ago, but it is set in the same alternate universe: Regency London with magic. The heroine is Kim, a clever street urchin disguised (in traditional fashion) as a boy, who is hired to burgle the caravan of a mysterious itinerant magician, who catches her in the act but decides to hire her, as he can use a good lockpicker.
Accused of stealing magical artifacts from the Royal College of Wizards, Mairelon is trying to track down the missing items and discover the real culprits. Suspects and distractions include a Napoleon of Crime, a wicked baron, A French emigre who is bewitching in every sense of the word, a Bow Street Runner in disguise, a standard-issue airheaded blonde.
The plot climaxes in an epic confrontation scene that would not be out of place in Tom Jones. Wrede handles plot, character, and dialogue in her usual masterly fashion, proving she is not only one of the finest fantasy authors now practicing but also one who has read Georgette Heyer to some purpose. She stays in period so skillfully that one tends to forget that the period never actually existed. Developments in the end set up an awfully promising situation for a sequel, a consummation devoutly to be wished. Very highly recommended.
— Anne Braude
Moonwise by Greer Ilene Gilman, Roc, $4.95 pb, 373 pp.
If you enjoy multiple layers of metaphor and archetype, and aren’t afraid to re-read passages several times, you may find this first attempt from Greer Ilene Gilman an intricate, exciting new challenge. If you are looking for a light, quick-read, however, this book is not for you. Gilman’s old-world language creates a dank, foreboding tone.
From the beginning, she nurtures a sense of a distant culture, like a room full of treasures unopened for years, full of forgotten smells and remnants. Her careful weaving of language leads us into a world quite foreign, which transcends the concepts and dimension of the twentieth century, into the childhood dreamworld of Sylvie and Ariane.
The book begins as Ariane returns to her friend Sylvie’s house for a visit, many years after they have last seen each other. After a short period of re-acquaintance, Sylvie disappears. Ariane, while searching for her, stumbles upon an unworlthy child (later named Croabh) who appears in the wood near Sylvie’s home. Ariane realizes Sylvie has been transported to this child’s land, and together with Croabh, she finds her way to this alternate world.
Sylvie and Ariane, in their separate journeys, meet with colorful foes and allies alike. They struggle to find out why they have come to the shared world of their childhood dreams, and what battles they must face if they are to return home. Gilman’s carefully-crafted language is like a fine new wine to be slowly studied and sipped, not chugged like Ripple.
The problem is, you can find yourself losing interest while waiting for something to happen. Not everyone appreciates forty-dollar-a-bottle wine. However, the layered, metaphorical language which Gilman has developed for the worlds of Sylvie and Ariane makes this novel unique. Those who stick it out will find this rich, archetypal fare provides some tasty brain food. If you’re determined enough to sift through the sometimes-murky, albeit striking language of this tale of dark and light, you’ll stretch your views of language. This book forces you to question and ferret out meaning, if you are to grasp not only character action, but the intricacies of a physical and metaphorical journey between two worlds. Be prepared to re-read this experimental work, if you want to understand and appreciate its subtleties. Just remember this is not a quick read, and not for everyone.
— Daniel Arthur
In The Hall Of The Dragon King by Stephen R. Lawhead, Avon, $4.99, 370 pp.
This novel starts off another fantasy trilogy by the author of the Pendragon trilogy. We begin with a sorely wounded knight stumbling into a (non-Christian) monastery bearing a letter from the missing king of Mensandor to his Queen. You are not surprised when Quentin, an acolyte, volunteers to carry the letter to the King, and none of the rest of the plot surprises you either. This can be done well (see David Eddings), but In the Hall Of The Dragon King you feel as if Lawhead has chosen your adventure for you. The major surprise is when Quentin is suddenly adopted as ward of the King, but goes back to Dekra to study the Mysteries of the One God, leaving himself available for the next volume or two.
This generic fantasy goes 370 pages without a single character that goes beyond one dimension. The author’s greatest strength is the fact he writes Christian fantasy, but C.S. Lewis or Madeline L’Engle do it well.
— Pam Allan
Firefly by Piers Anthony, Avon, $5.99, 466 pp.
Listed as a novel of ecstatic terror on its cover, this departure from Anthony’s usual writing almost defies genre placement. What it is not, with the exception of the last paragraph, is horror in the traditional sense.
In rural Florida, something is ingesting all but the skin and bones of the local fauna. When it works up to a hunter, both the authorities and the local absentee Daddy Warbucks prefer to keep things under wraps until the crisis is over. The hunter is found by the caretaker of the Middle Kingdom, the very private retreat of Mr. Middleberry. Mr. Middleberry initiates the problem solving and cover-up, using some of the most interesting and effective emotional basket cases I’ve read since David and Lisa.
While working through their own horrors (Firefly conveniently gets two bad guys, one kid, one good guy, and various local animals), we delve into their psyches in a fairly involving manner. You can’t help liking Geode, May Flowers, Cyrano, and Oenone as they pursue Firefly to its death. There is a lot of good character development in Firefly, but it is more a psychological study of man’s abuse of man than a thriller. It is a serious reminder that what we do creates the next generation of predator.
— Pam Allan
Goddesses, Wizards, and Star Ships
Continued from page 11...
Thea Shannon was certainly a mysterious woman, and this merely added to her strange allure.
"And this must be your daughter, Nerissa." Her voice suddenly had a strange quality that hadn't been there before, a relaxation of the rational, unemotional, businesslike tone. And her expression changed, too. Briefly, she looked surprised.
I turned to find Nerissa standing on my right. She had a shocked expression on her face.
And when I looked from Thea Shannon to Nerissa Hunt, I suspect that a shocked expression appeared on my face, too.
The two were as twins, yet not twins. They were as mother and daughter, yet not because of some subtle difference that I couldn't tag. They could have easily passed for sisters.
I was so locked into pi-time by Thea Shannon that I didn't catch whatever passed between her and my daughter in psi-time. I thought something did, but I didn't know what.
Nerissa behaved as she never had before with a total stranger. "Thea, you're always welcome here from now on," my daughter said levelly and kissed her on the cheek.
"Thank you, Rissie. You are your father's daughter." She returned my daughter's kiss.
The Titaness had used the childhood love-name given to Nerissa by Rhea. How did she know?
That greeting shook me. Was Nerissa reacting to Thea's acutely similar appearance to her mother? Or was Thea Shannon reacting to Nerissa as she would see herself in a mirror?
I was so set-back that Nerissa had to perform the introductions to the others present.
It was merely a formality.
All of my menticist colleagues knew Thea Shannon.
Surprisingly, this included Marcina Sakarhi. But it wasn't surprising that Marcie greeted Thea Shannon in a manner that resembled a cold front moving through Skull Valley from the northwest. Both were beautiful women. No, that's not right. Stunning is the correct word.
I sensed some sort of rancor between the two. It wasn't apparent from Thea Shannon's expression or greeting to Marcie. But Marcie remarked in a voice as cold as slush hydrogen and dripping with sweetness that barely missed being outright sarcasm, "Thea, darling, you're certainly looking much better. Would you give me the name of the bio-regeneration clinic you used?"
The Titaness smiled with very little warmth. "You know I don't use one, Marcina. Either one has the genes or she doesn't." There was no hint of hostility in her voice.
My own interaction with the world of private enterprise told me that Thea Shannon was undoubtedly a consummate actress. Most business managers mustn't permit their true feelings to show in business dealings.
I wasn't surprised that Kaaru knew the Titaness, too. "I'm pleased you are here," he told her, rising to his feet and bowing formally. "Our enterprise needs you. I'm pleased that you could spare the time from your business responsibilities and constant commercial duties. I find it interesting that you know of our situation."
"Kaaru-san," Thea Shannon told him flatly yet with a tone of respect in her voice, "I was carefully educated and even more thoroughly trained in the basic concept of free enterprise. If one is to supply items of value for value received, one must be constantly aware of what's happening. If one is to direct and manipulate events, one must use the military principles of seek, find, take the initiative, and maintain security."
"You have always done well in that regard," Kaaru observed.
"I am always pleasantly surprised at your appearance each time I see you. You are an artist in that regard."
Thea Shannon shook her head. "I'm not an artist, Kaaru-san. I'm an engineer. I deliberately permit my appearance to deceive those who can't see beyond it. They discover — sometimes too late — that a successful business person must be able to think under stress of all sorts."
She smiled at Kaaru. "You may have taught me the theory, but I'm a practical person. You're one of the greatest mentical scientists, but I might be considered a mentical engineer. I'm a pragmatist. I've used what you've discovered. Some day it will no longer be important for me to maintain my image. Some day, I may let it be known what it really is, what I've done with it, and what I've done with the money I've made as a result. But the time isn't yet."
I didn't know this enigmatic woman yet. I only knew the legends. Was she being unusually open and frank with Kaaru because he had apparently been one of her mentors at one time?
I couldn't understand Thea Shannon because I didn't know what was motivating her at the moment. But whatever was behind her visit and behavior, she acted in a very strange way. She anticipated. She reacted in advance. She moved in ways that were alien to my experience with people.
This was very pronounced when she came over to stand next to me. Looking at all of us one by one, she announced, "I know why you're here. I know what Nerissa has found. You need me if you intend to search for extraterrestrial intelligence."
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probably take me two years to write. That almost takes me to the year 2000. I have ideas popping up all the time. I don't know what I'll be writing in the next century, I just know that I'll be writing something."
I asked the Arizona author if she felt the longstanding division between the worlds of science fiction and fantasy writing still prevailed. "A lot of panels at fantasy and science fiction conventions discuss the inherent conflicts between writing fantasy and science fiction. A number of my fellow writers seem to think there is no logic to writing fantasy. Anyone who writes fantasy understands that there is a great deal of logic in creating a fantasy novel or series. There have to be realistic aspects, or it is so far-fetched that it is difficult for the reader to suspend his disbelief. Therefore, I wanted to make a point to myself, that what is otherwise a magical series can have logical aspects as well. I purposely based the solution to Sword-Breaker on what is a nitty-gritty, down-to-earth idea.
I wondered if Zebra Books had any concerns about her expanded sphere of markets. "The publishers are bringing out Lady of the Forest under the name Roberson, trying to pick up some crossover audience from my fantasy following. We'll see what effect there is."
Shoe-horned into her demanding writing schedule is husband Mark O'Green, an ex-fighter pilot and software designer. The couple share their home with a collection of cats and dogs, and among them is Champion Kismet Cheysuli Wld Blu Yond'r CD, aka "Pilot", a Cardigan Corgi.
Training and showing her dog allows Roberson an avenue of escape from the insular world of the writer. "As a writer you work in a vacuum, without any real feedback. So when I take the dogs to a class or a show, it's a totally different world. I'm dealing with an animal instead of a computer and you get a certain amount of feedback [from dogs] that you cannot expect from editors.
"You also get unconditional love, which is a very nice reward for an author, because so often we are unrewarded for the work we do. People may like it [your work], but they don't tell you. Editors may like it, but they don't tell you. It seems as if editors are afraid to say you are doing well because you might ask for more money, although my editors have always been very good about it."
Although her fantasy series are coming to an end, Roberson says we may not have seen the last of her characters. "There may come a time in both series, when I come back around and write another Cheysuli book or two. Not a series necessarily, but individual books that slot themselves into specific time periods.
"I will almost certainly write a couple more Sword-Dancer books featuring Tiger and Del, because they're just too much fun not to do anymore. It's time for the two of them to go off and do other things without being published for awhile, so that when I do come back to them, I will feel fresh again. I will discover them all over again. Anytime the author feels fresh, the writing is fresh, and the readers get more out of it than if they are just reading the same old thing regurgitated countless times."
After the challenging books ahead of her are complete and she returns to the characters that started her career, I'm sure the resulting works will be the better for the time Jennifer Roberson spends in her "other realities."
Come meet Jennifer Roberson July 4th-weekend at WesterColt .45, where she will be feted as Author Guest of Honor!
SF Media continued from page 21...
episode "The Host." The security chief will be a shapeshifter, with shape shifting being very taxing. Chief O'Brien, provided Colm Meaney agrees to do so, will be transferred, along with his wife and daughter. Also, Lwaxana Troi and Guinan may make regular appearances on the show as well.
things get bad enough, that stage could be skipped and we'd proceed right to the next stage, NO CONVENTIONS IN PHOENIX.
What can be done? Well, several things. First of all, BEHAVE — see this issue's ConSequits on page 23 for some thoughts on behavior. Second, peer pressure is more effective than any rule — if your friends or anyone you see is causing a problem, STOP THEM.
And finally, we can attempt to change the feel of the convention. At the convention I'm running, there will be no dance — not to punish the people who enjoy the dance, but to help dissuade those who are attending the convention just to party. You CAN hold a good SCIENCE FICTION convention without a dance. I'm also not offering any kind of discounted nighttime memberships. If you want to attend a science fiction convention, as opposed to a party, you can pay the regular rate and enjoy the panels and such the next morning as well. Another thing I'm going to attempt is fully enforcing the badge rule — if you don't have a convention badge, you must either purchase one or leave the hotel.
Please, let's stop this while we can, because I want to attend in-state conventions, not travel hundreds of miles to enjoy fannish company. Of course, if things don't change at other cons, that may cease to be an option as well.
An Interview with G. Harry Stine (continued from page 2)
CN: Now you have your consulting business and The Enterprise Institute. Exactly what do you do?
GHS: EI got formed because McDonnell-Douglas asked me to do work on the X-30 spaceplane — NASP. They said they'd rather deal with a company than an individual. I had done work with The Hudson Institute (Think Tank) and several other aerospace companies during that time, so I opened The Enterprise Institute in 1988. We consult for the aerospace industry.
Consulting work ceased to exist after the Gulf War, however. There was either no money, or the companies keep the work in-house.
CN: Warbots 12 is due for release in August or September. That's the last of the Warbots... at least for now. Now you are creating the Supersub series.
GHS: Yeah, the Supersub series is different than the Warbots, though. I have proposed three books and there is an underlying storyline — it isn't just going from adventure to adventure like the Washington Greys did.
CN: You and I are both involved in new publishing ventures in electronic media. Is this the future of publishing?
GHS: I think so, at least part of it. All the arts are entertainment, and with information transfer technologies (computers) we are beginning to see experiments in how to further involve the machine.
The new project called PC Space is an educational look at astronomy with a lot of fun side-trips. The graphics and animation are spectacular.
CN: What else can you tell me about G. Harry Stine?
GHS: I try to write SF that basically addresses the biggest problem we have — we live in a world of wealth but we have to learn to be rich. The human race grew up with a philosophy of scarcity. That is part of the bigger problem of how to learn to be rich. All my characters are basically Heinlein-type characters — competent, duty-bound, honorable — with the same problems as everybody else — but they do something about them.
I am about as sexist as you can get — women are different — in every way. If women ever get real equality, they'll get the short end of the stick. As for race, I defy any reader to tell me the skin color of any Warbots character.
I used to have long phone conversations with my friend Gene Roddenberry. We felt the same way. We must learn not to be afraid of the differences between people, but to enjoy them. It would be a boring world if everyone were the same.
I used to call myself an Encyclopedic Synthesist. Now I say I am a Techno-Capitalistic Humanist.
CN: Is there anything you'd like to tell the fen?
GHS: Yes. It's all very well and good to read about and imagine the future — that is part of the sense of wonder — but the future won't happen unless we make it happen. In other words, get out there and bend tin — do whatever your particular talents allow you to do.
Come meet G. Harry Stine, the Father of Model Rocketry, at WesterColt. 4$! Here's a list of the books he has written so you can check them out. ('L.C.' indicates it can be found under the nôm de plume Lee Correy.)
Starship Through Space (L.C.)
Rocket Man (L.C.)
Contraband Rocket (L.C.)
Rocket Power and Space Flight
Earth Satellites and the Race for Space Superiority
Man and the Space Frontier
The Handbook of Model Rocketry (5 eds.)
The Model Rocketry Manual
Model Rocket Safety
The Lionel Train and Accessory Manual
The Third Industrial Revolution
The New Model Rocketry Manual
Rocket to the next page...
Continued from page 22...
American garb. What about a simple woodland dress? While authentically done in leather, these also work in suede cloth, or could be done in any fabric for a whimsical effect. (One done in tree-bark camo might be a real scenery stealer.)
The SCA publication, *Forward Into the Past*, contains a good, basic T-tunic pattern. Not just for medieval clothing, a Native American shaman can be created from that ubiquitous pattern, and you don't have to stop there.
What about a Space-faring Shaman — Iroquois Federation: The Next Generation? Since the Plains Indians had a hunter-gatherer society surely someone could design a costume based on Where Nomad Has Gone Before.
The West was notorious for its badmen, but if you don't want to be a western outlaw, how about a western in-law? Could you be a Rhinestone cowboy complete with lederhosen? The women of the West were also wonderful. How about a dance-hall girl in corset and feathers, a school-marm, even a school-marmot? Hmmm... a lycanthropic prairie dog?
Need more ideas? How about all those old movies? From *Blazing Saddles* through *Cat Ballou*, *Battle Beyond The Stars*, and *WestWorld* to *Zorro*, there are numerous amusing variations on the basic theme. How about a console cowboy, who keeps his floppy disks in his holster, a cyber-cowboy in his programmable yoke shirt, or a Chisolm Trailblazer (basketball optional)? If an Oriental immigrant married a Native American might they have a child named Obi Wan Coyote?
Have you considered doing a kachina costume? If many people came as kachinas we could have a MaskParade. (Who was that masked man?)
I hope this bit of silliness gives you some inspiration. Remember that hall costumes are done just for fun, and enhance everyone's enjoyment of a convention. Play, relax, and leave your horse parked outside the hotel!
Next issue — *The Ultimate T-Tunic!*
Clubs & Organizations
SF/F oriented organizations are welcome to send info for a listing to ConNotations — Club Listings at 2040 E. Cypress, Phoenix, AZ 85006, or call us at (602) 220-9785. (If you find an address or phone number which no longer works, please let us know. Thanks!)
When contacting a club, please send an SASE (Self-Addressed, Stamped Envelope) for return reply!
BEAST CONNECTION (LAS VEGAS)
The Las Vegas area Beauty & the Beast fan club, which is responsible for the TunnelCons (the international con for "Beastdom"). Meetings are on the 1st Monday of every month (except for Monday holidays) at 7pm at the Nevada Power Building on Sahara Ave. (at Jones Blvd.). For info send a SASE to Beast Connection, P.O. Box 81557, Las Vegas, NV 89150-0557, or call Betty Neiswender at (702) 878-6192 (ans. mach.). Come and help us to "Keep the Dream Alive!"
CENTRAL ARIZONA SPECULATIVE FICTION SOCIETY, (CASFS) The non-profit corporation that puts on CopperCon conventions, SmertCons, HexaCons, WesterCon 45, and publishes ConNotations. Best described as SF/F generalists with a strong bent towards literary SF/F. Meets at 8pm on the last Friday of each month in January thru September and the second Friday in October, November and December at Newton's Prime Rib at 915 E. Van Buren in Phoenix, AZ. Write P.O. Box 11743, Phoenix, AZ 85061 or call Bruce Farr at (602) 730-8648 or Doug Cosper at (602) 245-1440 for more information.
THE DARK ONES
(Därk-wunz) n. 1. An organization formed for the expression and exploration of various cultural themes including, but not limited to, the Dark Ages and the Renaissance through forms of art including, but not limited to, painting, drawing, writing, photography, spoken word, and acts of characterization. 2. a member of this organization. 3. Information available from Shadowstalker (Jeff Jennings) at (602) 978-9314.
EARTHLINK SCI-FI CLUB
SF generalists with some focus on comics and environmental issues. Meets at various conventions and occasions. Publishes a quarterly newsletter called Cosmic Wavelengths. For information contact them at 8508 E. San Lorenzo, Scottsdale, AZ 85258, or call Nohl Rosen at (602) 991-8847.
THE EMPIRE OF CHIVALRY & STEEL INC.
A non-profit medieval recreation and historical group based in Arizona. They have experts in the fighting arts as well as the creative arts, all of which will be on hand to assist you as you enter into the current middle ages. For more information, contact Bart Smith (Phoenix) 602-937-6995 or Leonard Bird (Tucson) 602-742-2432.
FANTASTIC FICTION CLUB OF UNLV
The oldest existing fan organization in Las Vegas, this group is responsible for Neon Galaxy, the sf journal for the southwest (published on a semesterly schedule). Meetings are held during the Fall & Spring semesters. For info send a SASE to Paul Andricopoulos/UNLV Fant. Fict., c/o UNLV Student Govt., UNLV, 4505 S. Maryland Py, Las Vegas, NV 89154, or call Paul at (702) 739-6559.
FINNEGIN'S ISLE
A club set around Finnegin's Isle, to discuss and misunderstand the Cargo Cult and the mystery around Finnegin's Wake. Meets every other Thursday night. Have also started a Robert Anton Wilson study group, meeting each Sunday night. For more information write: 2080 E. Greenway, Tempe, AZ 85282.
IGEN WEYR
A Phoenix-area local club based on the Dragonriders books by Anne McCaffrey. For more information, call Kim Farr at (602) 730-8648 or write to 1844 E. Sesame St., Tempe, AZ 85283. Publisher of the fanzine, Weyr Notes.
LEPRECON, INC.
One of the two Phoenix area corporations that puts on yearly conventions. Best described as SF/F generalists with a main thrust into SF/F art. Quarterly meetings are held on the second Saturday of February, May, August and November. For more information, write P.O. Box 26665, Tempe, AZ 85285 or call Eric Hanson at (602) 892-2837.
LOS ANGELES SCIENCE FANTASY SOCIETY (LASFS) Los Angeles based SF club. Meetings are always at 8:00pm every Thursday at the clubhouse, may not be open other times. For information write LASFS, 11513 Burbank Blvd., North Hollywood, CA 91601.
THE MAGRATHEA BBS
Discuss your favorite SF books, tv shows, and movies electronically on the Magrathea BBS at (602) 833-9216. Available for online reading are episode guides and information files for SF tv shows. 300/1200/2400 baud, 24 hours a day.
NEW ON THE LIST!
MYTHADVENTURES FAN CLUB
THE authorized fan organization of Robert Asprin's MythAdventure series has moved headquarters from California to Scottsdale! Members receive the quarterly newsletter MythInformation, as well as other goodies. For more info, send a SASE to MAFC, P.O. Box 13836, Scottsdale, AZ 85267-3836, or call (602) 951-1407.
NATIONAL FANTASY FAN FEDERATION (N3F)
Correspondence and fanzine-oriented national SF club; no meetings. Publishes The National Fantasy Fan (TNFF), the club zine, and Tightbeam, the letterzine, bimonthly. Club apa (NAPA), round robins, story contests, several bureaus & activities. Approx 300 members. Dues are $12 per year. For more information write: Donald Franson, 6543 Babcock Ave., North Hollywood, CA 91606.
NORTHERN ARIZONA SPECULATIVE FICTION SOCIETY (NASFS)
A club best described at SF/F generalists with a main thrust into the literary field. Puts on the annual convention, CraterCon. For more information contact Jon Bonnell at P.O. Box 20001, Flagstaff, AZ 86001.
THE PHOENIX FANTASY FILM SOCIETY
Film society for classic SF/F film. Membership is $25 lifetime dues. PFFS also rents projectors, films, and video tapes. Contact PFFS, Box 30423, Phoenix, AZ 85067.
PHOENIX JAPANIMATION SOCIETY
Local chapter of Japanimation/general animation oriented fans — meets monthly. Membership is free, though optional monthly newsletter is $.5/year or $.50 per month. Call Tom Perry at (602) 996-2196 or write P.O. Box 5189, Glendale, AZ 85312.
THE PHOENIX REGENCY CLUB
Dancing, dining, and dalliance! A chance to recreate the fun and frivolity of the Georgian, Regency, and Victorian eras. Meets on the second Saturday of each month at 5130 W. Creedance, Glendale, AZ. For more info, call (602) 973-2054.
RAW GAMES
(Role-players & Wargamers, Inc.) is the Valley's oldest role-playing and wargaming club. Currently meeting at Carrow's Restaurant at 7th Street & Monte Vista in Phoenix every Sunday from 3pm-9pm (except during conventions and other special events). Open to new members — call (602) 849-9515.
NEW ON THE LIST!
SHADOW KEEP BBS
RPG Discussions and Gamer info center! Separate boards to discuss AD&D, comics, Champions, BattleTech, books, movies, SF, current affairs, conventions and much more! No fees!! All we expect is that you contribute to the discussions. Shadow Keep Bulletin Board Service at (602) 993-4995. All you need is a computer and a modem! 24 hrs a day, 300/1200/2400 baud. All computers welcome!
SHUTTLE VESUVIUS (LAS VEGAS)
New chapter of "Star Fleet" in Las Vegas which meets on the 2nd Wednesday of every month at the Sunrise Library (located in Sunrise Manor). For more info, send a SASE to Maureen & Dayne Lake, 4801 E. Sahara Ave. #125, Las Vegas, NV 89104, or call (702) 641-6269.
ConNotations makes no representations of these conventions other than simply providing a listing service. All conventions may be listed here free just by sending the information about your convention to this zine. Send the convention info to ConNotations — Convention Calendar, 2040 E. Cypress, Phoenix, AZ 85006.
When contacting any convention, please remember to send a Self-Addressed Stamped Envelope.
WESTERCOLT '95
July 2–5, 1992 WesterCon at the Omni Adams Hotel in Phoenix, AZ. Attending memberships are currently $60 thru-the-door. Supporting memberships are always $15. Guests are Author Jennifer Roberson, Artist Rick Sternbach, Fan Pat Mueller and Toastmaster Wilson "Bob" Tucker. For specific info, call (602) 730-8648. Sponsored by the Central Arizona Speculative Fiction Society. (See Progress Report also in this issue.)
GALAXY FAIR '92 WITH ART CON IV
July 2–5, 1992 with Guests of Honor Diane Duane, Alan Gutierrez, Kristine Kathryn Rusch, Keith Birdsong, Jack Crain, Noel Barrett, Jr, David Cherry, Carole Nelson Douglas and oodles of others. Membership rates are $30 at the door. For more info write P.O. Box 150471, Arlington, TX 76015-6471 or call (817) 467-0681.
ECONOMYCON VI
July 17–19, 1992 gaming convention at the Campus Village West Shopping Center, 4920 W. Thunderbird Rd. No GoHs, no membership fee. For more info call Roaming Panther Game Co. at (602) 820-2083 or (602) 547-0239.
VEGASCON '92
July 25–26, 1992 at the Palace Station Hotel in Las Vegas, NV. All profit from this show will be donated to Special Olympics! This is the only fan-run SF/comic/gaming convention in Las Vegas. The con will feature 24-hr. gaming, videos, panels, and a huge dealer's room! Guests include Greg Gordon, Mike Grell, and Mike Nystul. For room reservations call 1-800-634-3101 ($40/50). To register, send $18 payable to Vegascon '92 by 7/10/92 to Vegascon Inc., 4210 Chatham Dr. #1, Las Vegas, NV 89119, or call (702) 733-7470 for more info.
CORSAIRCON III
Aug. 8–9, 1992. Party pirate-style at the Hospitality Suites Hotel, 409 N. Scottsdale Rd., Scottsdale, AZ. Activities will include tavern brawls, costume balls, and "The First Bi-annual Pirate olympics." Memberships are $15 thru July 24, and then $20 at-the-door. (Reduced rates available for children, and one-day memberships will be available at-con.) For more info, call (602) 894-1985, or write: CorsairCon, P.O. Box 64051, Phoenix, AZ 85082. (See ad also in this issue.)
MAGICON
Sept. 3–7, 1992 50th annual Worldcon at the Orange County Convention and Civic Center in Orlando, Florida. Honored Guests are: Jack Vance, Vincent Di Fate, Spider Robinson as Toastmaster, and Walter A. Willis as the Fan Guest of Honor. Attending memberships are currently $110 'til July 15, then $135 at the door; supporting memberships are $25. For more info contact the convention at P.O. Box 621992, Orlando, FL 32862-1992.
COPPERCON TWELVE
Sept. 11–13, 1992 with Guests of Honor Roger Zelazny and Alan Dean Foster! Membership rates are $25 thru Aug. 28, then $30 at the door. For more info write 2040 E. Cypress, Phoenix, AZ 85006, or call (602) 220-9785.
Sponsored by the Central Arizona Speculative Fiction Society. (See ad also in this issue.)
SILVERCON II
Apr. 2–4, 1993 general s/f/con (guests TBA) at the Aladdin Hotel on the Las Vegas strip. Membership rates are $15 thru Nov. 1. For more info write P.O. Box 95941, Las Vegas, NV 89193-5941. Hotel rates are $45 garden, $60 tower — call (800) 634-3424 for reservations.
WESTERCON '93
July 4th weekend, 1993 Westercon, Seattle, with Guests of Honor: Greg Bear, George Barr; George Alec Effinger as Toastmaster; F.M. & Elinor Busby and Wally Weber as Fan Guests of Honor. Attending memberships are currently $40 thru Dec. 31, and supporting memberships are $20. For more info contact the convention at P.O. Box 29492, Seattle, WA 98123.
CONFRACTISCO
Sept. 2–6, 1993 Worldcon at the Parc Fifty Five and the Le Meridien in San Francisco, and the Moscone Convention Center. Note — change in hotel and expanded dates! Honored Guests are: Larry Niven, Tom Digby, Alicia Austin, Jan Howard Finder, Guy Gavriel Kay as Master of Ceremonies, and Mark Twain as the special Dead Guest of Honor. Attending memberships are currently $85, and supporting memberships are $25. Discounts available for 1993 site-selection voters and/or pre-supporters of the SF in '93 bid. For more info contact the convention at P.O. Box 22097, San Francisco, CA 94122. Dealer's contact Clint Biggestone at 1384 Skyline Dr., Daly City, CA 94015. Art Show entrants contact Vince Sanders at 5408 Parkville Ct., Sacramento, CA 95842. Inquires may also be made via CompuServe™ Electronic Mail to user id 72377,3623.
THE SOCIETY FOR CREATIVE ANACHRONISM
In the Kingdom of Atenveldt doth lie the Principality of the Sun (Arizona); within fair Principality can be found four primary Baronies: Atenveldt, Mons Tonitus, Sun Dragon and Tir Ysglthr. For information on any of these, or for general information on thy past tomorrows, thou moyest contact: Mistress Rhiawnwen o'Enfy's DisBerod (Linda Peck); Principality Seneschal, 902 S. Eli Drive, Tucson, AZ 85710, (602) 747-1512 until 10pm; or in Phoenix, Mistress Helen Jennet (Pam Foley) 1345 E. Palm Ln, Phoenix, AZ 85006, (602) 495-1760.
SOUTHWEST COSTUMERS GUILD
A Phoenix-area branch chapter of the International Costumers' Guild, based in Maryland. Dedicated to exploring, teaching, researching and enjoying all aspects of costuming. Dues are $14 per year (which includes $7.00 international dues). For more information contact Mahala Sweebe at (602) 938-9319 (leave message) or write c/o P.O. Box 39504, Phoenix, AZ 85069.
STARBASE TUCSON
Star Trek readers/writers who correspond, critique, collaborate and occasionally publish in pro publications. Interests also include Sime/Gen, Quantum Leap, Dr. Who, Companion, BattleStar Galactica and Stingray. Write to: Kathryn Kane, P.O. Box 449, Oracle, AZ 85623.
T.A.R.D.I.S.
(The Arizona Regional Doctor [Who] Interest Society) Dr. Who fan club of Phoenix, in addition to an interest in Star Trek, Blakes 7, and a varied SF interest. Memberships are $15.00 and include a monthly newsletter, business cards & a TARDIS key. Meets every two weeks at various locations around the valley. Contact Belle at T.A.R.D.I.S., Box 63191, Phoenix, AZ 85082 or call (602) 864-8848 (eves) or 255-5131 x149 during weekdays to leave a message.
UNITED FEDERATION OF PHOENIX
The Phoenix area Star Trek club. Meets every two weeks at various locations around the Phoenix area. For Information, write P. O. Box 37224, Phoenix, AZ 85069 or call Jim Strait at (602) 242-9203.
UNITED WHOVIANS OF TUCSON
A well-informed and very active Dr. Who club. $12 yearly membership includes four issues of their fanzine, written by semi pro's and other dedicated fans. For more information contact Tracy A. Murray, 7242 E. Calle Cuernavaca, Tucson, AZ 85701, or call (602) 722-6812.
ADAM'S BOOKSTORE & GALLERY
The largest selection of used and collector's Speculative Fiction in the state
We Buy and Sell Good Used Books
and we support local conventions
Also, the home of Adam's Bookstore Writer's Group
OPEN 7 DAYS
M-F 10am - 9pm SAT 10am - 6pm SUN 11am - 5pm
Acres of Parking
Conveniently located downtown at Tower Plaza Mall
3881 East Thomas Road • Suite C-6 • Phoenix, Arizona 85018
(602) 267-7751
PLEASE — TELL THEM YOU SAW IT IN CONNOTATIONS!
CONNOTATIONS
Central Arizona Speculative Fiction Society, Inc.
P.O. Box 11743
Phoenix, Arizona 85061
ADDRESS CORRECTION REQUESTED
NON-Profit Org.
U.S. Postage
PAID
PERMIT 839
PHOENIX, AZ |
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